Vol. 85 Monday, No. 183 September 21, 2020
Pages 59173–59376
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 85, No. 183
Monday, September 21, 2020
Agency for Healthcare Research and Quality Coast Guard NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Safety Zone: Submissions, and Approvals: Marine Events held in the Sector Boston Captain of the Voluntary Customer Survey Generic Clearance for the Port Zone, 59254–59256 Agency for Healthcare Research and Quality, 59311– 59312 Commerce Department See Census Bureau See International Trade Administration Agency for International Development See National Oceanic and Atmospheric Administration NOTICES Meetings: Defense Acquisition Regulations System Board for International Food and Agricultural PROPOSED RULES Development, 59279 Defense Federal Acquisition Regulation Supplement: Small Business Innovation Research Program Data Rights; Agriculture Department Correction, 59258 See Animal and Plant Health Inspection Service NOTICES See Office of Partnerships and Public Engagement Agency Information Collection Activities; Proposals, See Rural Business-Cooperative Service Submissions, and Approvals: RULES Part 15 Negotiation, 59293–59294 Coronavirus Food Assistance Program; Correction, 59174– 59175 Defense Department See Defense Acquisition Regulations System
Animal and Plant Health Inspection Service Education Department NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: National Veterinary Services Laboratories Request Forms, Application for Grants Under the Predominantly Black 59279–59280 Institutions Formula Grant Program, 59294–59295 Evaluation of the Innovative Assessment Demonstration Architectural and Transportation Barriers Compliance Authority Pilot Program-Preliminary Activities, Board 59295 RULES Guidance Procedures, 59187–59190 Energy Department See Federal Energy Regulatory Commission NOTICES Census Bureau Application To Amend Export Term: NOTICES Corpus Christi Liquefaction Stage III, LLC, 59295–59297 Agency Information Collection Activities; Proposals, Freeport LNG Expansion, LP and FLNG Liquefaction 4, Submissions, and Approvals: LLC, 59297–59298 Service Annual Survey, 59285–59287 Orders: Bluewater Gas Storage, LLC; Energia Azteca X, SA DE Centers for Disease Control and Prevention CV; Arm Energy Management, LLC; et al., 59299 NOTICES Agency Information Collection Activities; Proposals, Environmental Protection Agency Submissions, and Approvals, 59313–59316 RULES Meetings: Air Quality State Implementation Plans; Approvals and Advisory Board on Radiation and Worker Health, Promulgations: Subcommittee on Dose Reconstruction Reviews, Alabama; Volatile Organic Compounds Definition, National Institute for Occupational Safety and 59192–59194 Health, 59316–59317 New Mexico; Repeal of State Regulations for Particulate Advisory Committee on Immunization Practices, 59317– Matter for Lime Manufacturing Plants, 59194–59196 PROPOSED RULES 59318 Air Quality State Implementation Plans; Approvals and Promulgations: Children and Families Administration Kentucky; Jefferson County Existing and New VOC NOTICES Storage Vessels Rule Changes, 59256–59257 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Export-Import Bank Family Level Assessment and State of Home Visiting NOTICES Outreach and Recruitment Study, 59318–59319 Meetings; Sunshine Act, 59303
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Farm Credit System Insurance Corporation Federal Retirement Thrift Investment Board NOTICES RULES Meetings: Temporary Waiver of Notarization Requirement for Spousal Farm Credit System Insurance Corporation Board, 59303 Consent, 59173–59174
Federal Aviation Administration Federal Trade Commission RULES PROPOSED RULES Airworthiness Directives: Prescreen Opt-Out Notice Rule, 59226–59234 Airbus SAS Airplanes, 59175–59180 The Boeing Company Airplanes, 59180–59187 Food and Drug Administration PROPOSED RULES Airworthiness Directives: NOTICES Airbus Helicopters, 59217–59220 Guidance: Technical Amendment To Separate Terminal Airspace Investigational COVID–19 Convalescent Plasma; Areas from Norton Sound Low, Woody Island Low, Availability, 59319–59320 Control 1234L, and Control 1487L Offshore Airspace Investigational COVID–19 Convalescent Plasma; Areas: Withdrawal, 59320–59321 Alaska, 59220–59226 Foreign Assets Control Office Federal Communications Commission NOTICES RULES Blocking or Unblocking of Persons and Properties, 59371– Schools and Libraries Universal Service Support 59373 Mechanism, 59196–59198 NOTICES General Services Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 59303–59306 Meetings: Women’s Suffrage Centennial Commission, 59310–59311 Federal Deposit Insurance Corporation Relocation Allowances: NOTICES Waiver of Certain Federal Travel Regulation Provisions Restoration Plan, 59306–59309 for Renewal Agreement Travel During the COVID–19 Federal Emergency Management Agency Pandemic, 59311 NOTICES Agency Information Collection Activities; Proposals, Health and Human Services Department Submissions, and Approvals: See Agency for Healthcare Research and Quality Letter of Attestation regarding Export of Certain Scarce or See Centers for Disease Control and Prevention Threatened Medical Resources, 59323 See Children and Families Administration Flood Hazard Determinations; Proposals, 59323–59325 See Food and Drug Administration See Public Health Service Federal Energy Regulatory Commission NOTICES Homeland Security Department Combined Filings, 59301–59302 See Coast Guard Effectiveness of Exempt Wholesale Generator and Foreign See Federal Emergency Management Agency Utility Company Status: See U.S. Customs and Border Protection Central 40, LLC; Pioneer Solar (CO), LLC; Maverick Creek Wind, LLC; et al., 59301 Housing and Urban Development Department Filing: PROPOSED RULES Oncor Electric Delivery Co. LLC, 59300 Streamlining and Implementation of Economic Growth, Institution of Section 206 Proceeding and Refund Effective Regulatory Relief, and Consumer Protection Act Date: Changes to Family Self-Sufficiency Program, 59234– Basin Electric Power Cooperative, 59300 59254 Petition for Declaratory Order: Delaware River Partners, LLC, 59302–59303 Indian Affairs Bureau Staff Review of Enforcement Programs: NOTICES North American Electric Reliability Corp., 59299–59300 Requests for Nominations: Federal Railroad Administration Bureau of Indian Education Advisory Board for Exceptional Children, 59325–59326 NOTICES Program Modification Approval: BNSF Railway Co., 59371 Institute of Museum and Library Services NOTICES Federal Reserve System Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Change in Bank Control: National Collections Assessment Program, 59333–59334 Acquisitions of Shares of a Bank or Bank Holding Company, 59310 Interior Department Meetings; Sunshine Act, 59310 See Indian Affairs Bureau Proposals To Engage in or To Acquire Companies Engaged See Reclamation Bureau in Permissible Nonbanking Activities, 59309–59310 See Surface Mining Reclamation and Enforcement Office
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Internal Revenue Service Taking and Importing Marine Mammals: NOTICES Alaska Gasline Development Corporation Liquefied Agency Information Collection Activities; Proposals, Natural Gas Facilities Construction Project at Cook Submissions, and Approvals: Inlet, AK, 59291–59292 Application for Approval of Prototype Simplified Employee Pension or Savings Incentive Match Plan Nuclear Regulatory Commission for Employees of Small Employers (SIMPLE IRA NOTICES Plan), 59373 License Application: Virginia Electric and Power Co.; North Anna Power International Trade Administration Station, Units 1 and 2, 59334 NOTICES Antidumping or Countervailing Duty Investigations, Orders, or Reviews: Occupational Safety and Health Administration Biodiesel From Indonesia, 59289–59290 NOTICES Certain Metal Lockers and Parts Thereof From the Grant of Expansion of Recognition: People’s Republic of China, 59287 SGS North America, Inc., 59332–59333 Prestressed Concrete Steel Wire From the Republic of Turkey, 59287–59289 Office of Partnerships and Public Engagement NOTICES International Trade Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 59280–59281 Complaint: Certain Active Matrix OLED Display Devices and Personnel Management Office Components Thereof, 59327–59328 PROPOSED RULES Administrative Law Judges, 59207–59217 Labor Department NOTICES See Occupational Safety and Health Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Marital Status Certification Survey, 59334–59335 Submissions, and Approvals: Meetings: Paid Leave Under the Families First Coronavirus Federal Salary Council, 59335 Response Act, 59330–59331 Provider Enrollment Form, 59328–59329 Postal Regulatory Commission Records of Tests and of Examinations of Personnel Hoisting Equipment, 59329 NOTICES Representative of Miners, Notification of Legal Identity, New Postal Products, 59335–59336 and Notification of Commencement of Operations and Closing of Mines, 59331–59332 Public Health Service United States-Mexico-Canada Agreement Web-Based NOTICES Hotline, 59330 Request for Information: Sexually Transmitted Infections National Strategic Plan National Foundation on the Arts and the Humanities 2021–2025, 59321–59322 See Institute of Museum and Library Services Reclamation Bureau National Oceanic and Atmospheric Administration NOTICES RULES Water Management Plans: Extension of Emergency Measures To Address Fishery Central Valley Project Improvement Act, 59326 Observer Coverage During the Coronavirus Pandemic, 59199–59204 Rural Business–Cooperative Service Fisheries of the Exclusive Economic Zone Off Alaska: Exchange of Flatfish in the Bering Sea and Aleutian NOTICES Request for Applications: Islands Management Area, 59204–59205 Biorefinery, Renewable Chemical, and Biobased Product Northern Rockfish in the Western Regulatory Area of the Manufacturing Assistance Program, 59281–59285 Gulf of Alaska, 59206 Pacific Ocean Perch in the Western Regulatory Area of the Gulf of Alaska, 59205–59206 Securities and Exchange Commission Shrimp Trawling Requirements: NOTICES Sea Turtle Conservation, 59198–59199 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 59342–59344, 59346, List of Fisheries for 2021, 59258–59278 59365 NOTICES Self-Regulatory Organizations; Proposed Rule Changes: Hearing: Long-Term Stock Exchange, Inc., 59336–59337 Mid-Atlantic Fishery Management Council, 59291 Nasdaq BX, Inc., 59344–59346 Meetings: Nasdaq PHLX, LLC, 59353–59354 Caribbean Fishery Management Council, 59290, 59292– New York Stock Exchange, LLC, 59361–59365 59293 NYSE American LLC, 59365–59369 Mid-Atlantic Fishery Management Council, 59290–59291 NYSE Arca, Inc., 59338–59342, 59354–59361 Science Advisory Board, 59293 The Nasdaq Stock Market, LLC, 59346–59353
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Small Business Administration See Internal Revenue Service NOTICES See United States Mint Disaster Declaration: NOTICES California, 59369 Agency Information Collection Activities; Proposals, Major Disaster Declaration: Submissions, and Approvals, 59373–59375 California; Public Assistance Only, 59370 Iowa; Public Assistance Only, 59370 U.S. Customs and Border Protection Louisiana, 59369–59370 NOTICES Meetings: Meetings: National Small Business Development Centers Advisory Commercial Customs Operations Advisory Committee, Board, 59370 59322–59323
State Department United States Mint NOTICES NOTICES Designation Pursuant to the Foreign Missions Act, 59371 Establish Pricing for 2020 United States Mint Numismatic Determination Pursuant to the Foreign Missions Act, 59371 Products, 59375
Surface Mining Reclamation and Enforcement Office Veterans Affairs Department NOTICES RULES Agency Information Collection Activities; Proposals, Elimination of On-the-Job Training and Apprenticeship Submissions, and Approvals: Trainee Certification, 59190–59192 Federal Inspections and Monitoring, 59326–59327
Surface Transportation Board NOTICES Reader Aids Release of Waybill Data, 59371 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Transportation Department of recently enacted public laws. See Federal Aviation Administration To subscribe to the Federal Register Table of Contents See Federal Railroad Administration electronic mailing list, go to https://public.govdelivery.com/ accounts/USGPOOFR/subscriber/new, enter your e-mail Treasury Department address, then follow the instructions to join, leave, or See Foreign Assets Control Office manage your subscription.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
5 CFR 1650...... 59173 Proposed Rules: 212...... 59207 213...... 59207 302...... 59207 930...... 59207 7 CFR 9...... 59174 14 CFR 39 (3 documents) ...... 59175, 59178, 59180 Proposed Rules: 39...... 59217 71...... 59220 16 CFR Proposed Rules: 642...... 59226 698...... 59226 24 CFR Proposed Rules: 887...... 59234 984...... 59234 33 CFR Proposed Rules: 165...... 59254 36 CFR 1155...... 59187 38 CFR 21...... 59190 40 CFR 52 (2 documents) ...... 59192, 59194 Proposed Rules: 52...... 59256 47 CFR 54...... 59196 48 CFR Proposed Rules: 227...... 59258 252...... 59258 50 CFR 223...... 59198 600...... 59199 679 (3 documents) ...... 59204, 59205, 59206 Proposed Rules: 229...... 59258
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Rules and Regulations Federal Register Vol. 85, No. 183
Monday, September 21, 2020
This section of the FEDERAL REGISTER participant’s spouse signs a written temporary waiver is no longer contains regulatory documents having general statement waiving his or her entitlement necessary. A married TSP participant applicability and legal effect, most of which to a survivor annuity. This signed, who completes a withdrawal election are keyed to and codified in the Code of written waiver (‘‘spousal consent’’) is a form on or after October 1, 2020, must Federal Regulations, which is published under statutory requirement. 5 U.S.C. 8435(b) 50 titles pursuant to 44 U.S.C. 1510. have his or her spouse’s signature and (c). notarized. The Code of Federal Regulations is sold by The protection of spousal rights is of the Superintendent of Documents. the utmost importance to the FRTIB. Regulatory Flexibility Act Indeed, although not statutorily required to do so, the FRTIB generally I certify that this regulation will not FEDERAL RETIREMENT THRIFT requires spousal consent to be have a significant economic impact on INVESTMENT BOARD notarized.1 However, on April 17, 2020, a substantial number of small entities. the FRTIB issued an interim rule This regulation will affect Federal 5 CFR Part 1650 temporarily waiving this requirement employees, members of the uniformed for withdrawal election forms (85 FR services who participate in the TSP, and Temporary Waiver of Notarization beneficiary participants. Requirement for Spousal Consent 21311). The temporary suspension of the notarization requirement for spousal Paperwork Reduction Act AGENCY: Federal Retirement Thrift consent was necessitated by the Investment Board. coronavirus pandemic, which disrupted I certify that these regulations do not ACTION: Final rule. day-to-day life in an unprecedented way require additional reporting under the and made it difficult and unsafe to have criteria of the Paperwork Reduction Act. SUMMARY: With this final rule, the forms notarized in person. The Federal Retirement Thrift Investment uncertainty caused by the evolution of Unfunded Mandates Reform Act of Board (‘‘FRTIB’’) is withdrawing its state laws permitting remote 1995 temporary waiver of the requirement to notarization coupled with the TSP’s Pursuant to the Unfunded Mandates notarize a spouse’s signature on lack of a technological workflow to withdrawal election forms. allow participants to submit remotely Reform Act of 1995, 2 U.S.C. 602, 632, DATES: This rule is effective October 1, notarized forms electronically created 653, and 1501–1571, the effects of this 2020. an extraordinary hurdle for married TSP regulation on state, local, and tribal FOR FURTHER INFORMATION CONTACT: For participants who needed to request a governments and the private sector have press inquiries, contact Kim Weaver at withdrawal during this difficult time. been assessed. This regulation will not (202) 942–1641. For further information, As of September 1, 2020, 48 states compel the expenditure in any one year contact Laurissa Stokes at (202) 942– plus the District of Columbia have either of $100 million or more by state, local, 1645. adopted laws that enable notaries to and tribal governments, in the aggregate, SUPPLEMENTARY INFORMATION: The perform remote notarizations or or by the private sector. Therefore, a FRTIB administers the Thrift Savings temporarily waived certain provisions statement under 2 U.S.C. 1532 is not Plan (TSP), which was established by of law that would otherwise impede the required. the Federal Employees’ Retirement availability of remote notarization. TSP participants have now had time to Submission to Congress and the System Act of 1986 (FERSA), Public General Accounting Office Law 99–335, 100 Stat. 514. The TSP familiarize themselves with applicable provisions of FERSA are codified, as legal requirements and the technology Pursuant to 5 U.S.C. 810(a)(1)(A), the amended, largely at 5 U.S.C. 8351 and used for remote notarization. In Agency submitted a report containing addition, participants are now able to 8401–79. The TSP is a tax-deferred this rule and other required information submit remotely notarized forms retirement savings plan for federal to the U.S. Senate, the U.S. House of civilian employees and members of the electronically to the TSP. Moreover, states have increasingly lifted business Representatives, and the Comptroller uniformed services. The TSP is similar General of the United States before to cash or deferred arrangements and school closures, stay-at-home/ shelter-in-place orders, and other publication of this rule in the Federal established for private-sector employees Register. This rule is not a major rule as under section 401(k) of the Internal coronavirus pandemic-related defined at 5 U.S.C. 804(2). Revenue Code (26 U.S.C. 401(k)). restrictions, allowing TSP participants A spouse of a FERS or uniformed to access services such as in-person List of Subjects in 5 CFR Part 1650 services TSP participant has an notaries (mobile or otherwise) that were automatic legal entitlement to a survivor not available to them in April when the Alimony, Claims, Government annuity. Annuities are purchased with FRTIB temporarily waived the employees, Pensions, Retirement. the balance of the participant’s TSP notarization requirement for spousal Ravindra Deo, account, and such purchases are made consent. Therefore, the Executive pursuant a withdrawal election. Director has determined that this Executive Director, Federal Retirement Thrift Consequently, the default TSP Investment Board. 1 The FRTIB Executive Director has the authority withdrawal election is a joint life For the reasons stated in the annuity with the 50% survivor benefit. to issue regulations to administer the TSP. 5 U.S.C. 8474(b)(5). In 2003, the Executive Director preamble, the FRTIB amends 5 CFR part The participant cannot make any other published a regulation requiring spousal consent to 1650 as follows: type of withdrawal unless the be notarized. 68 FR 74450 (December 23, 2003).
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PART 1650—METHODS OF DEPARTMENT OF AGRICULTURE considered ‘‘produced in the United WITHDRAWING FUNDS FROM THE States,’’ livestock sold between January THRIFT SAVINGS PLAN Office of the Secretary 15, 2020, and April 15, 2020, must have been physically located in the United ■ 1. The authority citation for part 1650 7 CFR Part 9 States as of January 15, 2020, and must continues to read as follows: [Docket ID: FSA–2020–0004] have remained in the United States until Authority: 5 U.S.C. 8351, 8432d, 8433, they were sold. For imported livestock RIN 0503–AA65 8434, 8435, 8474(b)5 and 8474(c)(1). inventory owned between April 16, 2020, and May 14, 2020, ‘‘produced in ■ 2. Amend § 1650.61 by revising Coronavirus Food Assistance the United States’’ means that the paragraph (c)(4) to read as follows: Program; Correction livestock must have been physically § 1650.61 Spousal rights applicable to AGENCY: Office of the Secretary, USDA. located in the United States on the post-employment withdrawals. ACTION: Correcting amendments. applicable date for which the producer is reporting their highest owned * * * * * SUMMARY: The Secretary of Agriculture inventory, because producers have been (c) * * * implemented the Coronavirus Food incurring and continue to incur (4) Unless the TSP granted the Assistance Program (CFAP), which additional marketing costs related to the participant an exception under this provides assistance to agricultural COVID–19 pandemic for those livestock. subpart to the spousal notification producers impacted by the effects of the This document amends the definition requirement within 90 days of the date COVID–19 outbreak, through a final rule of ‘‘non-specialty crop’’ in § 9.2 and the withdrawal form is processed by the published in the Federal Register on Table 2 in § 9.5(h) to specify that CFAP TSP, to show that the spouse has May 21, 2020. This correction clarifies eligibility for barley is not limited only consented to a different total or partial the eligibility of barley and livestock. to malting barley. All barley is eligible withdrawal election or installment DATES: Effective September 21, 2020. for CFAP assistance. payment change and waived the right to The changes in this document are FOR FURTHER INFORMATION CONTACT: this annuity with respect to the consistent with the original intent of William L. Beam; telephone: (202) 720– applicable amount, the participant must USDA in creating and administering 3175; email: [email protected]. submit to the TSP record keeper a CFAP and are not expected to increase Persons with disabilities who require properly completed withdrawal request expected costs. alternative means for communication form, signed by his or her spouse in the should contact the USDA Target Center presence of a notary. If the TSP granted List of Subjects in 7 CFR Part 9 at (202) 720–2600 (voice). the participant an exception to the Agricultural commodities, signature requirement, the participant SUPPLEMENTARY INFORMATION: This Agriculture, Disaster assistance, should enclose a copy of the TSP’s document corrects the CFAP regulations Indemnity payments. approval letter with the withdrawal in 7 CFR part 9, which were Accordingly, 7 CFR part 9 is corrected form. implemented in the final rule that was by making the following correcting published in the Federal Register on * * * * * amendments: May 21, 2020 (85 FR 30825–30835). ■ 3. Amend § 1650.62 by revising This is the fourth set of corrections. The PART 9—CORONAVIRUS FOOD paragraph (c) to read as follows: first set of corrections was published in ASSISTANCE PROGRAM the Federal Register on June 12, 2020 § 1650.62 Spousal rights applicable to in- ■ 1. The authority citation for part 9 service withdrawals. (85 FR 35799–35800), the second set of corrections was published in the continues to read as follows: * * * * * Federal Register on July 10, 2020 (85 FR Authority: 15 U.S.C. 714b and 714c; and (c) Unless the participant was granted 41328–41330), and the third set of Division B, Title I, Pub. L. 116–136. an exception under this subpart to the corrections was published in the signature requirement within 90 days of ■ 2. In § 9.1, revise paragraph (a) to read Federal Register on August 14, 2020 (85 as follows. the date the withdrawal form is FR 49593–49594). This document processed by the TSP, before obtaining augments those corrections. § 9.1 Applicability and administration. an in-service withdrawal, a participant This document corrects 7 CFR 9.1(a) (a) This part specifies the eligibility who is covered by FERS or who is a to clarify the meaning of ‘‘produced in requirements and payment calculations member of the uniformed services must the United States’’ as it relates to for the Coronavirus Food Assistance obtain the consent of his or her spouse imported livestock. CFAP payments to Program (CFAP). CFAP will provide and waiver of the spouse’s right to a livestock producers are based on the payments with respect to commodities joint and survivor annuity described in sum of two calculations. The first that have been significantly impacted by § 1650.61(c) with respect to the calculation is intended to compensate the effects of the COVID–19 outbreak. applicable amount. To show the producers for losses due to price Payments will be made with respect to spouse’s consent and waiver, a declines that occurred between mid- only commodities produced in the participant must submit to the TSP January 2020 and mid-April 2020, and United States; commodities other than record keeper a properly completed is based on livestock sold between livestock that are imported into the withdrawal request form, signed by his January 15, 2020, and April 15, 2020. United States may not be used to or her spouse in the presence of a The second calculation is intended to determine any payment made under this notary. Once a form containing the address on-going market disruptions part. For livestock, ‘‘produced in the spouse’s consent and waiver has been and assist with the transition to a more United States’’ means physically located submitted to the TSP record keeper, the orderly marketing system. It is based on in the United States: spouse’s consent is irrevocable for that the producer’s highest livestock (1) On January 15, 2020, and withdrawal. inventory owned on a date between remaining in the United States until [FR Doc. 2020–20789 Filed 9–17–20; 4:15 pm] April 16, 2020, and May 14, 2020. This sold for livestock sold between January BILLING CODE 6760–01–P document specifies that to be 15, 2020, and April 15, 2020; or
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(2) On the applicable date selected for § 9.2 [Amended] and add an entry in alphabetical order livestock in inventory between April 16, ■ 3. In § 9.2, in the definition of ‘‘Non- for ‘‘Barley’’. 2020, and May 14, 2020. specialty crop’’, remove the words The addition reads as follows. * * * * * ‘‘Malting barley’’ and add the word ‘‘Barley’’ in their place. § 9.5 Calculation of payments. ■ 4. In § 9.5, in Table 2 to paragraph (h), * * * * * remove the entry for ‘‘Barley (malting)’’ (h) * * *
TABLE 2 TO PARAGRAPH (h)—PAYMENT RATES FOR NON-SPECIALTY CROPS, DAIRY, LIVESTOCK, AND WOOL
CARES Act CCC payment Commodity Unit payment rate rate ($/unit) ($/unit)
Barley ...... Bu 0.34 0.37
*******
* * * * * DATES: This AD becomes effective Examining the AD Docket October 6, 2020. Stephen L. Censky, You may examine the AD docket on Vice Chairman, Commodity Credit The Director of the Federal Register the internet at https:// Corporation, and Deputy Secretary, U.S. approved the incorporation by reference www.regulations.gov by searching for Department of Agriculture. of a certain publication listed in this AD and locating Docket No. FAA–2020– [FR Doc. 2020–20802 Filed 9–17–20; 8:45 am] as of October 6, 2020. 0787; or in person at Docket Operations BILLING CODE 3410–05–P The FAA must receive comments on between 9 a.m. and 5 p.m., Monday this AD by November 5, 2020. through Friday, except Federal holidays. The AD docket contains this AD, any ADDRESSES: You may send comments, comments received, and other DEPARTMENT OF TRANSPORTATION using the procedures found in 14 CFR information. The street address for 11.43 and 11.45, by any of the following Federal Aviation Administration Docket Operations is listed above. methods: Comments will be available in the AD • 14 CFR Part 39 Federal eRulemaking Portal: Go to docket shortly after receipt. https://www.regulations.gov. Follow the FOR FURTHER INFORMATION CONTACT: instructions for submitting comments. [Docket No. FAA–2020–0787; Project Sanjay Ralhan, Aerospace Engineer, • Identifier MCAI–2020–01090–T; Amendment Fax: 202–493–2251. Large Aircraft Section, International 39–21231; AD 2020–18–10] • Mail: U.S. Department of Validation Branch, FAA, 2200 South RIN 2120–AA64 Transportation, Docket Operations, M– 216th St., Des Moines, WA 98198; 30, West Building Ground Floor, Room telephone and fax 206–231–3223; email Airworthiness Directives; Airbus SAS W12–140, 1200 New Jersey Avenue SE, [email protected]. Airplanes Washington, DC 20590. SUPPLEMENTARY INFORMATION: • Hand Delivery: U.S. Department of AGENCY: Federal Aviation Discussion Administration (FAA), DOT. Transportation, Docket Operations, M– 30, West Building Ground Floor, Room The EASA, which is the Technical ACTION: Final rule; request for W12–140, 1200 New Jersey Avenue SE, Agent for the Member States of the comments. Washington, DC 20590, between 9 a.m. European Union, has issued EASA AD SUMMARY: The FAA is adopting a new and 5 p.m., Monday through Friday, 2020–0176, dated August 5, 2020 (also airworthiness directive (AD) for all except Federal holidays. referred to as the Mandatory Continuing Airbus SAS Model A319–151N and For material incorporated by reference Airworthiness Information, or ‘‘the –153N; A320–251N, –252N, and –253N; (IBR) in this AD, contact the EASA, MCAI’’), to correct an unsafe condition and A321–251N, –252N, –253N, Konrad-Adenauer-Ufer 3, 50668 for all Airbus SAS Model A319–151N –251NX, –252NX, and –253NX Cologne, Germany; telephone +49 221 and –153N; A320–251N, –252N, and airplanes. This AD was prompted by a 8999 000; email [email protected]; –253N; and A321–251N, –252N, –253N, report indicating that Kathon FP 1.5 internet www.easa.europa.eu. You may –251NX, –252NX, and –253NX biocide added to fuel and running find this IBR material on the EASA airplanes. through an airplane’s engines can lead website at https://ad.easa.europa.eu. This AD was prompted by a report to engine performance degradation. This You may view this IBR material at the indicating that Kathon FP 1.5 biocide AD requires removing Kathon FP 1.5 FAA, Airworthiness Products Section, added to fuel and running through an biocide from the fuel tanks and engines Operational Safety Branch, 2200 South airplane’s engines can lead to engine and prohibits operation of an airplane 216th St., Des Moines, WA. For performance degradation. The FAA is with Kathon FP 1.5 biocide in a fuel information on the availability of this issuing this AD to address airplanes tank or engine, as specified in a material at the FAA, call 206–231–3195. operated with fuel mixed with Kathon European Union Aviation Safety Agency It is also available in the AD docket on FP 1.5 biocide, which could result in (EASA) AD 2020–0176, which is the internet at https:// reduced engine performance, resulting incorporated by reference. The FAA is www.regulations.gov by searching for in reduced controllability of the issuing this AD to address the unsafe and locating Docket No. FAA–2020– airplane. See the MCAI for additional condition on these products. 0787. background information.
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Related IBR Material Under 1 CFR Part and Compliance Time(s)’’ in the EASA MCAI–2020–01090–T’’ at the beginning 51 AD. Service information specified in of your comments. The most helpful EASA AD 2020–0176 describes EASA AD 2020–0176 that is required for comments reference a specific portion of procedures for removing Kathon FP 1.5 compliance with EASA AD 2020–0176 the proposal, explain the reason for any biocide from the fuel tanks and engines. is available on the internet at https:// recommended change, and include This material is reasonably available www.regulations.gov by searching for supporting data. Except for Confidential because the interested parties have and locating Docket No. FAA–2020– Business Information (CBI) as described access to it through their normal course 0787. in the following paragraph, and other information as described in 14 CFR of business or by the means identified Justification for Immediate Adoption 11.35, the FAA will consider all in the ADDRESSES section. and Determination of the Effective Date comments received by the closing date FAA’s Determination Section 553(b)(3)(B) of the and may amend this AD based on those This product has been approved by Administrative Procedure Act (APA) (5 comments. the aviation authority of another U.S.C. 551 et seq.) authorizes agencies The FAA will post all comments the country, and is approved for operation to dispense with notice and comment FAA receives, without change, to in the United States. Pursuant to the procedures for rules when the agency, https://www.regulations.gov, including FAA’s bilateral agreement with the State for ‘‘good cause,’’ finds that those any personal information you provide. of Design Authority, the FAA has been procedures are ‘‘impracticable, The FAA will also post a report notified of the unsafe condition unnecessary, or contrary to the public summarizing each substantive verbal described in the MCAI referenced interest.’’ Under this section, an agency, contact the FAA receives about this AD. upon finding good cause, may issue a above. The FAA is issuing this AD Confidential Business Information because the FAA evaluated all pertinent final rule without providing notice and information and determined the unsafe seeking comment prior to issuance. CBI is commercial or financial condition exists and is likely to exist or Further, section 553(d) of the APA information that is both customarily and develop on other products of the same authorizes agencies to make rules actually treated as private by its owner. type design. effective in less than thirty days, upon Under the Freedom of Information Act a finding of good cause. (FOIA) (5 U.S.C. 552), CBI is exempt Requirements of This AD An unsafe condition exists that from public disclosure. If your This AD requires accomplishing the requires the immediate adoption of this comments responsive to this AD contain actions specified in EASA AD 2020– AD without providing an opportunity commercial or financial information 0176 described previously, as for public comments prior to adoption. that is customarily treated as private, incorporated by reference, except for The FAA has found that the risk to the that you actually treat as private, and any differences identified as exceptions flying public justifies waiving notice that is relevant or responsive to this AD, in the regulatory text of this AD. and comment prior to adoption of this it is important that you clearly designate rule because airplanes operated with the submitted comments as CBI. Please Explanation of Required Compliance fuel mixed with Kathon FP 1.5 biocide mark each page of your submission Information could experience reduced engine containing CBI as ‘‘PROPIN.’’ The FAA In the FAA’s ongoing efforts to performance, resulting in reduced will treat such marked submissions as improve the efficiency of the AD controllability of the airplane. In confidential under the FOIA, and they process, the FAA initially worked with addition, the compliance time for the will not be placed in the public docket Airbus and EASA to develop a process required action is shorter than the time of this AD. Submissions containing CBI to use certain EASA ADs as the primary necessary for the public to comment and should be sent to the person identified source of information for compliance for publication of the final rule. in the FOR FURTHER INFORMATION with requirements for corresponding Accordingly, notice and opportunity for CONTACT section. Any commentary that FAA ADs. The FAA has since prior public comment are impracticable the FAA receives which is not coordinated with other manufacturers and contrary to the public interest specifically designated as CBI will be and civil aviation authorities (CAAs) to pursuant to 5 U.S.C. 553(b)(3)(B). placed in the public docket for this use this process. As a result, EASA AD In addition, the FAA finds that good rulemaking. 2020–0176 is incorporated by reference cause exists pursuant to 5 U.S.C. 553(d) Regulatory Flexibility Act (RFA) in this final rule. This AD, therefore, for making this amendment effective in requires compliance with EASA AD less than 30 days, for the same reasons The requirements of the RFA do not 2020–0176 in its entirety, through that the FAA found good cause. apply when an agency finds good cause incorporation, except for any differences pursuant to 5 U.S.C. 553 to adopt a rule Comments Invited identified as exceptions in the without prior notice and comment. regulatory text of this AD. Using This AD is a final rule that involves Because the FAA has determined that it common terms that are the same as the requirements affecting flight safety, and has good cause to adopt this rule heading of a particular section in the the FAA did not precede it by notice without notice and comment, RFA EASA AD does not mean that operators and opportunity for public comment. analysis is not required. need comply only with that section. For The FAA invites you to send any example, where the AD requirement written relevant data, views, or Costs of Compliance refers to ‘‘all required actions and arguments about this AD. Send your The FAA estimates that this AD compliance times,’’ compliance with comments to an address listed under the affects 163 airplanes of U.S. registry. this AD requirement is not limited to ADDRESSES section. Include ‘‘Docket No. The FAA estimates the following costs the section titled ‘‘Required Action(s) FAA–2020–0787; Project Identifier to comply with this AD:
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ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost on U.S. Labor cost Parts cost Cost per product operators
Up to 24 work-hours × $85 per hour = Up to $2,040 ...... $30 Up to $2,070 ...... Up to $337,410.
Authority for This Rulemaking § 39.13 [Amended] (j) Other FAA AD Provisions Title 49 of the United States Code ■ 2. The FAA amends § 39.13 by adding The following provisions also apply to this specifies the FAA’s authority to issue the following new airworthiness AD: directive (AD): (1) Alternative Methods of Compliance rules on aviation safety. Subtitle I, (AMOCs): The Manager, Large Aircraft section 106, describes the authority of 2020–18–10 Airbus SAS: Amendment 39– Section, International Validation Branch, the FAA Administrator. Subtitle VII: 21231; Docket No. FAA–2020–0787; FAA, has the authority to approve AMOCs Aviation Programs, describes in more Project Identifier MCAI–2020–01090–T. for this AD, if requested using the procedures detail the scope of the Agency’s (a) Effective Date found in 14 CFR 39.19. In accordance with authority. 14 CFR 39.19, send your request to your This AD becomes effective October 6, 2020. The FAA is issuing this rulemaking principal inspector or local Flight Standards under the authority described in (b) Affected ADs District Office, as appropriate. If sending information directly to the Large Aircraft Subtitle VII, Part A, Subpart III, Section None. Section, International Validation Branch, 44701: General requirements. Under (c) Applicability send it to the attention of the person that section, Congress charges the FAA identified in paragraph (k) of this AD. This AD applies to all of the Airbus SAS with promoting safe flight of civil Information may be emailed to: 9-AVS-AIR- airplanes, certificated in any category, [email protected]. Before using any aircraft in air commerce by prescribing specified in paragraphs (c)(1) through (3) of approved AMOC, notify your appropriate regulations for practices, methods, and this AD. principal inspector, or lacking a principal procedures the Administrator finds (1) Model A319–151N and –153N inspector, the manager of the local flight necessary for safety in air commerce. airplanes. standards district office/certificate holding This regulation is within the scope of (2) Model A320–251N, –252N, and –253N district office. airplanes. that authority because it addresses an (2) Contacting the Manufacturer: For any (3) Model A321–251N, –252N, –253N, unsafe condition that is likely to exist or requirement in this AD to obtain instructions –251NX, –252NX, and –253NX airplanes. develop on products identified in this from a manufacturer, the instructions must rulemaking action. (d) Subject be accomplished using a method approved by the Manager, Large Aircraft Section, Regulatory Findings Air Transport Association (ATA) of America Code 28, Fuel. International Validation Branch, FAA; or The FAA determined that this AD EASA; or Airbus SAS’s EASA Design will not have federalism implications (e) Reason Organization Approval (DOA). If approved by under Executive Order 13132. This AD This AD was prompted by a report the DOA, the approval must include the will not have a substantial direct effect indicating that Kathon FP 1.5 biocide added DOA-authorized signature. to fuel and running through an airplane’s (3) Required for Compliance (RC): For any on the States, on the relationship service information referenced in EASA AD between the national government and engines can lead to engine performance degradation. The FAA is issuing this AD to 2020–0176 that contains RC procedures and the States, or on the distribution of address airplanes operated with fuel mixed tests: Except as required by paragraph (j)(2) power and responsibilities among the with Kathon FP 1.5 biocide, which could of this AD, RC procedures and tests must be various levels of government. result in reduced engine performance, done to comply with this AD; any procedures For the reasons discussed above, I resulting in reduced controllability of the or tests that are not identified as RC are certify that this AD: airplane. recommended. Those procedures and tests (1) Is not a ‘‘significant regulatory that are not identified as RC may be deviated (f) Compliance from using accepted methods in accordance action’’ under Executive Order 12866, Comply with this AD within the with the operator’s maintenance or and compliance times specified, unless already inspection program without obtaining (2) Will not affect intrastate aviation done. approval of an AMOC, provided the in Alaska. procedures and tests identified as RC can be (g) Requirements done and the airplane can be put back in an List of Subjects in 14 CFR Part 39 Except as specified in paragraph (h) of this airworthy condition. Any substitutions or Air transportation, Aircraft, Aviation AD: Comply with all required actions and changes to procedures or tests identified as safety, Incorporation by reference, compliance times specified in, and in RC require approval of an AMOC. accordance with, European Union Aviation Safety. (k) Related Information Safety Agency (EASA) AD 2020–0176, dated Adoption of the Amendment August 5, 2020 (‘‘EASA AD 2020–0176’’). For more information about this AD, contact Sanjay Ralhan, Aerospace Engineer, Accordingly, under the authority (h) Exceptions to EASA AD 2020–0176 Large Aircraft Section, International delegated to me by the Administrator, (1) Where EASA AD 2020–0176 refers to its Validation Branch, FAA, 2200 South 216th the FAA amends 14 CFR part 39 as effective date, this AD requires using the St., Des Moines, WA 98198; telephone and follows: effective date of this AD. fax 206–231–3223; email Sanjay.Ralhan@ (2) The ‘‘Remarks’’ section of EASA AD faa.gov. 2020–0176 does not apply to this AD. PART 39—AIRWORTHINESS (l) Material Incorporated by Reference DIRECTIVES (i) Special Flight Permit (1) The Director of the Federal Register ■ 1. The authority citation for part 39 Special flight permits, as described in 14 approved the incorporation by reference CFR 21.197 and 21.199, are not allowed until (IBR) of the service information listed in this continues to read as follows: the applicable actions required by paragraph paragraph under 5 U.S.C. 552(a) and 1 CFR Authority: 49 U.S.C. 106(g), 40113, 44701. (g) of this AD have been accomplished. part 51.
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(2) You must use this service information the T/R hinge with a new nut, installing Airworthiness Information, or ‘‘the as applicable to do the actions required by a new nut and washer if necessary, and MCAI’’), to correct an unsafe condition this AD, unless this AD specifies otherwise. applying a torque stripe at each T/R for certain Airbus SAS Model A350–941 (i) European Union Aviation Safety Agency hinge location, as specified in a and –1041 airplanes. (EASA) AD 2020–0176, dated August 5, The FAA issued a notice of proposed 2020. European Union Aviation Safety Agency (ii) [Reserved] (EASA) AD, which is incorporated by rulemaking (NPRM) to amend 14 CFR (3) For information about EASA AD 2020– reference. The FAA is issuing this AD part 39 by adding an AD that would 0176, contact the EASA, Konrad-Adenauer- to address the unsafe condition on these apply to certain Airbus SAS Model Ufer 3, 50668 Cologne, Germany; telephone products. A350–941 and –1041 airplanes. The +49 221 8999 000; email ADs@ DATES: This AD is effective October 26, NPRM published in the Federal easa.europa.eu; Internet 2020. Register on April 16, 2020 (85 FR www.easa.europa.eu. You may find this The Director of the Federal Register 21115). The NPRM was prompted by a EASA AD on the EASA website at https:// approved the incorporation by reference report indicating that when the number ad.easa.europa.eu. 2 engine T/R was opened, the right- (4) You may view this material at the FAA, of a certain publication listed in this AD Airworthiness Products Section, Operational as of October 26, 2020. hand T/R hinge nut located at position Safety Branch, 2200 South 216th St., Des ADDRESSES: For the material 4 was found detached; investigation Moines, WA. For information on the incorporated by reference (IBR) in this revealed that certain nuts could have availability of this material at the FAA, call AD, contact the EASA, Konrad- been installed with noncompliant 206–231–3195. This material may be found Adenauer-Ufer 3, 50668 Cologne, locking features, or with locking in the AD docket on the internet at https:// Germany; telephone +49 221 8999 000; features that could degrade quicker than www.regulations.gov by searching for and anticipated. The NPRM proposed to locating Docket No. FAA–2020–0787. email [email protected]; internet www.easa.europa.eu. You may find this require inspecting each T/R hinge for (5) You may view this material that is the presence of a nut and washer, incorporated by reference at the National IBR material on the EASA website at Archives and Records Administration https://ad.easa.europa. You may view installing a new nut and washer if (NARA). For information on the availability this IBR material at the FAA, necessary, and applying a torque stripe of this material at NARA, email fedreg.legal@ Airworthiness Products Section, at each T/R hinge location, as specified nara.gov, or go to: https://www.archives.gov/ Operational Safety Branch, 2200 South in an EASA AD. federal-register/cfr/ibr-locations.html. 216th St., Des Moines, WA. For The FAA is issuing this AD to address Issued on August 25, 2020. information on the availability of this this condition, which, if occurring on multiple hinge attachments, could lead Lance T. Gant, material at the FAA, call 206–231–3195. It is also available in the AD docket on to in-flight loss of a T/R, consequent Director, Compliance & Airworthiness structural damage to the airplane, and Division, Aircraft Certification Service. the internet at https:// www.regulations.gov by searching for possible injury to persons on the [FR Doc. 2020–20680 Filed 9–18–20; 8:45 am] ground. See the MCAI for additional BILLING CODE 4910–13–P and locating Docket No. FAA–2020– 0330. background information. Examining the AD Docket Comments DEPARTMENT OF TRANSPORTATION The FAA gave the public the You may examine the AD docket on opportunity to participate in developing Federal Aviation Administration the internet at https:// this final rule. The following presents www.regulations.gov by searching for the comments received on the NPRM 14 CFR Part 39 and locating Docket No. FAA–2020– and the FAA’s response to each 0330; or in person at Docket Operations [Docket No. FAA–2020–0330; Product comment. Identifier 2020–NM–031–AD; Amendment between 9 a.m. and 5 p.m., Monday 39–21236; AD 2020–18–15] through Friday, except Federal holidays. Support for the NPRM The AD docket contains this final rule, The Air Line Pilots Association, RIN 2120–AA64 any comments received, and other International (ALPA), Manikandan Raja, information. The address for Docket Airworthiness Directives; Airbus SAS and an anonymous commenter stated Operations is U.S. Department of support for the NPRM. Airplanes Transportation, Docket Operations, M– AGENCY: Federal Aviation 30, West Building Ground Floor, Room Request To Exempt Operators From Administration (FAA), Department of W12–140, 1200 New Jersey Avenue SE, Torque Stripe Requirement Transportation (DOT). Washington, DC 20590. Delta Airlines (DAL) asked that ACTION: Final rule. FOR FURTHER INFORMATION CONTACT: operators be exempt from applying the Kathleen Arrigotti, Aerospace Engineer, torque stripe required by EASA AD SUMMARY: The FAA is adopting a new Large Aircraft Section, International 2020–0028 (referenced in the proposed airworthiness directive (AD) for certain Validation Branch, FAA, 2200 South AD as the appropriate source of service Airbus SAS Model A350–941 and –1041 216th St., Des Moines, WA 98198; information for accomplishing the airplanes. This AD was prompted by a telephone and fax 206–231–3218; email required actions). DAL stated that there report indicating that when the number [email protected]. are no mandated requirements in EASA 2 engine thrust reverser (T/R) was SUPPLEMENTARY INFORMATION: AD 2020–0028 or the service opened, the right-hand T/R hinge nut information referenced in EASA AD located at position 4 was found Discussion 2020–0028 for repetitive inspections of detached; investigation revealed that The EASA, which is the Technical the nut or verification for the presence certain nuts could have been installed Agent for the Member States of the of an intact torque stripe to ensure the with noncompliant locking features, or European Union, has issued EASA AD nut has not rotated over time. DAL with locking features that could degrade 2020–0028, dated February 14, 2020 added that the current aircraft quicker than anticipated. This AD (‘‘EASA AD 2020–0028’’) (also referred maintenance manual (AMM) instructs requires replacing any existing nut on to as the Mandatory Continuing operators to apply a torque stripe at the
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intended locations during routine correspond to the instructions in the • Are consistent with the intent that maintenance. DAL noted that the torque service information referenced in EASA was proposed in the NPRM for stripe has the potential to degrade over AD 2020–0028. EASA has since advised addressing the unsafe condition; and time, which could create a potential the FAA that the inspection is • Do not add any additional burden noncompliance risk to operators, unnecessary. The FAA has therefore upon the public than was already despite having previously accomplished revised this AD to remove that proposed in the NPRM. the requirements in the proposed AD. inspection and to instead require The FAA acknowledges that adding Related IBR Material Under 1 CFR Part compliance ‘‘with all required actions 51 the torque stripe is a one-time task with and compliance times specified in, and no repeated check; however, the FAA in accordance with, EASA AD 2020– EASA AD 2020–0028 describes procedures for replacing any existing agrees with the state of design that 0028.’’ The FAA further revised the adding it is done to bring the aircraft nut on the T/R hinge with a new nut, Summary section to remove the back to type design. DAL’s approved installing a new nut and washer if inspection and expand upon the maintenance program should not affect neither is installed, and applying a the requirements of this AD. The FAA required actions, including possible torque stripe at each location. This has not changed this AD in this regard. replacement. material is reasonably available because the interested parties have access to it Explanation of Change to AD Conclusion through their normal course of business The Reason section of EASA AD The FAA reviewed the relevant data, or by the means identified in the 2020–0028 stated that ‘‘this AD requires considered the comments received, and ADDRESSES section. a one-time inspection of the T/R hinge determined that air safety and the Costs of Compliance nuts’’ as one of the proposed public interest require adopting this requirements. In the FAA NPRM, the final rule as proposed, except for minor The FAA estimates that this AD FAA added an inspection of the T/R editorial changes. The FAA has affects 13 airplanes of U.S. registry. The hinge for the presence of nut and determined that these minor changes: FAA estimates the following costs to washer, in order to more closely comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost on U.S. Labor cost Parts cost Cost per product operators
Up to 4 work-hours × $85 per hour = Up to $340 ...... $984 Up to $1,324 ...... Up to $17,212.
According to the manufacturer, some Regulatory Findings PART 39—AIRWORTHINESS or all of the costs of this AD may be DIRECTIVES covered under warranty, thereby This AD will not have federalism reducing the cost impact on affected implications under Executive Order ■ 1. The authority citation for part 39 individuals. The FAA does not control 13132. This AD will not have a continues to read as follows: substantial direct effect on the States, on warranty coverage for affected Authority: 49 U.S.C. 106(g), 40113, 44701. individuals. As a result, the FAA has the relationship between the national included all known costs in the cost government and the States, or on the § 39.13 [Amended] estimate. distribution of power and ■ 2. The FAA amends § 39.13 by adding responsibilities among the various the following new airworthiness Authority for This Rulemaking levels of government. directive (AD): Title 49 of the United States Code For the reasons discussed above, I 2020–18–15 Airbus SAS: Amendment 39– specifies the FAA’s authority to issue certify that this AD: 21236; Docket No. FAA–2020–0330; rules on aviation safety. Subtitle I, (1) Is not a ‘‘significant regulatory Product Identifier 2020–NM–031–AD. section 106, describes the authority of action’’ under Executive Order 12866, (a) Effective Date the FAA Administrator. Subtitle VII: (2) Will not affect intrastate aviation Aviation Programs, describes in more This AD is effective October 26, 2020. in Alaska, and detail the scope of the Agency’s (b) Affected ADs (3) Will not have a significant authority. None. The FAA is issuing this rulemaking economic impact, positive or negative, under the authority described in on a substantial number of small entities (c) Applicability Subtitle VII, Part A, Subpart III, Section under the criteria of the Regulatory This AD applies to Airbus SAS Model 44701: General requirements. Under Flexibility Act. A350–941 and –1041 airplanes, certificated that section, Congress charges the FAA in any category, as identified in European List of Subjects in 14 CFR Part 39 Union Aviation Safety Agency (EASA) AD with promoting safe flight of civil 2020–0028, dated February 14, 2020 (‘‘EASA aircraft in air commerce by prescribing Air transportation, Aircraft, Aviation AD 2020–0028’’). regulations for practices, methods, and safety, Incorporation by reference, procedures the Administrator finds Safety. (d) Subject Air Transport Association (ATA) of necessary for safety in air commerce. Adoption of the Amendment This regulation is within the scope of America Code 78, Exhaust. that authority because it addresses an Accordingly, under the authority (e) Reason unsafe condition that is likely to exist or delegated to me by the Administrator, This AD was prompted by a report develop on products identified in this the FAA amends 14 CFR part 39 as indicating that when the number 2 engine rulemaking action. follows: thrust reverser (T/R) was opened, the right-
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hand T/R hinge nut located at position 4 was recommended. Those procedures and tests DEPARTMENT OF TRANSPORTATION found detached; investigation revealed that that are not identified as RC may be deviated certain nuts could have been installed with from using accepted methods in accordance Federal Aviation Administration noncompliant locking features, or with with the operator’s maintenance or locking features that could degrade quicker inspection program without obtaining 14 CFR Part 39 than anticipated. The FAA is issuing this AD approval of an AMOC, provided the to address this condition, which, if occurring [Docket No. FAA–2016–6140; Product procedures and tests identified as RC can be on multiple hinge attachments, could lead to Identifier 2015–NM–059–AD; Amendment in-flight loss of a T/R, consequent structural done and the airplane can be put back in an 39–21233; AD 2020–18–12] damage to the airplane, and possible injury airworthy condition. Any substitutions or to persons on the ground. changes to procedures or tests identified as RIN 2120–AA64 RC require approval of an AMOC. (f) Compliance Airworthiness Directives; The Boeing Comply with this AD within the (k) Related Information Company Airplanes compliance times specified, unless already For more information about this AD, AGENCY: Federal Aviation done. contact Kathleen Arrigotti, Aerospace Administration (FAA), DOT. (g) Requirements Engineer, Large Aircraft Section, ACTION: Final rule. Except as specified in paragraph (h) of this International Validation Branch, FAA, 2200 South 216th St., Des Moines, WA 98198; AD: Comply with all required actions and SUMMARY: The FAA is adopting a new compliance times specified in, and in telephone and fax 206–231–3218; email airworthiness directive (AD) for certain accordance with, EASA AD 2020–0028. [email protected]. The Boeing Company Model 777–200, (h) Exceptions to EASA AD 2020–0028 (l) Material Incorporated by Reference –200LR, and –300 series airplanes. This (1) Where EASA AD 2020–0028 refers to its (1) The Director of the Federal Register AD was prompted by the FAA’s analysis effective date, this AD requires using the approved the incorporation by reference of the Model 777 fuel system reviews effective date of this AD. (IBR) of the service information listed in this conducted by the manufacturer. This (2) The ‘‘Remarks’’ section of EASA AD paragraph under 5 U.S.C. 552(a) and 1 CFR AD requires modifying the fuel quantity 2020–0028 does not apply to this AD. part 51. indicating system (FQIS) to prevent (i) No Reporting Requirement (2) You must use this service information development of an ignition source Although the service information as applicable to do the actions required by inside the center fuel tank due to referenced in EASA AD 2020–0028 specifies this AD, unless this AD specifies otherwise. electrical fault conditions. This AD also to submit certain information to the (i) European Union Aviation Safety Agency provides alternative actions for cargo manufacturer, this AD does not include that (EASA) AD 2020–0028, dated February 14, airplanes. The FAA is issuing this AD requirement. 2020. to address the unsafe condition on these (j) Other FAA AD Provisions (ii) [Reserved] products. (3) For information about EASA 2020– The following provisions also apply to this DATES: This AD is effective October 26, AD: 0028, contact the EASA, Konrad-Adenauer- 2020. (1) Alternative Methods of Compliance Ufer 3, 50668 Cologne, Germany; telephone ADDRESSES: (AMOCs): The Manager, Large Aircraft +49 221 8999 000; email ADs@ Section, International Validation Branch, easa.europa.eu; internet Examining the AD Docket FAA, has the authority to approve AMOCs www.easa.europa.eu. You may find this You may examine the AD docket on for this AD, if requested using the procedures EASA AD on the EASA website at https:// the internet at https:// found in 14 CFR 39.19. In accordance with ad.easa.europa.eu. 14 CFR 39.19, send your request to your www.regulations.gov by searching for (4) You may view this material at the FAA, and locating Docket No. FAA–2016– principal inspector or local Flight Standards Airworthiness Products Section, Operational District Office, as appropriate. If sending 6140; or in person at Docket Operations Safety Branch, 2200 South 216th St., Des information directly to the Large Aircraft between 9 a.m. and 5 p.m., Monday Section, International Validation Branch, Moines, WA. For information on the through Friday, except Federal holidays. send it to the attention of the person availability of this material at the FAA, call The AD docket contains this final rule, identified in paragraph (k) of this AD. 206–231–3195. This material may be found any comments received, and other Information may be emailed to: 9-AVS-AIR- in the AD docket on the internet at https:// information. The address for Docket [email protected]. Before using any www.regulations.gov by searching for and approved AMOC, notify your appropriate Operations is U.S. Department of locating Docket No. FAA–2020–0330. Transportation, Docket Operations, M– principal inspector, or lacking a principal (5) You may view this material that is 30, West Building Ground Floor, Room inspector, the manager of the local flight incorporated by reference at the National standards district office/certificate holding W12–140, 1200 New Jersey Avenue SE, Archives and Records Administration district office. Washington, DC 20590. (2) Contacting the Manufacturer: For any (NARA). For information on the availability of this material at NARA, email fedreg.legal@ FOR FURTHER INFORMATION CONTACT: Jon requirement in this AD to obtain instructions Regimbal, Aerospace Engineer, from a manufacturer, the instructions must nara.gov, or go to: https://www.archives.gov/ be accomplished using a method approved federal-register/cfr/ibr-locations.html. Propulsion Section, FAA, Seattle ACO Branch, 2200 South 216th St., Des by the Manager, International Section, Issued on August 26, 2020. Transport Standards Branch, FAA; or EASA; Moines, WA 98198; phone and fax: 206– or Airbus SAS’s EASA Design Organization Gaetano A. Sciortino, 231–3557; email: [email protected]. Approval (DOA). If approved by the DOA, Deputy Director for Strategic Initiatives, SUPPLEMENTARY INFORMATION: the approval must include the DOA- Compliance & Airworthiness Division, authorized signature. Aircraft Certification Service. Discussion (3) Required for Compliance (RC): For any [FR Doc. 2020–20675 Filed 9–18–20; 8:45 am] The FAA issued a notice of proposed service information referenced in EASA AD 2020–0028 that contains RC procedures and BILLING CODE 4910–13–P rulemaking (NPRM) to amend 14 CFR tests: Except as required by paragraph (j)(2) part 39 by adding an AD that would of this AD, RC procedures and tests must be apply to certain The Boeing Company done to comply with this AD; any procedures Model 777 airplanes. The NPRM or tests that are not identified as RC are published in the Federal Register on
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May 4, 2016 (81 FR 26750). The NPRM noncompliant design areas identified in average risk and total fleet risk, the FAA was prompted by the FAA’s analysis of the manufacturer’s fuel system reviews examines the individual flight risk on the Model 777 fuel system reviews and to determine which noncompliance the worst reasonably anticipated flights. conducted by the manufacturer. The issues were unsafe conditions that In general, the FAA issues ADs in cases NPRM proposed to require modifying required corrective action under 14 CFR where reasonably anticipated flights the FQIS to prevent development of an part 39. The FAA’s unsafe condition with preexisting failures (either due to ignition source inside the center fuel determination was not based on an latent failure conditions or allowable tank due to electrical fault conditions. assessment of average risk or total fleet dispatch configurations) are vulnerable The NPRM also proposed to provide risk, but rather was driven by the to a catastrophic event due to an alternative actions for cargo airplanes. qualitative identification of an additional foreseeable single failure The FAA is issuing this AD to address unacceptable level of individual risk condition. This is because the FAA ignition sources inside the center fuel that exists on flights that are anticipated considers operation of flights vulnerable tank, which, in combination with to occur with a preexisting latent in- to a potentially catastrophic single flammable fuel vapors, could result in a tank failure condition and with a failure condition to be an excessive fuel tank explosion and consequent loss flammable center fuel tank. For these safety risk to the passengers on those of the airplane. reasons, and based on further detailed flights. The FAA has determined that responses to similar comments in the the currently mandated SFAR 88 service Comments supplemental NPRM (SNPRM) for bulletins, airworthiness limitations, and The FAA gave the public the Docket No. FAA–2012–0187 (80 FR critical design configuration control opportunity to participate in developing 9400, February 23, 2015), and in the limitations do not adequately address this final rule. The following presents subsequently issued final rule, AD the unsafe condition identified in this the comments received on the NPRM 2016–07–07, Amendment 39–18452 (81 AD and therefore it is necessary to issue and the FAA’s response to each FR 19472, April 5, 2016) (‘‘AD 2016–07– this final rule. The FAA has not comment. 07’’), which addressed the same unsafe changed this AD regarding this issue. condition for Boeing Model 757 Support for the NPRM Request To Withdraw NPRM: airplanes, the FAA has determined that Inadequate Fleet Exposure and Cost The Air Line Pilots Association, it is necessary to issue this final rule. International (ALPA) and National Air Estimates Traffic Controllers Association Request To Withdraw NPRM: Boeing requested that the FAA (NATCA) supported the intent of the Unjustified by Risk withdraw the NPRM. Boeing stated that NPRM. Additional comments from KLM Royal Dutch Airlines (KLM), the fleet exposure for the affected fleet NATCA are addressed below. Cathay Pacific (Cathay), and Emirates continues to decrease due to aging Request To Withdraw NPRM: No requested that the FAA withdraw the airplanes. Boeing added that the Unsafe Condition NPRM. KLM stated that it understands estimated costs in the NPRM do not take that Boeing is not able to explain or into account the costs of compliance for Boeing requested that the FAA substantiate the rationale behind the passenger airplanes without FRM withdraw the NPRM. Boeing suggested NPRM. Singapore Airlines (SIA) installed. that, by requiring center fuel tank FQIS suggested that the FAA should consider The FAA disagrees with the wire separation for passenger airplanes the Special Federal Aviation Regulation commenter’s request. The FAA did not that have not incorporated a nitrogen (SFAR) No. 88 (in 14 CFR part 21) base its unsafe condition determination generating system (NGS), the NPRM modifications that have already been on fleet risk but instead on individual specifically addresses airplanes implemented to mitigate ignition risks risk. This is discussed in detail in the regulated by the European Union and the resultant reduced risk exposure. response to comments in the SNPRM for Aviation Safety Agency (EASA) and SIA added that the determination of the Docket No. FAA–2012–0187, under the other civil aviation authorities and the risk level should also consider the heading ‘‘Request To Withdraw NPRM lack of a flammability reduction means remaining operating life of the Model (77 FR 12506, March 1, 2012): (FRM) rule. Boeing stated that because 777 fleet. The FAA infers that SIA is Unjustified by Risk.’’ Therefore, the age it considered the use of FRM (NGS) to also requesting that the NPRM be of the airplane does not affect the address unknown ignition sources as withdrawn. Cathay noted that operators determination that an unsafe condition the final corrective action, Boeing has have already accomplished numerous still exists on an individual airplane. not developed center tank FQIS wire SFAR 88-related service bulletins, The NPRM for this final rule did separation service instructions for which have increased the level of fuel contain a cost estimate for passenger passenger aircraft. Boeing stated that it system safety. KLM and Emirates stated airplanes that was based on the estimate believes no unsafe condition exists and that the NPRM does not clarify the provided by Boeing for the Model 757 does not feel that the lack of FRM rule necessity of additional actions beyond and Model 767 airplanes, which have an harmonization should cause additional the currently mandated SFAR 88-related FQIS of similar design. The FAA notes work and expense for airlines. service bulletins, airworthiness that Boeing asserted that the cost to The FAA disagrees with the limitations, and critical design operators of modifying an airplane’s commenter’s request. The FAA configuration control limitations FQIS to be fully compliant with the determined that an unsafe condition (CDCCLs). airworthiness standards would be exists using the criteria in FAA Policy The FAA disagrees with the similar to the cost of installing Boeing’s Memorandum ANM100–2003–112–15, commenters’ request. The FAA notes NGS flammability reduction system. ‘‘SFAR 88—Mandatory Action Decision that similar comments were addressed Based on that, Boeing requested that the 1 Criteria,’’ dated February 25, 2003. in the SNPRM for Docket No. FAA– FAA agree to not require Boeing to That policy was used to evaluate the 2012–0187 in the comment response for develop service information for a fully ‘‘Request To Withdraw NPRM (77 FR compliant FQIS modification. However, 1 http://rgl.faa.gov/Regulatory_and_Guidance_ Library/rgPolicy.nsf/0/ 12506, March 1, 2012): Unjustified by the FAA used Boeing’s estimate of the dc94c3a46396950386256d5e006aed11/$FILE/ Risk.’’ As explained in that comment cost to modify the Model 757 and Model Feb2503.pdf. response, in addition to examining 767 FQIS to a fully part-25-compliant
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configuration to provide the estimated proposed AD are limited to the center Boeing was the design approval holder. costs in the NPRM, based on an wing tank, therefore only built-in test The FAA agreed at that time to not assumption that the cost for Model 747 equipment (BITE) check messages require Boeing to develop a BITE check airplanes would be similar. At the time, pertaining to the center wing tank are service bulletin for the Model 777 Boeing concurred with this estimate. applicable to the proposed AD. In airplanes because Boeing had not yet This is discussed in detail in the addition, Boeing stated that a final rule developed a cargo conversion service response to comments in the SNPRM for should be postponed until the FAA bulletin or supplemental type certificate Docket No. FAA–2012–0187. The FAA develops a list of ‘‘nondispatchable fault (STC) for the Model 777 airplanes. The has not changed this AD regarding this codes’’ in conjunction with Boeing. FAA also considered that, because the issue. The FAA agrees that the unsafe BITE check instructions already existed condition addressed by this AD is in the Model 777 AMM, a BITE check Request To Cancel Any Retroactive limited to the center wing tank. service bulletin could be developed Modification Requirements However, the FAA does not agree that quickly at a later date if needed. In Cathay and KLM requested that any the AD should be changed as proposed addition, the process for obtaining FAA plans to require retroactive modification by Boeing. It is not clear to the FAA agreement on a list of nondispatchable to install FRM on in-service airplanes be whether there may be FQIS BITE fault fault codes for the models Boeing chose cancelled. Cathay stated that EASA does codes that are not clearly identified as to support took less than 30 days. If any not plan to require retroactive related to the center wing tank but that service information is developed to modification to install FRM on in- may impact center tank circuits. support compliance with paragraph (h) service airplanes registered in the EASA Therefore, the FAA has determined that of this AD it will be evaluated for member states. Cathay noted that Hong all nondispatchable fault codes recorded approval using the AMOC process Kong Airworthiness Notice No. 103 prior to the BITE check or as a result of specified in paragraph (i) of this AD. states that FRM is non-mandatory on the BITE check required by paragraph aircraft manufactured before February 1, (h)(1) of this AD must be addressed. Request To Exclude Certain Airplanes 2012. Cathay added that if the NPRM is Operators or Boeing may request an From the Applicability not withdrawn, it should be limited to alternative method of compliance Boeing requested that the proposed U.S.-registered airplanes. KLM noted (AMOC) under the provisions of AD be revised to exclude all Model 777– that the proposed AD would create a paragraph (i) of this AD if they can 300ER and 777F airplanes, as well as all huge financial burden. KLM also noted provide sufficient data that a particular airplanes having line numbers 562 and that EASA only adopted the fault code does not pertain to the unsafe subsequent. Boeing explained that all requirement to equip an FRM on newly condition addressed by this AD. Model 777–300ER and 777F airplanes delivered airplanes. Regarding the requirement to record were produced with FQIS center wing The FAA does not agree. First, the and address fault codes read tank wire separation that has been FAA has already issued a final rule, immediately prior to running the BITE shown to be compliant with 14 CFR Reduction of Fuel Tank Flammability in check procedure, the FAA notes that the 25.981(a)(3) as amended by amendment Transport Category Airplanes (73 FR normal Boeing procedure for performing 25–102 (66 FR 23086, May 7, 2001) 42444, July 21, 2008), the Fuel Tank an FQIS BITE check is to first erase all (‘‘amendment 25–102’’). Boeing added Flammability Reduction (FTFR) rule, of the existing fault codes, then perform that all Model 777 passenger airplanes which requires retrofitting of FRM or the BITE check and troubleshoot any after line number 562 were also ignition mitigation means (IMM) on resulting new fault codes. For this AD, produced with FQIS center wing tank passenger airplanes. The FAA has no the FAA did not want any already wire separation that has been shown to plans to rescind that action, which was stored fault codes to be potentially be compliant with 14 CFR 25.981(a)(3), intended to increase the level of fuel ignored due to erasure at the first step as amended by amendment 25–102. tank safety on transport airplanes. because some of the failures of concern KLM also requested that the proposed Separately from that rulemaking, the can be intermittent. This AD therefore AD be revised to exclude line numbers FAA has determined that an unsafe requires operators to record the existing 562 and subsequent because those condition exists in several Boeing and codes before doing the BITE check, then airplanes have an improved FQIS wire Airbus models, including early versions do the BITE check and record the new separation, removing any potential for of the Model 777 airplanes. The reasons codes that result from that BITE check, the unsafe condition to occur. behind that determination are detailed and then do the appropriate The FAA agrees for the reasons in the response to comments in the troubleshooting and corrective action provided. The FAA has revised SNPRM for Docket No. FAA–2012– for both sets of codes per the paragraph (c) of this AD to remove the 0187, under the heading ‘‘Request To manufacturer’s guidance. The FAA has requested airplanes from the Withdraw NPRM (77 FR 12506, March not changed this AD regarding this applicability. The FAA has also revised 1, 2012): Unjustified by Risk.’’ The FAA issue. the Costs of Compliance section of this acknowledges that the cost of this Finally, the FAA does not agree to AD accordingly. retrofitting may be high, but has delay the final rule while Boeing determined that the unsafe condition proposes and obtains FAA agreement on Request To Exclude Airplanes Based on must be addressed. a list of nondispatchable fault codes. Prior Incorporation of Certain Service The FAA requested service information Information Request To Record Only Certain Codes from Boeing in 2016 to support the Air France requested that the Boeing requested that paragraph (h)(1) option for all-cargo airplanes on all of applicability of the proposed AD be of the proposed AD be revised to only the Boeing models for which similar revised to exclude airplanes on which require corrective actions if a FQIS ADs were planned. Boeing chose certain service information has been nondispatchable fault code pertaining to at that time to develop service incorporated. the center wing tank is recorded (as information only for the Model 747– The FAA disagrees with the opposed to any nondispatchable fault 400, 757, and 767 airplanes because at commenter’s request (which the code being recorded). Boeing stated that that time only those airplanes had commenter inadvertently posted to all FQIS wire separation changes in the affected cargo configuration for which docket FAA–2016–6141). The service
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information mentioned by the disagrees with NATCA’s request. The bring the airplane into full regulatory commenter does not address the unsafe FAA received similar requests to extend compliance. NATCA added that the condition identified in this AD. The the compliance time from several combination of failures described in the FAA has not changed this AD regarding commenters regarding the NPRMs for NPRM meets the criteria for ‘‘known this issue. the FQIS modification on other combinations’’ of failures that require airplanes. The FAA has determined that corrective action in FAA Policy Request To Remove Inspection a 72-month compliance time is Memorandum ANM100–2003–112–15. Requirement for Cargo Airplanes appropriate and will provide operators The FAA disagrees with the Air France noted that paragraph (h)(1) adequate time to prepare for and commenter’s request. The FAA has of the proposed AD requires an perform the required modifications determined that, according to FAA inspection (BITE check) on cargo without excessive disruption of Policy Memorandum ANM100–2003– airplanes. Air France asked why this operations. The FAA has determined 112–15, the failure condition for the action is required on cargo airplanes but that the requested moderate increase in airplanes affected by this AD should not not passenger airplanes. compliance time will continue to be classified as a ‘‘known combination.’’ The FAA infers that the commenter is provide an acceptable level of safety. While the FQIS design architecture is requesting that the FAA remove The FAA has revised paragraphs (g) and similar to that of the early Boeing Model paragraph (h)(1) of this AD. The FAA (h)(2) of this AD accordingly. 747 configuration that is suspected of disagrees with the commenter’s request contributing to the TWA Flight 800 fuel (which the commenter inadvertently Request To Exclude Airplanes To Be tank explosion, significant differences posted to docket FAA–2016–6141). The Retired exist in the design of FQIS components FAA has determined that the changes British Airways (BA) requested that and wire installations between the required for passenger airplanes—either the proposed AD be revised to provide affected Boeing airplane models and the compliance with the FTFR regulations dispensation for aircraft to be retired, early Model 747 airplanes such that the or modification of the FQIS to make it which would not be prohibitive for intent of the ‘‘known combinations’’ fully compliant with the airworthiness operators. provision for low-flammability fuel regulations—are adequate to address the The FAA infers that the commenter is tanks in the policy memorandum is not unsafe condition without the periodic requesting an extension of the applicable. Therefore, this AD affects BITE check required under the optional compliance time for airplanes that will only the identified Boeing airplanes method of compliance for cargo be retired by a certain date or for the AD with high-flammability exposure time airplanes. The optional method of to exclude those airplanes from this AD. fuel tanks, as specified in paragraph (c) compliance for cargo airplanes does not The FAA notes that the commenter did of this AD. The FAA provided a detailed require compliance with the FTFR not propose a specific period of response to similar comments in the regulations or a fully compliant FQIS additional time for operation without preamble of the final rule for AD 2016– modification so the additional checks addressing the unsafe condition, and 07–07. The FAA has not changed this are necessary. The FAA has not changed did not propose any specific alternative final rule regarding this issue. the AD regarding this issue. corrective actions. In addition, it is the FAA’s understanding that BA no longer Request To Require Cargo Airplane Request To Change Compliance Time operates any of the affected airplanes. Option for All Airplanes Japan Airlines (JAL) requested that As previously mentioned, the FAA has Boeing requested that the NPRM be the FAA extend the compliance time for revised this AD to provide 72 months revised to make the alternative actions the modifications specified in from the effective date of this AD for for cargo airplanes specified in paragraphs (g) and (h)(2) of the incorporation of the required paragraph (h) of the proposed AD proposed AD to 72 months. JAL stated modification, which should allow applicable to all airplanes, including that Boeing anticipates that the adequate time to plan for retiring passenger airplanes with FRM not installation of NGS will be an AMOC for aircraft if needed. If an operator wishes installed due to differences in foreign the actions specified in the proposed to make a specific proposal, they can regulations. In addition, Boeing AD. JAL added that some Model 777 submit that proposal using the AMOC requested that the actions specified in airplanes are already being retired and process. The FAA has not changed this paragraph (h) of the proposed AD that non-U.S. operators have not been AD regarding this issue. become the primary means of mandated to install NGS. SIA requested compliance for all airplanes, not an Request To Address Unsafe Condition that the compliance timeline take into alternative method of compliance for on All Fuel Tanks consideration the lack of availability of some airplanes. a specific modification for operators to NATCA recommended that the FAA The FAA disagrees with the comply with, but did not request a require design changes that eliminate commenter’s request. As discussed in specific change to the proposed unsafe FQIS failure conditions on all the comment response in the SNPRM compliance time. fuel tanks on the affected models, for Docket No. FAA–2012–0187, under Conversely, NATCA recommended regardless of fuel tank location or the the heading ‘‘Requests To Withdraw that the FAA reject requests for a percentage of time the fuel tank is NPRM (77 FR 12506, March 1, 2012) compliance time longer than 5 years as flammable. NATCA referred to four fuel Based on Applicability’’ the FAA does proposed in the NPRM. Assuming final tank explosions in low-flammability not consider the alternative action for rule issuance in 2016, NATCA stated exposure time fuel tanks identified by cargo airplanes allowed by this AD to that a 5-year compliance time would the FAA during FTFR rulemaking. provide an adequate level of safety for result in required compliance by 2021— NATCA stated that neither FRM nor passenger airplanes. The FAA is willing 25 years after the TWA Flight 800 fuel alternative actions for cargo airplanes to accept a higher level of individual tank explosion that led to the (e.g., BITE checks (checks of built-in test flight risk exposure for cargo flights that requirements in SFAR 88, and 20 years equipment) followed by applicable are not fail-safe due to the absence of after issuance of SFAR 88. repairs before further flight and passengers and the resulting significant The FAA agrees with JAL’s request to modification of the center fuel tank reduction in occupant exposure on a extend the compliance time, and FQIS wiring within 60 months) would cargo airplane versus a passenger
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airplane, and due to relatively low agrees that modifications to comply include such information in paragraph estimated individual flight risk that with paragraph (g) of this AD should be (h) of this AD. In addition, some parties would exist on a cargo airplane after the required to comply with the referenced may choose to comply with the AD corrective actions are taken. The FAA regulations, that requirement already using a design change that fully has not changed this AD regarding this exists in 14 CFR part 21. No change to complies with the airworthiness issue. this AD is necessary. standards. The FAA also notes that the commenter appears to misunderstand Request To Exclude Certain Airplanes Request To Require Modification on All why an exemption is needed for the Production Airplanes United Airlines (UAL) noted that 14 required modification. The exemption is CFR 121.1117 requires that an FRM will NATCA recommended that the FAA needed because, even with the have been installed on all affected require designs that comply with 14 modification, the FQIS does not comply airplanes in passenger configuration by CFR 25.901(c) and 25.981(a)(3) on all with 14 CFR 25.901(c) and 14 CFR December 26, 2018, well ahead of the newly produced transport airplanes. 25.981(a). The exemption does not compliance deadline of the proposed NATCA stated that continuing to grant authorize evaluation of a partial system AD. UAL further suggested that the FAA exemptions to 14 CFR 25.901(c), as for compliance with the system level either delete paragraph (g) of the amended by amendment 25–40 (42 FR requirement. The FAA has not changed proposed AD or make paragraph (g) of 15042, March 17, 1977); and 14 CFR this AD regarding this issue. the proposed AD applicable only to 25.981(a)(3), as amended by amendment airplanes in a cargo configuration that 25–102; has allowed continued Request To Change Compliance Time do not have an FRM installed and non- production of thousands of airplanes Relative to Receipt of Exemption U.S.-registered airplanes that do not with this known unsafe condition. Boeing requested that the FAA revise have to comply with FRM requirements. The FAA disagrees with the the compliance time for the proposed The FAA disagrees with the commenter’s request. The AD to ‘‘60 months after an exemption commenter’s request. There are other recommendation to require production from [14 CFR 25.981(a)(3)] is FAA- passenger-carrying airplanes operated airplanes to fully comply with 14 CFR approved.’’ Boeing suggested that it under 14 CFR part 91 that are not 25.901(c) and 14 CFR 25.981(a)(3) is would take 6 months to develop an required to install FRM. (The outside the scope of this rulemaking. In exemption petition and 6 months for the requirement to install FRM on all addition, the FAA has implemented FAA to approve that exemption. Boeing passenger-carrying airplanes operated requirements for all large transport added that the FAA has previously by air carriers is in 14 CFR 121.1117.) airplanes produced after September identified that the BITE checks The FAA notes that foreign air carriers 2010 to include flammability reduction procedure and wire separation design may not have to comply with that methods for tanks that would otherwise were not sufficient for compliance with requirement or similar requirements of be high-flammability fuel tanks. Boeing 14 CFR 25.981(a)(3). their own civil aviation authority. incorporated this change into the Model The FAA disagrees with the EASA, for example, has chosen not to 777 series airplanes that are still in commenter’s request. An AD typically require FRM to be retrofitted to in- production and the FAA has excluded does not include a compliance time that service airplanes. This AD is intended those models from the applicability of is based on an optional action that an to require any Model 777 series this AD. The FAA has not changed this operator or manufacturer might choose passenger airplane that does not have final rule regarding this issue. to take. In addition, the FAA notes that FRM, regardless of the rules under Boeing has already received exemptions Request To State That an Exemption Is which it is operated, to address the for Model 747–400, 757, and 767 Required FQIS latent-plus-one unsafe condition airplanes, and could quickly petition for with a corrective action that fully Boeing requested that paragraph (h) of and obtain approval of a similar complies with the FAA airworthiness the proposed AD be revised to state that exemption for the Model 777 airplanes standards. This requirement fulfills the an exemption is required to accomplish using an almost identical petition. The FAA’s International Civil Aviation the specified actions. Boeing stated that FAA’s flow time to disposition such a Organization (ICAO) obligation to the FAA has identified that the BITE petition would be approximately 90 address unsafe conditions on all of the procedure and wire separation design days, during which time Boeing could aircraft manufactured by the state of changes specified in the proposed AD still proceed with development of the design, not just those aircraft whose are not sufficient for compliance to 14 modification. In addition, as noted operation is under the jurisdiction of the CFR 25.981(a) at the FQIS level. Boeing above, the compliance time for the state of design. The FAA has not stated that an exemption is therefore actions specified in paragraph (h)(2) of changed this AD regarding this issue. needed prior to approval of the related this AD has been extended to 72 design change. months, giving additional time for Request To Clarify Certification Basis The FAA agrees to clarify. The BITE operators or manufacturers to obtain an for Modification Requirements check is not a type design change or exemption. NATCA recommended that the FAA alteration, so no exemption from the revise paragraph (g) of the proposed AD airworthiness standards is required for Request To Extend Repetitive BITE to clearly state that the required FQIS that action. The design data approval of Check Interval design changes must comply with the any partial wire separation modification Boeing requested that paragraph (h)(1) fail-safe requirements of 14 CFR would require an exemption. That of the proposed AD be revised to extend 25.901(c), as amended by amendment exemption would be obtained by the the repetitive check interval for the 25–46 (43 FR 50597, October 30, 1978); party seeking approval of the alteration BITE checks. Boeing requested that the and 14 CFR 25.981(a) and (b), as data, and no further exemption would repetitive interval be extended to 750 amended by amendment 25–102; be required for the party using that data flight hours to match the repetitive NATCA added that these provisions are to alter an aircraft. Obtaining such an intervals specified in service required by SFAR 88. exemption would be part of the information for other airplane models. The FAA does not agree to change certification process for such a change, The FAA agrees to extend the paragraph (g) of this AD. While the FAA so the FAA does not find it necessary to repetitive check interval to 750 flight
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hours. The FAA intended to propose a AD to use approved service instructions of the proposed AD. Boeing stated that 750 flight hour interval, but as an AMOC for the requirements of this it is unclear what change is expected for inadvertently specified 650 flight hour AD, or the FAA may approve the service compliance with paragraph (g) of the intervals in the proposed AD. The FAA information as a global AMOC for this proposed AD versus paragraph (h) of the has revised paragraph (h)(1) of this AD AD. proposed AD. Boeing suggested that one to specify repetitive intervals of 750 Request To Clarify Applicability possibility is that paragraph (g) of the flight hours. proposed AD is intended to cover China Eastern Airlines (CEA) asked development of transient suppression, Request To Provide Cost-Effective for clarification regarding the airplanes Method of Compliance while paragraph (h) of the proposed AD affected by the proposed AD. CEA asked is intended to cover compliance via SIA, Emirates, JAL, Korean Air Lines if airplanes equipped with NGS satisfy FQIS wire separation and BITE checks. (KAL), KLM, Cathay, and BA requested the requirements of paragraph (c)(2) of that the FAA provide a cost-effective the proposed AD. The FAA agrees to clarify. Paragraph method of compliance for passenger The FAA agrees to clarify. This AD (g) of this AD is intended to require, for airplanes. Emirates and KAL noted that applies to the listed airplane models passenger airplanes that are subject to the proposed AD does not provide a listed in paragraph (c) of this AD, except this AD, a modification to the FQIS that clear means of compliance for the for those that meet one of the exceptions makes it fully compliant with 14 CFR modification, such as a Boeing service listed in paragraphs (c)(1) through (3) of 25.981(a), as amended by amendment bulletin. SIA stated that Boeing should this AD. Paragraph (c)(2) of this AD 25–102. A fully compliant FQIS develop a modification to specifically provides an exception for airplanes that modification might include wire address the unsafe condition in the already have a flammability reduction separation or transient suppression proposed AD and that operators should means (such as an NGS installed in devices, but due to the system design, have the opportunity to assess production or using a service bulletin) either option would likely require compliance options. Emirates suggested that meets the current airworthiness changes to the FQIS processor. that the only method of compliance for standards. Therefore, airplanes that are Paragraph (h) of this AD is intended non-U.S. operators will be installation equipped with an NGS that meets to allow, as an optional method of of an NGS. KAL noted that the majority current FAA airworthiness standards compliance for all-cargo airplanes only, of non-FAA operators are not required meet the requirements of paragraph to retrofit the NGS system. JAL, KAL, a change that isolates the center fuel (c)(2) of this AD and are compliant with tank circuit wiring between the FQIS KLM, and BA requested that the FAA the AD. encourage Boeing to develop an processor and the fuel tanks from other acceptable cost-effective method of Request To Clarify if a Reference wiring that is connected to a sufficient compliance that does not require Document Exists for the Modification power source to create an ignition installation of an NGS. Cathay also CEA asked if a document exists for source in the event of a hot short urged Boeing to develop a cost-effective operators to reference when between the wiring. Such a change solution as method of compliance for incorporating the modification specified would not be fully compliant with the the proposed actions. in paragraph (g) of the proposed AD. airworthiness regulations (hence the The FAA agrees that the lack of SIA stated it understands that Boeing requirement to obtain a partial service information for FQIS intends to propose Boeing Service exemption from 14 CFR 25.901(c) and modifications makes it difficult to assess Bulletin 777–47–0002 as an AMOC to 14 CFR 25.981(a) for any such design the required work to modify the FQIS, the proposed AD. change), but would provide a level of and acknowledges the high cost of NGS. The FAA agrees to clarify. This AD risk reduction that the FAA considers However, the FAA disagrees with the requires modifying the FQIS using a acceptable for all-cargo airplanes and commenters’ requests. For passenger- method approved in accordance with would significantly reduce the costs carrying airplanes, the cost per airplane the procedures specified in paragraph (i) relative to a fully compliant of providing a modification of the FQIS of this AD. For airplanes identified in modification. that fully complies with the the applicability of this AD, which airworthiness standards was estimated excludes airplanes identified in Request To Require Design Changes by Boeing and their FQIS vendor paragraphs (c)(1) through (3) of this AD, From Manufacturers (Goodrich) prior to the issuance of the there currently is no service information NATCA recommended that the FAA NPRM to be comparable to the cost of for accomplishing the FQIS follow the agency’s compliance and installing NGS. Based on that cost modification. However, Boeing has enforcement policy to require estimate, Boeing proposed that they not issued an NGS installation service manufacturers to develop the necessary be required to develop a fully compliant bulletin (Boeing Service Bulletin 777– design changes soon enough to support FQIS modification for passenger 47–0002, Revision 4, dated September operators’ ability to comply with the airplanes because it would not provide 27, 2016) that addresses the unsafe proposed requirements. NATCA noted significant savings to operators and NGS condition. For airplanes on which that that SFAR 88 required manufacturers to would provide a greater safety benefit. service bulletin modification is develop all design changes for unsafe The FAA agreed. installed, the modified airplane would conditions identified by their SFAR 88 The FAA’s understanding is that no longer be subject to the actions in Boeing’s current position is the same, design reviews by December 2002, or this AD due to the exception in within an additional 18 months if the and that they do not plan to develop a paragraph (c)(2) of this AD. fully compliant FQIS modification for FAA granted an extension. passenger airplanes to address Request To Clarify Intent of Different The FAA acknowledges the paragraph (g) of this AD. However, if Requirements in Paragraphs (g) and (h) commenter’s concerns. However, any service information is developed, of the Proposed AD enforcement action is outside the scope approved, and available in the future, Boeing asked that the FAA clarify the of this rulemaking. The FAA has not operators may request approval under intent of the differences between the changed this final rule regarding this the provisions of paragraph (i) of this requirements in paragraphs (g) and (h) issue.
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Clarification of BITE Check Compliance has determined that the installation of • Do not add any additional burden Time an approved IMM provides a level of upon the public than was already The FAA has revised paragraph (h)(1) risk reduction at least as great as that proposed in the NPRM. provided by FRM and adequately of this AD to clarify the compliance The FAA also determined that these addresses the unsafe condition. time for the BITE check relative to the changes will not increase the economic requirement to record the fault codes. Clarification of Costs of Compliance burden on any operator or increase the The FAA recognized that operators The FAA had previously determined, scope of this final rule. might interpret the proposed as specified in the NPRM, that the work Costs of Compliance requirements for alternative actions for involved for the cargo airplane wire cargo airplanes as allowing additional separation modification would take 230 The FAA estimates that this AD flights prior to performing the BITE work-hours. Boeing has since provided affects 180 airplanes of U.S. registry. check after first recording the fault an updated estimate of 74 work-hours Currently, there are no experimental, codes. The FAA intended for operators for the alternative modification for cargo private, business/corporate/executive, to perform the BITE check immediately airplanes. The FAA has revised the cost after recording the fault codes to address or government aircraft registered in the estimate for the modification United States that would be affected by both the fault codes that exist prior to accordingly in this final rule. performing the BITE check and any new this AD. The affected U.S. air-carrier codes that are identified during the Conclusion passenger airplanes are already required BITE check. The FAA reviewed the relevant data, by applicable FAA operating regulations considered the comments received, and to be modified to include FRM, so this Clarification of Applicability determined that air safety and the AD would not apply to those airplanes. The FAA has added paragraph (c)(3) public interest require adopting this However, to address the potential for of this AD to clarify that airplanes final rule with the changes described those airplanes to be converted to cargo equipped with an IMM approved by the previously and minor editorial changes. airplanes before the compliance FAA as compliant with certain The FAA has determined that these deadline for the operating rule FRM regulations are excluded from this AD. minor changes: requirement, the FAA provides the The FAA intended for airplanes with • Are consistent with the intent that following cost estimates to comply with compliant IMM to be excluded from the was proposed in the NPRM for this AD: actions required by this AD. The FAA addressing the unsafe condition; and
ESTIMATED COSTS: REQUIRED ACTIONS
Cost per Action Labor cost Parts cost product
Modification ...... 600 work-hours × $85 per hour = $51,000 ...... $150,000 $201,000
ESTIMATED COSTS: ALTERNATIVE ACTIONS
Cost per Action Labor cost Parts cost product
BITE check ...... 1 work-hours × $85 per hour = $85 per check ...... $0 $85 per check Wire separation ...... 74 work-hours × $85 per hour = $6,290 ...... 10,000 16,290
Authority for This Rulemaking develop on products identified in this under the criteria of the Regulatory Title 49 of the United States Code rulemaking action. Flexibility Act. specifies the FAA’s authority to issue Regulatory Findings List of Subjects in 14 CFR Part 39 rules on aviation safety. Subtitle I, section 106, describes the authority of This AD will not have federalism Air transportation, Aircraft, Aviation the FAA Administrator. Subtitle VII: implications under Executive Order safety, Incorporation by reference, Aviation Programs, describes in more 13132. This AD will not have a Safety. detail the scope of the Agency’s substantial direct effect on the States, on authority. the relationship between the national Adoption of the Amendment The FAA is issuing this rulemaking government and the States, or on the distribution of power and Accordingly, under the authority under the authority described in delegated to me by the Administrator, Subtitle VII, Part A, Subpart III, Section responsibilities among the various levels of government. the FAA amends 14 CFR part 39 as 44701: General requirements. Under follows: that section, Congress charges the FAA For the reasons discussed above, I certify that this AD: with promoting safe flight of civil PART 39—AIRWORTHINESS (1) Is not a ‘‘significant regulatory aircraft in air commerce by prescribing DIRECTIVES regulations for practices, methods, and action’’ under Executive Order 12866, procedures the Administrator finds (2) Will not affect intrastate aviation ■ 1. The authority citation for part 39 necessary for safety in air commerce. in Alaska, and continues to read as follows: This regulation is within the scope of (3) Will not have a significant that authority because it addresses an economic impact, positive or negative, Authority: 49 U.S.C. 106(g), 40113, 44701. unsafe condition that is likely to exist or on a substantial number of small entities
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§ 39.13 [Amended] inspection required under paragraph (h)(1) of Branch, 2200 South 216th St., Des Moines, ■ 2. The FAA amends § 39.13 by adding this AD within 6 months after the effective WA 98198; phone and fax: 206–231–3557; date of this AD. To exercise this alternative email: [email protected]. the following new airworthiness for airplanes returned to service after directive (AD): conversion of the airplane from a passenger (k) Material Incorporated by Reference 2020–18–12 The Boeing Company: configuration to an all-cargo configuration None. Amendment 39–21233; Docket No. more than 6 months after the effective date Issued on August 26, 2020. of this AD, operators must perform the first FAA–2016–6140; Product Identifier Lance T. Gant, 2015–NM–059–AD. inspection required under paragraph (h)(1) of this AD prior to further flight after the Director, Compliance & Airworthiness (a) Effective Date conversion. Division, Aircraft Certification Service. This AD is effective October 26, 2020. (1) Within 6 months after the effective date [FR Doc. 2020–19584 Filed 9–18–20; 8:45 am] of this AD, record the existing fault codes (b) Affected ADs BILLING CODE 4910–13–P stored in the FQIS processor and before None. further flight thereafter do a BITE check (c) Applicability (check of built-in test equipment) of the FQIS. If any nondispatchable fault code is ARCHITECTURAL AND This AD applies to The Boeing Company recorded prior to the BITE check or as a TRANSPORTATION BARRIERS Model 777–200, 777–200LR, and 777–300 result of the BITE check, before further flight, COMPLIANCE BOARD series airplanes, certificated in any category, do all applicable repairs and repeat the BITE line numbers 1 through 561 inclusive, check until a successful test is performed 36 CFR Part 1155 excluding airplanes identified in paragraphs with no nondispatchable faults found, using [Docket No. ATBCB–2020–0003] (c)(1) through (3) of this AD. a method approved in accordance with the (1) Airplanes on which the center tank procedures specified in paragraph (i) of this RIN 3014–AA43 consists only of the inboard structural box of AD. Repeat these actions thereafter at the left and right wings (i.e., the wing center intervals not to exceed 750 flight hours. Guidance Procedures structural box is a dry bay and is not part of Modification as specified in paragraph (h)(2) the fuel tank). of this AD does not terminate the repetitive AGENCY: Architectural and (2) Airplanes equipped with a flammability BITE check requirement of this paragraph. Transportation Barriers Compliance reduction means (FRM) approved by the FAA (2) Within 72 months after the effective Board. as compliant with the fuel tank flammability date of this AD, modify the airplane by reduction (FTFR) requirements of 14 CFR ACTION: Final rule. separating FQIS wiring that runs between the 25.981(b) or 26.33(c)(1). FQIS processor and the center tank wing spar (3) Airplanes equipped with an ignition SUMMARY: The Architectural and penetrations, including any circuits that mitigation means (IMM) approved by the Transportation Barriers Compliance might pass through a main fuel tank, from FAA as compliant with the FTFR Board (hereafter, ‘‘Access Board,’’ or other airplane wiring that is not intrinsically requirements of 14 CFR 25.981(c) or ‘‘Board’’) issues this final rule to safe, using methods approved in accordance 26.33(c)(2). with the procedures specified in paragraph implement an Executive Order entitled (d) Subject (i) of this AD. ‘‘Promoting the Rule of Law Through Improved Agency Guidance Air Transport Association (ATA) of (i) Alternative Methods of Compliance America Code 28, Fuel. Documents.’’ By this rule, the Access (AMOCs) Board establishes internal, procedural (e) Unsafe Condition (1) The Manager, Seattle ACO Branch, requirements governing the issuance, This AD was prompted by the FAA’s FAA, has the authority to approve AMOCs public availability, and modification or analysis of the Model 777 fuel system for this AD, if requested using the procedures withdrawal of Access Board guidance found in 14 CFR 39.19. In accordance with reviews conducted by the manufacturer. The documents. FAA is issuing this AD to prevent ignition 14 CFR 39.19, send your request to your sources inside the center fuel tank, which, in principal inspector or local Flight Standards DATES: This final rule is effective on combination with flammable fuel vapors, District Office, as appropriate. If sending October 21, 2020. could result in a fuel tank explosion and information directly to the manager of the FOR FURTHER INFORMATION CONTACT: consequent loss of the airplane. certification office, send it to the attention of Christopher Kuczynski, Deputy General the person identified in paragraph (j) of this (f) Compliance AD. Information may be emailed to: 9-ANM- Counsel, U.S. Access Board, (202) 272– Comply with this AD within the [email protected]. 0042, [email protected]. compliance times specified, unless already (2) Before using any approved AMOC, SUPPLEMENTARY INFORMATION: done. notify your appropriate principal inspector, or lacking a principal inspector, the manager I. Background (g) Modification of the local flight standards district office/ In October 2019, the President signed Within 72 months after the effective date certificate holding district office. Executive Order 13891, ‘‘Promoting the of this AD, modify the fuel quantity (3) An AMOC that provides an acceptable Rule of Law Through Improved Agency indicating system (FQIS) to prevent level of safety may be used for any repair, Guidance Documents.’’ 84 FR 55235 development of an ignition source inside the modification, or alteration required by this center fuel tank due to electrical fault AD if it is approved by The Boeing Company (Oct. 15, 2019). Section 4 of this conditions, using a method approved in Organization Designation Authorization Executive Order directs Federal accordance with the procedures specified in (ODA) that has been authorized by the agencies to finalize new regulations (or paragraph (i) of this AD. Manager, Seattle ACO Branch, to make those update existing regulations) that provide findings. To be approved, the repair method, procedures for, among other things, (h) Alternative Actions for Cargo Airplanes modification deviation, or alteration issuance of non-binding guidance For airplanes used exclusively for cargo deviation must meet the certification basis of documents, coordinated review of operations: As an alternative to the the airplane, and the approval must ‘‘significant’’ guidance documents by requirements of paragraph (g) of this AD, do specifically refer to this AD. the actions specified in paragraphs (h)(1) and the Office of Management and Budget (2) of this AD, using methods approved in (j) Related Information (OMB), and agency review of petitions accordance with the procedures specified in For more information about this AD, by members of the public for paragraph (i) of this AD. To exercise this contact Jon Regimbal, Aerospace Engineer, modification or withdrawal of existing alternative, operators must perform the first Propulsion Section, FAA, Seattle ACO agency guidance materials.
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In accordance with E.O. 13891, the Federalism (Executive Order 13132) PART 1155—GUIDANCE Access Board promulgates this new PROCEDURES rule, which establishes internal agency The Access Board has analyzed this procedures with regard to the issuance, final rule in accordance with the § 1155.1 Purpose. publication, and modification or principles and criteria set forth in (a) General. This part implements withdrawal of Access Board guidance Executive Order 13132. The Board has Section 4 of Executive Order 13891 by documents. All current guidance determined that this action will not establishing requirements and documents already in effect are posted have a substantial direct effect on the procedures for issuance, publication, on our website’s guidance portal, States, the relationship between the and modification or withdrawal of www.access-board.gov/guidance. See Federal Government and the States, or guidance documents of the United Notice of Guidance Documents, 85 FR on the distribution of power and States Access Board (‘‘Access Board’’ or 11949 (Feb. 28, 2020). Any guidance responsibilities among the various ‘‘agency’’). document not posted on the Agency’s levels of government, and, therefore, (b) Application. Unless otherwise guidance portal are considered to be does not have federalism implications. stated, the requirements and procedures rescinded and neither the Agency nor a Paperwork Reduction Act set forth in this part apply to all party may cite, use, or rely on such a guidance documents issued or revised guidance except to establish historical This final rule does not specify any by the Access Board on or after October facts. new collections of information or 21, 2020. recordkeeping requirements that require II. Regulatory Process Matters § 1155.2 Definitions. OMB approval under the Paperwork Administrative Procedure Act Reduction Act. See 44 U.S.C. 3501 et For the purpose of this part, the seq. following terms have the indicated The guidance procedures established meaning: by this final rule implement E.O. 13891 Unfunded Mandates Reform Act (a) Guidance document. Subject to the and solely address internal matters exceptions provided in paragraph (b) of related to agency management and The Unfunded Mandates Reform Act this section, a written statement of practices. As such, this rule is exempt of 1995 (codified at 2 U.S.C. 1531 et general applicability that the Access from the notice-and-comment process seq.) (‘‘UMRA’’) generally requires that Board intends to: pursuant to the Administrative Federal agencies assess the effects of (1)(i) Have future effect on the Procedures Act. See 5 U.S.C. 553(a)(2), their discretionary regulatory actions behavior of regulated parties; 553(b)(3)(A). that may result in the expenditure of (ii) Set forth agency policy on a $100 million (adjusted for inflation) or Executive Order 12866 statutory, regulatory, or technical issue; more in any one year by the private or This final rule establishes internal sector, or by State, local, and tribal (iii) Interpret a statute or regulation. rules of agency procedure only. OMB governments in the aggregate. Because (2) Guidance documents are not has determined that the rule is not a this final rule is not subject to notice- limited to formal, written documents, significant regulatory action within the and-comment rulemaking, UMRA’s and may be set forth in other meaning of Executive Order 12866. analytical requirements do not apply. documentary formats, such as See 2 U.S.C. 1532(a). Executive Order 13771 electronic, digital, audio, or video List of Subjects in 36 CFR Part 1155 materials. This final rule is not subject to (b) Exceptions. The following types of Executive Order 13771 because it is a Administrative practice and guidance documents are exempt from non-significant regulatory action that procedure. compliance with the requirements and relates solely to ‘‘agency organization, procedures specified in this part: ■ management, or personnel.’’ See For the reasons stated in the preamble, (1) Rules promulgated pursuant to Executive Order 13771. 82 FR 9339 the Access Board adds 36 CFR part 1155 notice and comment under 5 U.S.C. 553, (Feb. 3, 2017); OMB, M–17–21, to read as follows: or similar statutory provisions; ‘‘Guidance Implementing Executive (2) Rules exempt from rulemaking PART 1155—GUIDANCE Order 13771, Titled ‘Reducing requirements under 5 U.S.C. 553(a); PROCEDURES Regulation and Controlling Regulatory (3) Rules of internal organization, Costs’’’ (April 5, 2017). Sec. procedure, or practice within the Access Board, provided such rules do not alter Congressional Review Act 1155.1 Purpose. substantive obligations for parties 1155.2 Definitions. This final rule is not a major rule 1155.3 Legal review by Office of General outside the Access Board; within the meaning of the Congressional Counsel. (4) Access Board decisions in formal Review Act. See 5 U.S.C. 801 et seq. 1155.4 Requirements applicable to all adjudications conducted pursuant to 5 U.S.C. 554, or similar statutory Regulatory Flexibility Act guidance documents. 1155.5 Public availability of guidance provisions; The Regulatory Flexibility Act (RFA) documents. (5) Internal guidance directed to requires Federal agencies to analyze 1155.6 Significance determinations. Access Board personnel or other Federal regulatory options that may assist in 1155.7 Additional requirements applicable agencies or officials that is not intended minimizing any significant impact of a to significant guidance documents. to have substantial future effect on the rule on small businesses and small 1155.8 Notice-and-comment procedures. behavior of regulated parties; governmental jurisdictions. See 5 U.S.C. 1155.9 Petitions for modification or (6) Internal executive branch legal 604, 605(b). Because this final rule withdrawal. advice or opinions addressed to other relates solely to agency internal 1155.10 No private right of action. executive branch officials or Federal procedures and, moreover, is not subject Authority: 29 U.S.C. 792; E.O. 13891, 84 agencies; to notice-and-comment rulemaking, the FR 55235, 3 CFR, 2019 Comp., p. 371; 36 CFR (7) Access Board statements of RFA is inapplicable. 1151.3. specific applicability, including:
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advisory or legal opinions directed to modified or withdrawn in compliance conformance with § 1155.8, a notice particular parties about circumstance- with this part, as well as other informing members of the public how to specific questions, and correspondence applicable Federal statutes, regulations, submit comments or link to the with individuals or entities; or executive branch authorities. appropriate electronic docket; (8) Legal briefs, other court filings, or (b) Requirements. In addition to its (3) The citation for, or link to, the written positions taken by the Access substantive or informational content, procedural regulations concerning Board or its legal counsel in Access Board guidance must: guidance documents set forth in this administrative, legal, or enforcement (1) Comply with all relevant statutes part; and proceedings; or regulations (including any statutory (4) A notice informing individuals (9) Access Board statements that do deadlines for agency action, absent how to submit requests for issuance, not set forth agency policy on a exigent or unforeseen circumstances); modification, or withdrawal of guidance statutory, regulatory, or technical issue (2) Be written in plain and documents, in accordance with or interpretation of a statute or understandable English; § 1155.9. regulation, such as: speeches and (3) Use the term ‘‘guidance’’; individual presentations, editorials, (4) Include each of the following § 1155.6 Significance determinations. media interviews, press materials, or documentary elements, unless its nature (a) Agency requests. The Access Board congressional testimony by Access or format makes inclusion impracticable should make an initial, informal Board officials that does not set forth (in which case, the document should assessment concerning the new agency regulatory policy; conform to such element to the ‘‘significance’’ of each proposed (10) Contract solicitations and awards; maximum extent feasible): guidance document. The Office of and (i) Title; General Counsel shall submit the (11) Access Board policies or (ii) Date; proposed guidance to the Office of guidance directed solely to agency (iii) Revision number (if applicable); Management and Budget’s Office of employees, contractors, or other Federal (iv) Unique document identification Information and Regulatory Affairs agencies that are not anticipated to have number; (OIRA) for a significance determination. substantial future effect on the behavior (v) Identity of issuing agency or The agency’s request shall include, at of regulated parties outside of the component; minimum, a copy of the proposed Federal Government. (vi) Citation(s) of Federal laws, guidance document, the agency’s (c) Significant guidance document. A regulations, or other authorities being designation recommendation, and the type of guidance document that may interpreted or applied; bases for this recommendation. reasonably be anticipated to: (vii) Description of target audience; (b) OIRA significance determinations. (1) Lead to an annual effect on the (viii) Summary of subject matter near If OIRA determines that a guidance economy of $100 million or more or the top of the document; and document is significant, the Access adversely affect in a material way the (ix) A disclaimer, stating: ‘‘The Board shall comply with the enhanced economy, a sector of the economy, contents of this document do not have procedural requirements specified in productivity, competition, jobs, the the force and effect of law and are not §§ 1155.7 and 1155.8 prior to issuance. environment, public health or safety, or meant to bind the public in any way. Otherwise, the Access Board may State, local, or tribal governments or This document is intended only to proceed to issue the guidance document communities; provide clarity to the public regarding after the Office of General Counsel has (2) Create a serious inconsistency or existing requirements under the law or determined it complies with the otherwise interfere with an action taken agency policies.’’ requirements of § 1155.4. (c) Emergency situations. When an or planned by another Federal agency; § 1155.5 Public availability of guidance (3) Materially alter the budgetary documents. emergency, statutory deadline, judicial impact of entitlements, grants, user fees, order, or other conditions, require the (a) General. Subject to the exceptions Access Board issue significant guidance or loan programs or the rights and provided in § 1155.2(b), all current, in- obligations or recipients thereof; or more quickly than otherwise possible force guidance documents, including under the procedures established in this (4) Raise novel legal or policy issues significant guidance documents, shall arising out of legal mandates, the part, the Office of General Counsel will be made publicly available on a single, notify OIRA, as soon as possible, and President’s priorities, or the principles searchable web-based ‘‘guidance portal’’ of Executive Order 12866. comply with applicable clearance on the Access Board website. Guidance requirements to the maximum extent § 1155.3 Legal review by Office of General documents posted on this portal should, feasible. Counsel. to the maximum extent feasible, comply The Office of General Counsel is with the identification requirements § 1155.7 Additional requirements responsible for ensuring that Access specified in § 1155.4(b). The Access applicable to significant guidance Board guidance documents comply with Board shall only cite, use, or rely on documents. applicable laws, regulations, and other guidance documents that are listed on (a) General. Guidance documents Federal authorities, including the its guidance portal except to establish deemed ‘‘significant’’ by OIRA must procedural requirements established in historical facts or similar archival comply with the additional this part. Agency guidance documents information. requirements specified in this section. must be reviewed and cleared before (b) Portal requirements. The Access (b) Additional requirements. issuance or publication by the General Board guidance portal must include the Significant guidance documents must: Counsel or his or her designee, upon following elements or features: (1) Satisfy the requirements in written delegation. (1) A statement that guidance § 1155.4, which are applicable to all documents lack the force and effect of guidance documents; § 1155.4 Requirements applicable to all law, except as authorized by law or as (2) Be approved by the Chair of the guidance documents. incorporated into a contract; Board, on a non-delegable basis; (a) General. Access Board guidance (2) When proposed significant (3) Be accompanied by a regulatory must be issued, published, and guidance is open for public comment in impact analysis for proposed guidance
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that OIRA has determined to be this part is vested exclusively with the Reform Act’’ (VALOR Act), Public Law economically significant; Board. 115–89, amended 38 U.S.C. 3680(c) to (4) Be submitted to OIRA for Dated: August 18, 2020. eliminate the requirement that veterans coordinated review, along with, at Gretchen Jacobs, and other eligible persons who receive on-the-job training or apprenticeship minimum, a summary of the proposed Interim Executive Director. training (‘‘trainees’’) certify attendance guidance and documentation [FR Doc. 2020–18411 Filed 9–18–20; 8:45 am] demonstrating compliance with at on-the-job or apprenticeship training BILLING CODE 8150–01–P applicable rulemaking requirements set prior to disbursement of a training forth in Executive Orders 12866, 13563, assistance allowance, thereby placing 13609, 13771, and 13777; and the responsibility solely on employers DEPARTMENT OF VETERANS to certify attendance in on-the-job and (5) Comply with the notice-and- AFFAIRS apprenticeship programs. VA proposed comment procedures prescribed in to implement the VALOR Act by § 1155.8, unless the General Counsel or 38 CFR Part 21 amending 38 CFR 21.4138(e)(2)(ii), his or her delegee issues a written RIN 2900–AQ61 21.5133(b)(2), and 21.7640(a)(3)(ii) to determination that these informal remove references to the trainee rulemaking procedures would be Elimination of On-the-Job Training and certification requirement, revising the impracticable, unnecessary, or contrary Apprenticeship Trainee Certification authority citation for §§ 21.4138(e) and to the public interest. AGENCY: Department of Veterans Affairs. 21.5133, and revising the information collection approval parenthetical at the § 1155.8 Notice-and-comment procedures. ACTION: Final rule. end of §§ 21.4138, 21.5133, and 21.7640. The Access Board shall publish a SUMMARY: VA also proposed to revise 38 CFR notice of availability in the Federal The Department of Veterans Affairs (VA) is amending its regulations 21.7140(c)(2)(ii) to eliminate the trainee Register with a public comment period certification requirement for trainees in of not less than 30 days, absent written that contain the requirements for certification of attendance at on-the-job a program of apprenticeship or on-the- determination by the General Counsel job training under 38 U.S.C. chapter 30, that a public comment period would be training and apprenticeship programs. This final rule adopts without change a add an authority citation for paragraph impracticable, unnecessary, or contrary proposed rule implementing a section of (c)(2), and revise the information to the public interest. After the close of the ‘‘Veterans Apprenticeship and Labor collection approval parenthetical at the the public comment period, the Access Opportunity Reform Act’’ (VALOR Act), end of the section. Board will also prepare a written which eliminated the requirement that Both comments on the notice of response to any major concerns raised veterans and other eligible persons proposed rulemaking that VA received by commenters and make this response certify attendance at an on-the-job or were supportive in part or in whole and document publicly available on the apprentice training program prior to lauded VA for reducing the Access Board website and/or electronic disbursement of a training assistance administrative burden on veterans rulemaking docket (such as allowance. This final rule also pursuing apprenticeship or on-the job regulations.gov), either before the eliminates the certification requirement training programs eligible for GI Bill guidance is finalized or upon for trainees in a program of benefits. One commenter pointed out publication. apprenticeship or on-the-job training that the rule codifies Congressional intent in enacting the VALOR Act and § 1155.9 Petitions for modification or under chapter 30 of title 38, United withdrawal. States Code. eliminates an obstacle to obtaining training. VA agrees with the commenter. DATES: This rule is effective on October Any person may petition the Access The other commenter stated that, 21, 2020. Board, in writing, for issuance, because a trainee would no longer be modification, or withdrawal of an FOR FURTHER INFORMATION CONTACT: required to sign a certification under the agency guidance document. Requests Cheryl Amitay, Chief, Policy and proposed rule, a disagreement could should be addressed to the Office of Regulation Development Staff (225C), arise if the trainee does not agree with General Counsel, describe the action(s) Education Service, Department of the training establishment or trainer’s the requester wishes the agency to take Veterans Affairs, 810 Vermont Ave. NW, calculation of hours. However, VA finds with regard to existing or new guidance, Washington, DC 20420, (202) 461–9700. that there should rarely, if ever, be a and explain the bases for this request. (This is not a toll-free telephone discrepancy as to the number of hours Requests may be submitted by email number.) earned by a trainee because the total ([email protected]) or regular mail SUPPLEMENTARY INFORMATION: On amount of program hours is already (Office of General Counsel, 1331 F February 28, 2020, VA published a prescribed in the established, Street NW, Suite 1000, Washington, DC proposed rule in the Federal Register documented training plan for the 20004). The Office of General Counsel (85 FR 11906), which would amend its program. The periodic certification will review the request and respond in regulations that contain the merely indicates to VA that the correct a timely manner, which, typically, is requirements for certification of apportioned amount has been within 90 days of receipt. attendance at on-the-job training and completed, i.e., that the trainee remains apprenticeship programs. VA provided in the program and has not terminated § 1155.10 No private right of action. a 60-day comment period, which ended training. Indeed, Congress eliminated This part is solely intended to on April 28, 2020. We received 2 the dual certification requirement improve the internal management of the comments on the proposed rule. This because experience had shown it to be Access Board. Nothing in this part is rule adopts as a final rule, without unnecessary. H.R. Rep. 115–398, at 3–4 intended to, or does, create a private changes, the proposed rule published in (2017). In the unlikely event a right of action against the United States, the Federal Register on February 28, discrepancy does arise, VA would, of its agencies or other entities, its officers 2020. course, take appropriate steps to resolve or employees, or any other person. Section 3 of the ‘‘Veterans the discrepancy with the trainee and the Authority to enforce compliance with Apprenticeship and Labor Opportunity training establishment or trainer, and
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we would reassess the need for specific private sector, of $100 million or more approved this document on August 11, regulations on that issue in the future if (adjusted annually for inflation) in any 2020, for publication. such need arises. one year. This final rule will have no Luvenia Potts, No changes are warranted based on such effect on State, local, and tribal the two comments. governments, or on the private sector. Regulation Development Coordinator, Office Based on the rationale set forth in the of Regulation Policy & Management, Office notice of proposed rulemaking and in Congressional Review Act of the Secretary, Department of Veterans Affairs. this document, VA adopts the proposed Pursuant to the Congressional Review rule as a final rule. Act (5 U.S.C. 801 et seq.), the Office of For the reasons stated in the Information and Regulatory Affairs preamble, VA amends 38 CFR part 21 as Executive Orders 12866, 13563, and follows: 13771 designated this rule as not a major rule, as defined by 5 U.S.C. 804(2). Executive Orders 12866 and 13563 PART 21—VOCATIONAL direct agencies to assess the costs and Paperwork Reduction Act REHABILITATION AND EDUCATION benefits of available regulatory This final rule contains provisions alternatives and, when regulation is Subpart D—Administration of constituting a collection of information Educational Assistance Programs necessary, to select regulatory under the Paperwork Reduction Act of approaches that maximize net benefits 1995 (44 U.S.C. 3501–3521). As required ■ 1. The authority citation for part 21, (including potential economic, by 44 U.S.C. 3507(d), VA submitted this Subpart D continues to read as follows: environmental, public health and safety information collection to the Office of Authority: 10 U.S.C. 2141 note, ch. 1606; effects, and other advantages; Management and Budget (OMB) for distributive impacts; and equity). 38 U.S.C. 501(a), chs. 30, 32, 33, 34, 35, 36, review. OMB approved the information and as noted in specific sections. Executive Order 13563 (Improving collection requirement in 38 CFR ■ 2. Amend § 21.4138 by: Regulation and Regulatory Review) 21.4138(e)(2), 21.5133(b), 21.7140(c)(2), emphasizes the importance of ■ a. Revising paragraph (e)(2)(ii). and 21.7640(a)(3) and assigned OMB ■ b. Revising the authority citation for quantifying both costs and benefits, control number 2900–0178. reducing costs, harmonizing rules, and paragraph (e). promoting flexibility. The Office of Catalog of Federal Domestic Assistance ■ c. Revising the information collection approval parenthetical at the end of the Information and Regulatory Affairs has The Catalog of Federal Domestic determined that this rule is not a section. Assistance numbers and titles for the The revisions read as follows: significant regulatory action under programs affected by this document are Executive Order 12866. 64.027, Post-9/11 Veterans Educational § 21.4138 Certifications and release of VA’s impact analysis can be found as Assistance; 64.028, Post-9/11 Veterans payments. a supporting document at http:// Educational Assistance; 64.032, www.regulations.gov, usually within 48 * * * * * Montgomery GI Bill Selected Reserve; hours after the rulemaking document is (e) * * * Reserve Educational Assistance published. Additionally, a copy of the (2) * * * Program; 64.117, Survivors and rulemaking and its regulatory impact (ii) VA has received from the training Dependents Educational Assistance; analysis are available on VA’s website at establishment a certification of hours 64.120, Post-Vietnam Era Veterans’ http://www.va.gov/orpm/ by following worked. Educational Assistance; 64.124, All- the link for ‘‘VA Regulations Published * * * * * Volunteer Force Educational Assistance. From FY 2004 Through Fiscal Year to (Authority: 38 U.S.C. 5113, 3680(b), 3680(c), Date.’’ List of Subjects in 38 CFR Part 21 3680(g)) This final rule is not an E.O. 13771 Administrative practice and * * * * * regulatory action because the rule is not (The Office of Management and Budget has significant under E.O. 12886. procedure; Armed forces; Civil rights; approved the information collection Claims; Colleges and universities; requirements in this section under control Regulatory Flexibility Act Conflict of interests; Defense numbers 2900–0178 and 2900–0604) The Secretary hereby certifies that Department; Education; Employment; this rule will not have a significant Grant programs—education; Grant Subpart G—Post-Vietnam Era economic impact on a substantial programs—veterans; Health care; Loan Veterans’ Educational Assistance number of small entities as they are Programs—education; Loan programs— Under 38 U.S.C. Chapter 32 defined in the Regulatory Flexibility Act veterans; Manpower training programs; ■ (5 U.S.C. 601–612). This rulemaking Reporting and recordkeeping 3. The authority citation for part 21, does not change VA’s policy or requirements; Schools; Travel and Subpart G continues to read as follows: provisions involving any small entities. transportation expenses; Veterans; Authority: 38 U.S.C. 501(a), chs. 32, 36, Therefore, pursuant to 5 U.S.C. 605(b), Vocational education; Vocational and as noted in specific sections. the initial and final regulatory flexibility rehabilitation. ■ 4. Amend § 21.5133 by: analysis requirements of 5 U.S.C. 603 Signing Authority ■ a. Revising paragraph (b)(2). and 604 do not apply. ■ b. Revising the information collection The Secretary of Veterans Affairs, or Unfunded Mandates approval parenthetical at the end of the designee, approved this document and section. The Unfunded Mandates Reform Act authorized the undersigned to sign and ■ c. Revising the authority citation at of 1995 requires at 2 U.S.C. 1532 that submit the document to the Office of the the end of the section. agencies prepare an assessment of Federal Register for publication The revisions read as follows: anticipated costs and benefits before electronically as an official document of issuing any rule that may result in the the Department of Veterans Affairs. § 21.5133 Certifications and release of expenditure by State, local, and tribal Brooks D. Tucker, Acting Chief of Staff, payments. governments, in the aggregate, or by the Department of Veterans Affairs, * * * * *
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(b) * * * (Approved by the Office of Management and FOR FURTHER INFORMATION CONTACT: (2) VA has received from the training Budget under control numbers 2900–0073 Sarah LaRocca, Air Regulatory establishment a certification of hours and 2900–0178) Management Section, Air Planning and worked. Generally, this certification will [FR Doc. 2020–17844 Filed 9–18–20; 8:45 am] Implementation Branch, Air and be required monthly, resulting in BILLING CODE 8320–01–P Radiation Division, U.S. Environmental monthly payments. Protection Agency, Region 4, 61 Forsyth * * * * * Street SW, Atlanta, Georgia 30303–8960. (Approved by the Office of Management and ENVIRONMENTAL PROTECTION Ms. LaRocca can be reached via Budget under control numbers 2900–0178 AGENCY telephone at (404) 562–8994 or via and 2900–0465) electronic mail at larocca.sarah@ (Authority: 38 U.S.C. 3680(c), 3680(g), 3689) 40 CFR Part 52 epa.gov. [EPA–R04–OAR–2020–0170; FRL–10013– SUPPLEMENTARY INFORMATION: Subpart K—All Volunteer Force 41–Region 4] Educational Assistance Program I. Background (Montgomery GI Bill—Active Duty) Air Plan Approval; Alabama: Air Tropospheric ozone, commonly Quality Control, VOC Definition known as smog, occurs when VOC and ■ 5. The authority citation for part 21, nitrogen oxides (NO ) react in the Subpart K continues to read as follows: AGENCY: Environmental Protection X Agency (EPA). atmosphere in the presence of sunlight. Authority: 38 U.S.C. 501(a), chs. 30, 36, ACTION: Final rule. Because of the harmful health effects of and as noted in specific sections. ozone, EPA and state governments ■ 6. Amend § 21.7140 by: SUMMARY: The Environmental Protection implement rules to limit the amount of ■ a. Revising paragraph (c)(2)(ii). Agency (EPA) is approving a State certain VOC and NOX that can be ■ b. Adding an authority citation for Implementation Plan (SIP) revision released into the atmosphere. VOC have paragraph (c)(2). submitted by the State of Alabama, different levels of reactivity; they do not ■ c. Revising the information collection through the Alabama Department of react at the same speed or do not form approval parenthetical at the end of the Environmental Management (ADEM), in ozone to the same extent. Section 302(s) section. a letter dated February 27, 2020. The of the CAA specifies that EPA has the The revisions and addition read as revision modifies the State’s air quality authority to define the meaning of follows: regulations as incorporated into the SIP ‘‘VOC,’’ and hence, what compounds by changing the definition of ‘‘volatile § 21.7140 Certifications and release of shall be treated as VOC for regulatory payments. organic compounds’’ (VOC) to be purposes. consistent with federal regulations. EPA EPA determines whether a given * * * * * is approving this SIP revision because carbon compound has ‘‘negligible’’ (c) * * * the State has demonstrated that these reactivity by comparing the compound’s (2) * * * changes are consistent with the Clean (ii) VA has received from the training reactivity to the reactivity of ethane. It Air Act (CAA or Act). establishment a certification of hours is EPA’s policy that compounds of worked. DATES: This rule is effective October 21, carbon with negligible reactivity be 2020. excluded from the regulatory definition (Authority: 38 U.S.C. 3034, 3680(g)) ADDRESSES: EPA has established a of VOC. See 42 FR 35314 (July 8, 1977), * * * * * docket for this action under Docket 70 FR 54046 (September 13, 2005). EPA (The Office of Management and Budget has Identification No. EPA–R04–OAR– lists these compounds in its regulations approved the information collection 2020–0170. All documents in the docket at 40 CFR 51.100(s) and excludes them provisions in this section under control from the definition of VOC. The numbers 2900–0178, 2900–0695, and 2900– are listed on the www.regulations.gov 0698) website. Although listed in the index, chemicals on this list are often called some information may not be publicly ‘‘negligibly reactive.’’ EPA may Subpart L—Educational Assistance for available, i.e., Confidential Business periodically revise the list of negligibly Members of the Selected Reserve Information or other information whose reactive compounds to add or delete disclosure is restricted by statute. compounds. ■ 7. The authority citation for part 21, Certain other material, such as II. Analysis of State Submission Subpart L continues to read as follows: copyrighted material, is not placed on Authority: 10 U.S.C. ch. 1606; 38 U.S.C. the internet and will be publicly EPA is approving the change to the 501(a), 512, ch. 36, and as noted in specific available only in hard copy form. Alabama SIP submitted by the State of sections. Publicly available docket materials can Alabama through a letter dated February 1 ■ either be retrieved electronically via 27, 2020, that revises the definition of 8. Amend § 21.7640 by: ‘‘Volatile Organic Compounds (VOC)’’ at ■ a. Revising paragraph (a)(3)(ii). www.regulations.gov or in hard copy at subparagraph (gggg) of Rule 335–3–1– ■ b. Revising the information collection the Air Regulatory Management Section, .02—‘‘Definitions’’ by adding cis- approval parenthetical at the end of the Air Planning and Implementation 1,1,1,4,4,4—hexafluorobut-2-ene (HFO- section. Branch, Air and Radiation Division, The revisions read as follows: U.S. Environmental Protection Agency, 1336mzz-Z) to the list of organic Region 4, 61 Forsyth Street SW, Atlanta, compounds having negligible § 21.7640 Release of payments. Georgia 30303–8960. EPA requests that photochemical reactivity.2 Alabama * * * * * if at all possible, you contact the person submitted this SIP revision in response (a) * * * listed in the FOR FURTHER INFORMATION to EPA adding cis-1,1,1,4,4,4- (3) * * * CONTACT section to schedule your (ii) VA has received certification by inspection. The Regional Office’s 1 EPA received Alabama’s SIP revision on March the training establishment of the 5, 2020. official hours of business are Monday 2 On February 27, 2020, Alabama submitted other reservist’s hours worked. through Friday 8:30 a.m. to 4:30 p.m., SIP revisions which will be addressed in separate * * * * * excluding Federal holidays. actions.
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hexafluorobut-2-ene to the exclusion list V. Statutory and Executive Order jurisdiction. In those areas of Indian at 40 CFR 51.100(s). See 83 FR 61127 Reviews country, the rule does not have tribal (January 28, 2019). EPA finds that this Under the CAA, the Administrator is implications as specified by Executive change to the SIP will not interfere with required to approve a SIP submission Order 13175 (65 FR 67249, November 9, attainment or maintenance of any that complies with the provisions of the 2000), nor will it impose substantial national ambient air quality standard, Act and applicable Federal regulations. direct costs on tribal governments or reasonable further progress, or any other See 42 U.S.C. 7410(k); 40 CFR 52.02(a). preempt tribal law. applicable requirement of the CAA, Thus, in reviewing SIP submissions, The Congressional Review Act, 5 consistent with CAA section 110(l), EPA’s role is to approve state choices, U.S.C. 801 et seq., as added by the Small because EPA has found this chemical to provided that they meet the criteria of Business Regulatory Enforcement be negligibly reactive. the CAA. This action merely approves Fairness Act of 1996, generally provides In a notice of proposed rulemaking state law as meeting Federal that before a rule may take effect, the (NPRM) published on June 8, 2020 (85 requirements and does not impose agency promulgating the rule must FR 35035), EPA proposed to approve additional requirements beyond those submit a rule report, which includes a Alabama’s SIP submission provided on imposed by state law. For that reason, copy of the rule, to each House of the February 27, 2020. The June 8, 2020, this action: Congress and to the Comptroller General NPRM provides additional detail • Is not a significant regulatory action of the United States. EPA will submit a regarding the background and rationale subject to review by the Office of report containing this action and other for EPA’s action. Comments on the June Management and Budget under required information to the U.S. Senate, 8, 2020, NPRM were due on or before Executive Orders 12866 (58 FR 51735, the U.S. House of Representatives, and July 8, 2020. EPA received no comments October 4, 1993) and 13563 (76 FR 3821, the Comptroller General of the United on the June 8, 2020, NPRM. January 21, 2011); States prior to publication of the rule in • III. Incorporation by Reference Is not an Executive Order 13771 (82 the Federal Register. A major rule FR 9339, February 2, 2017) regulatory cannot take effect until 60 days after it In this rule, EPA is finalizing action because SIP approvals are is published in the Federal Register. regulatory text that includes exempted under Executive Order 12866; This action is not a ‘‘major rule’’ as incorporation by reference. In • Does not impose an information defined by 5 U.S.C. 804(2). accordance with requirements of 1 CFR collection burden under the provisions 51.5, EPA is finalizing the incorporation of the Paperwork Reduction Act (44 Under section 307(b)(1) of the CAA, by reference of Alabama Rule 335–3–1– U.S.C. 3501 et seq.); petitions for judicial review of this .02—‘‘Definitions,’’ Subparagraph • Is certified as not having a action must be filed in the United States (gggg)—‘‘Volatile Organic Compounds significant economic impact on a Court of Appeals for the appropriate (VOC),’’ state-effective April 13, 2020, to substantial number of small entities circuit by November 20, 2020. Filing a revise this definition by adding cis- under the Regulatory Flexibility Act (5 petition for reconsideration by the 1,1,1,4,4,4—hexafluorobut-2-ene (HFO- U.S.C. 601 et seq.); Administrator of this final rule does not 1336mzz-Z) to the list of organic • Does not contain any unfunded affect the finality of this action for the compounds having negligible mandate or significantly or uniquely purposes of judicial review nor does it photochemical activity. EPA has made, affect small governments, as described extend the time within which a petition and will continue to make, these in the Unfunded Mandates Reform Act for judicial review may be filed, and materials generally available through of 1995 (Pub. L. 104–4); shall not postpone the effectiveness of www.regulations.gov and at the EPA • Does not have Federalism such rule or action. This action may not Region 4 Office (please contact the implications as specified in Executive be challenged later in proceedings to person identified in the FOR FURTHER Order 13132 (64 FR 43255, August 10, enforce its requirements. See section INFORMATION CONTACT section of this 1999); 307(b)(2). preamble for more information). • Is not an economically significant List of Subjects in 40 CFR Part 52 Therefore, these materials have been regulatory action based on health or approved by EPA for inclusion in the safety risks subject to Executive Order Environmental protection, Air State implementation plan, have been 13045 (62 FR 19885, April 23, 1997); pollution control, Incorporation by incorporated by reference by EPA into • Is not a significant regulatory action reference, Intergovernmental relations, that plan, are fully federally enforceable subject to Executive Order 13211 (66 FR Ozone, Reporting and recordkeeping under sections 110 and 113 of the CAA 28355, May 22, 2001); requirements, Volatile organic as of the effective date of the final • Is not subject to requirements of compounds. rulemaking of EPA’s approval, and will Section 12(d) of the National Dated: August 12, 2020. be incorporated by reference in the next Technology Transfer and Advancement update to the SIP compilation.3 Act of 1995 (15 U.S.C. 272 note) because Mary Walker, Regional Administrator, Region 4. IV. Final Action application of those requirements would be inconsistent with the CAA; and EPA is approving Alabama’s February • Does not provide EPA with the For the reasons stated in the 27, 2020, SIP submission, which revises discretionary authority to address, as preamble, the EPA amends 40 CFR part the definition of ‘‘volatile organic appropriate, disproportionate human 52 as follows: compound’’ at subparagraph (gggg) of health or environmental effects, using PART 52—APPROVAL AND Rule 335–3–1–.02—‘‘Definitions’’ by practicable and legally permissible PROMULGATION OF adding cis-1,1,1,4,4,4—hexafluorobut-2- methods, under Executive Order 12898 IMPLEMENTATION PLANS ene (HFO-1336mzz-Z) to the list of (59 FR 7629, February 16, 1994). organic compounds having negligible The SIP is not approved to apply on ■ photochemical reactivity. any Indian reservation land or in any 1. The authority citation for part 52 other area where EPA or an Indian tribe continues to read as follows: 3 See 62 FR 27968 (May 22, 1997). has demonstrated that a tribe has Authority: 42 U.S.C. 7401 et seq.
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Subpart B—Alabama ‘‘Section 335–3–1–.02’’ under‘‘Chapter § 52.50 Identification of plan. No. 335–3–1 General Provision’’ to read * * * * * ■ 2. In § 52.50 amend the table in as follows: paragraph (c) by revising the entry for (c) * * *
EPA-APPROVED ALABAMA REGULATIONS
State effective State citation Title/subject date EPA approval date Explanation
*******
Chapter No. 335–3–1 General Provision
******* Section 335–3–1–.02 ...... Definitions ... 4/13/2020 9/21/2020, [Insert citation of publication].
*******
* * * * * No. EPA–R06–OAR–2018–0856. All non-interference demonstration, is [FR Doc. 2020–18107 Filed 9–18–20; 8:45 am] documents in the docket are listed on protective of the NAAQS and does not BILLING CODE 6560–50–P the https://www.regulations.gov interfere with any applicable CAA website. Although listed in the index, requirement as is required by CAA some information is not publicly section 110(l). Section 110(l) of the CAA ENVIRONMENTAL PROTECTION available, e.g., Confidential Business provides that ‘‘. . . The Administrator AGENCY Information or other information whose shall not approve a revision of a plan if disclosure is restricted by statute. the revision would interfere with any 40 CFR Part 52 Certain other material, such as applicable requirement concerning [EPA–R06–OAR–2018–0856; FRL–10014– copyrighted material, is not placed on attainment and reasonable further 08–Region 6] the internet. Publicly available docket progress (as defined in [CAA section materials are available electronically 171]) or any other applicable Air Plan Approval; New Mexico; Repeal through https://www.regulations.gov. requirement of [the CAA].’’ of State Regulations for Particulate FOR FURTHER INFORMATION CONTACT: Ms. In addition, a state can be more Matter for Lime Manufacturing Plants Karolina Ruan Lei, EPA Region 6, Air stringent than the CAA requirements. If and Radiation Division, (214) 665–7346, AGENCY: Environmental Protection a SIP submittal meets the CAA’s [email protected]. Agency (EPA). requirements, however, the EPA must SUPPLEMENTARY INFORMATION: ACTION: Final rule. approve it. This is made clear in CAA Throughout this document ‘‘we,’’ ‘‘us,’’ section 110(k)(3), which states the SUMMARY: and ‘‘our’’ means the EPA. Pursuant to the Federal Clean Administrator shall approve such Air Act (CAA or the Act), the I. Background submittal as a whole if it meets all of the Environmental Protection Agency (EPA) applicable requirements. Thus, the EPA is approving a New Mexico State The background for this action is must approve SIP submittals that meet Implementation Plan (SIP) revision for discussed in detail in our July 8, 2020, the CAA’s requirements. We note that the repeal of State regulations titled proposal (85 FR 40951). In that the commenter did not indicate reason 20.2.20 NMAC (Title 20: Environmental document, we proposed to approve the Protection, Chapter 2: Air Quality New Mexico SIP revision submitted on that the SIP revision did not comply (Statewide), Part 20: Lime February 13, 2019, that would repeal with the CAA. Manufacturing Plants—Particulate 20.2.20 NMAC. We proposed to approve As mentioned in the previous section, Matter of the New Mexico the repeal of the regulation based on the our reasoning and basis for our approval Administrative Code) that cover CAA section 110(l) demonstration of the repeal of 20.2.20 NMAC are particulate matter emission standards contained in the New Mexico submittal, described in detail in our proposed for lime manufacturing plants and lime which provides that the SIP revision rulemaking (85 FR 40951, July 8, 2020) hydrators in the State of New Mexico. will not interfere with attainment and and the accompanying Technical The EPA is approving the repeal of the maintenance of the NAAQS or any other Support Document for that rulemaking, regulations based on the CAA section CAA requirement. found in Docket ID No. EPA–R06–OAR– 110(l) demonstration contained in the II. Response to Comments 2018–0856. The summary of our New Mexico submittal, which provides findings in our proposal is as follows. that the SIP revision will not interfere We received one anonymous public comment on our proposal. The public After evaluating the State’s submittal, with attainment and maintenance of the we found that the removal of 20.2.20 national ambient air quality standards comment supported more stringent requirements, even if not technically NMAC from the New Mexico SIP will (NAAQS) or any other CAA not interfere with any applicable requirement. required, in order to protect the environment. We appreciate the public requirement concerning attainment and DATES: This rule is effective on October comment. Our action to approve New maintenance of the NAAQS as well as 21, 2020. Mexico’s submission, which includes reasonable further progress, or any other ADDRESSES: The EPA has established a repealing the New Mexico regulations at applicable requirement of the CAA. We docket for this action under Docket ID 20.2.20 NMAC and the accompanying base our finding on the following:
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• This rule, while originally intended IV. Incorporation by Reference • Does not provide EPA with the to apply to multiple sources, now only In this document, the EPA is discretionary authority to address, as applies to one source. appropriate, disproportionate human • finalizing regulatory text that includes The one source is also governed by incorporation by reference. As described health or environmental effects, using a permit issued under the SIP-approved in the Final Action section above, the practicable and legally permissible permitting requirements of 20.2.72 EPA is finalizing to remove 20.2.20 methods, under Executive Order 12898 NMAC, Construction Permits, that NMAC, Lime Manufacturing Plants— (59 FR 7629, February 16, 1994). requires compliance with CAA Particulate Matter, from the New In addition, the SIP is not approved requirements, including the NAAQS. to apply on any Indian reservation land • Mexico SIP, which is incorporated by Modeling that shows that this one reference in accordance with the or in any other area where EPA or an source at its full potential to emit requirements of 1 CFR part 51. Indian tribe has demonstrated that a emissions will not cause an exceedance tribe has jurisdiction. In those areas of of the NAAQS or prevention of V. Statutory and Executive Order Indian country, the rule does not have significant deterioration (PSD) Reviews tribal implications and will not impose increment. Under the CAA, the Administrator is substantial direct costs on tribal • The nearest particulate matter required to approve a SIP submission governments or preempt tribal law as nonattainment area is 287 kilometers that complies with the provisions of the specified by Executive Order 13175 (65 away from this source, and its Act and applicable Federal regulations. FR 67249, November 9, 2000). nonattainment issues are primarily 42 U.S.C. 7410(k); 40 CFR 52.02(a). The Congressional Review Act, 5 caused by nonanthropogenic sources. Thus, in reviewing SIP submissions, the U.S.C. 801 et seq., as added by the Small Therefore, the one subject source will EPA’s role is to approve state choices, Business Regulatory Enforcement not have an impact on that area. provided that they meet the criteria of Fairness Act of 1996, generally provides • Likewise, the one source is located the CAA. Accordingly, this action that before a rule may take effect, the centrally in New Mexico and will merely approves state law as meeting agency promulgating the rule must therefore have a negligible impact on Federal requirements and does not submit a rule report, which includes a any surrounding state’s air quality. impose additional requirements beyond copy of the rule, to each House of the • Finally, review of recent monitoring those imposed by state law. For that Congress and to the Comptroller General data does not indicate particulate matter reason, this action: of the United States. EPA will submit a nonattainment problems to which the • Is not a ‘‘significant regulatory report containing this action and other source might contribute. action’’ subject to review by the Office • required information to the U.S. Senate, There are no other applicable of Management and Budget under requirements, such as the New Mexico the U.S. House of Representatives, and Executive Orders 12866 (58 FR 51735, the Comptroller General of the United Regional Haze Plan, with which October 4, 1993) and 13563 (76 FR 3821, emissions from the source could States prior to publication of the rule in January 21, 2011); the Federal Register. A major rule interfere. • Is not an Executive Order 13771 (82 • If new sources or modification at cannot take effect until 60 days after it FR 9339, February 2, 2017) regulatory is published in the Federal Register. the existing source occur, these changes action because SIP approvals are will have to be approved under NMED’s This action is not a ‘‘major rule’’ as exempted under Executive Order 12866; defined by 5 U.S.C. 804(2). SIP-approved permitting program to • Does not impose an information ensure that the changes will not collection burden under the provisions Under section 307(b)(1) of the Clean interfere with attainment and of the Paperwork Reduction Act (44 Air Act, petitions for judicial review of maintenance of the NAAQS. U.S.C. 3501 et seq.); this action must be filed in the United Therefore, the removal of 20.2.20 • Is certified as not having a States Court of Appeals for the NMAC from the New Mexico SIP will significant economic impact on a appropriate circuit by November 20, not interfere with any applicable substantial number of small entities 2020. Filing a petition for requirement concerning attainment and under the Regulatory Flexibility Act (5 reconsideration by the Administrator of maintenance of the NAAQS as well as U.S.C. 601 et seq.); this final rule does not affect the finality reasonable further progress, or any other • Does not contain any unfunded of this action for the purposes of judicial applicable requirement of the CAA. mandate or significantly or uniquely review nor does it extend the time Therefore, under CAA section 110(k)(3) affect small governments, as described within which a petition for judicial the EPA must move forward with in the Unfunded Mandates Reform Act review may be filed, and shall not approval of this SIP revision because it of 1995 (Pub. L. 104–4); postpone the effectiveness of such rule meets the requirements of the Act. • Does not have federalism or action. This action may not be challenged later in proceedings to III. Final Action implications as specified in Executive Order 13132 (64 FR 43255, August 10, enforce its requirements. (See section We are approving New Mexico’s 1999); 307(b)(2).) February 13, 2019, SIP submittal that • Is not an economically significant List of Subjects in 40 CFR Part 52 provides modifications to State regulatory action based on health or regulations and update the federally safety risks subject to Executive Order Environmental protection, Air approved New Mexico SIP accordingly. 13045 (62 FR 19885, April 23, 1997); pollution control, Incorporation by This final rule removes 20.2.20 NMAC, • Is not a significant regulatory action reference, Particulate matter. Lime Manufacturing Plants—Particulate subject to Executive Order 13211 (66 FR Dated: August 26, 2020. Matter, from the New Mexico SIP, 28355, May 22, 2001); Kenley McQueen, codified at 40 CFR part 52, subpart GG, • Is not subject to requirements of 52.1620, as we find that such a revision section 12(d) of the National Regional Administrator, Region 6. will not adversely affect the attainment Technology Transfer and Advancement For the reasons stated in the of applicable CAA requirements. This Act of 1995 (15 U.S.C. 272 note) because preamble, the Environmental Protection action is being taken under section 110 application of those requirements would Agency amends 40 CFR part 52 as of the Act. be inconsistent with the CAA; and follows:
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PART 52—APPROVAL AND www.fcc.gov/document/fcc-opens- on-campus connectivity, subject to the PROMULGATION OF second-e-rate-application-window- parameters and limitations in the Order. IMPLEMENTATION PLANS funding-year-2020. Specifically, in light of the extraordinary and unforeseeable I. Introduction ■ 1. The authority citation for part 52 changes our nation’s schools are facing continues to read as follows: 1. Schools across the United States since the start of the COVID–19 Authority: 42 U.S.C. 7401 et seq. continue to face unprecedented pandemic, and consistent with the disruptions and challenges due to the Commission’s prior actions in response Subpart GG—New Mexico coronavirus (COVID–19) pandemic. As to this unprecedented public health the school year begins, many school emergency and other extreme § 52.1620 [Amended] districts are relying on remote learning, circumstances caused by natural ■ 2. In § 52.1620 in paragraph (c), either in whole or in part, to educate disasters, the Bureau adopts temporary amend the table titled ‘‘EPA Approved students. This heightened reliance on rules to allow schools needing more New Mexico Regulations’’ by removing remote learning has dramatically bandwidth to request additional E-Rate the entry for ‘‘Part 20’’ titled ‘‘Lime increased demand on school networks, support without conducting a new Manufacturing Plants—Particulate creating an urgent need for additional competitive bidding process for Matter’’ under ‘‘New Mexico bandwidth this school year. bandwidth provided in funding year Administrative Code (NMAC) Title 20— 2. Consistent with the relief the 2020. Environment Protection Chapter 2—Air Federal Communications Commission 5. Second Funding Year 2020 Quality’’. (Commission) has previously provided Application Window. The second to schools affected by natural disasters [FR Doc. 2020–19342 Filed 9–18–20; 8:45 am] funding year 2020 application window as well as recent actions the shall open September 21, 2020 and will BILLING CODE 6560–50–P Commission has taken in response to remain open through October 16, 2020. the COVID–19 pandemic, the Bureau The Bureau finds that this window will adopts, on an emergency basis, provide enough time for applicants FEDERAL COMMUNICATIONS temporary rules to provide immediate participating in the second funding year COMMISSION relief to schools that participate in the 2020 application window—many of E-Rate program as they continue to 47 CFR Part 54 which have already contracted for contend with the ongoing disruptions additional bandwidth before the school [CC Docket No. 02–6; DA 20–1091; FRS caused by the pandemic. These year began—to apply for additional E- 17084] temporary rules make available Rate discounts for funding year 2020 additional E-Rate funding to schools in and, to the extent necessary, complete Schools and Libraries Universal funding year 2020 to purchase any competitive bidding that may be Service Support Mechanism additional bandwidth needed to meet required under state and local laws. AGENCY: Federal Communications the unanticipated and increased 6. In keeping the window open only Commission. demand for on-campus connectivity through October 16, 2020, the Bureau resulting from the pandemic. also balances the need to provide ACTION: Final rule. 3. Specifically, given the urgent need immediate relief to applicants requiring SUMMARY: In this document, the for additional bandwidth this funding additional bandwidth in funding year Wireline Competition Bureau (Bureau) year and subject to the limitations set 2020 with its obligation to ensure the adopts, on an emergency basis, forth in the following, the Bureau efficient administration of the E-Rate temporary rules to provide immediate directs the Universal Administrative program, including minimizing any relief to schools that participate in the Service Company (USAC) to open a potential delays in opening the funding E-Rate program as they continue to second funding year 2020 filing window year 2021 administrative and regular contend with the ongoing disruptions to allow schools to request additional application windows. Given the caused by the pandemic. These funding for this limited purpose without upcoming changes to the category two temporary rules make available having to undergo a new competitive budget rules beginning in funding year additional E-Rate funding to schools in bidding process. This window shall 2021, the Bureau anticipates that funding year 2020 to purchase open September 21, 2020 and close on applicants will need as much time as additional bandwidth needed to meet October 16, 2020. As explained in the possible during the funding year 2021 the unanticipated and increased following, the Bureau finds that the administrative window to make demand for on-campus connectivity exigent circumstances faced by the necessary updates to their student count resulting from the COVID–19 pandemic. schools contending with this full or numbers for category two budget partial shift to remote learning purposes. Thus, the Bureau seeks to DATES: Effective September 21, 2020. constitute good cause to adopt these avoid further delaying the opening of FOR FURTHER INFORMATION CONTACT: Kate temporary rules without notice and the administrative window by closing Dumouchel, Wireline Competition comment. this second funding year 2020 filing Bureau, (202) 418–7400 or TTY: (202) window before that occurs. Both 418–0484. II. Discussion windows cannot be open at the same SUPPLEMENTARY INFORMATION: This is a 4. Recognizing the many challenges time. The Bureau expects demand for E- summary of the Bureau’s Order in CC facing schools as they shift to full or Rate funding to remain well below the Docket No. 02–6; DA 20–1091, adopted partial remote learning during this cap for funding year 2020. on September 16, 2020 and released on school year, the Bureau directs USAC to 7. Eligible Services. During this September 16, 2020. Due to the COVID– open a second funding year 2020 second funding year 2020 application 19 pandemic, the Commission’s application window to allow schools to window, schools may only request E- headquarters will be closed to the request additional E-Rate discounts for Rate discounts for additional on-campus general public until further notice. The the limited purpose of purchasing category one internet access and/or data full text of this document is available at additional bandwidth to meet the transmission services needed as a result the following internet address: https:// unanticipated and increased demand for of the COVID–19 pandemic. The Bureau
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limits the eligible services to narrowly the same or less than the original funds through its normal process that tailor this competitive bidding contract. Alternatively, if the price per the Bureau discovers were not used exemption and relief to the most megabit is higher than the original properly. The Bureau emphasizes that it pressing issue facing schools. Consistent contract, USAC will limit the funding retains the discretion to evaluate the with section 254 of the commitment to the price per megabit in uses of monies disbursed through the Telecommunications Act directive that the original contract. This temporary USF programs and to determine on a E-Rate may only be used to ‘‘enhance exemption to the Commission’s case-by-case basis that waste, fraud, or . . . access to advanced competitive bidding rules does not abuse of program funds occurred, and telecommunications and information relieve service providers of their that recovery is warranted. services for . . . school classrooms,’’ the obligation to offer the lowest Additionally, in the event the Bureau Bureau reminds applicants that off- corresponding price for services. The discovers any improper activity campus use of eligible services, even if Commission also recognizes that many resulting from its action in this used for an educational purpose, is states and localities have waived local document, the Bureau will subject the ineligible for support. If eligible based procurement rules in light of COVID–19. offending party to all available penalties on the competitive bidding exemption To the extent they have not, applicants at its disposal, and will direct USAC to outlined in the following, applicants may post an FCC Form 470 if necessary, recover funds, assess retroactive fees may request discounts on services to comply with local laws. and/or interest, or both. The Bureau already provided in funding year 2020 10. The Bureau’s action is intended to remains committed to ensuring the as early as July 1, 2020. expedite the ability of schools in urgent integrity of the E-Rate programs and will 8. Competitive Bidding. Competitive need of additional bandwidth to request continue to aggressively pursue bidding is a cornerstone of the E-Rate funding and thereby continue providing instances of waste, fraud, or abuse program, ensuring that applicants are vital educational services to students under its own procedures and in informed of their options and service during this pandemic. Applicants that cooperation with law enforcement providers have sufficient information to wish to apply for this funding agencies. provide services, leading to cost- opportunity must submit the following 12. Effective Date. Section 553 of the effective pricing, and guarding against information in the narrative section of Administrative Procedure Act (APA) waste, fraud, and abuse. The Bureau the new FCC Form 471 funding request: permits an agency to implement rules recognizes, however, that schools could The identification numbers for the without public notice and opportunity not have anticipated the need for funding year 2020 FCC Form 471 and additional bandwidth when they funding request that previously relied for comment ‘‘when the agency for good competitively bid for services and on the FCC Form 470; and a statement cause finds . . . that notice and public submitted their applications during the confirming that the requested E-Rate procedure thereon are impracticable, initial funding year 2020 application discounts are for additional bandwidth unnecessary, or contrary to the public window and that many are now facing needed as a result of COVID–19. To interest.’’ As explained, the COVID–19 tremendous connectivity challenges as facilitate and expedite USAC’s review, pandemic has caused unforeseeable the school year begins. To help them applicants are required to provide changes to the bandwidth demands at meet this urgent need, the Bureau will additional information in the narrative schools, creating an urgent and allow applicants to request E-Rate section about the price per megabit in immediate need for the relief provided discounts for their bandwidth increases the original and new funding requests by the Order. While public notice without conducting additional and highlight any difference in pricing. requirements are an essential part of the competitive bidding subject to the 11. Preventing Waste, Fraud, and Commission’s rulemaking process, the limitations in the following, while Abuse. The Bureau is committed to school year is already underway, and setting a limit on the price per megabit guarding against waste, fraud, and abuse schools need immediate action to make applicants request to serve as a in the Universal Service Fund (USF) necessary plans and preparations for safeguard against wasteful spending. programs. Accordingly, all relief granted both this school year and the 9. Specifically, schools may submit an by the Order is subject to the limitations submission of their requests for E-Rate FCC Form 471 during the second stated herein and conditioned upon support for funding year 2021. The funding year 2020 application window compliance with all E-Rate program temporary rules that the Bureau adopts requesting E-Rate discounts without rules that are not specifically modified herein provide an efficient mechanism initiating a new competitive bidding in this document. The Bureau requires to assist schools as they face huge process for the requested services if the all eligible E-Rate program participants disruptions and financial challenges applicant: Already sought bids for the to retain records documenting the due to the pandemic that were services by posting an FCC Form 470; services that they receive pursuant to unanticipated when E-Rate applicants received a Funding Commitment the temporary rules described and sought discounts for services for Decision Letter from USAC approving a consistent with the document retention funding year 2020, but are also narrowly funding year 2020 funding request for rules. Applicants and service providers tailored to allow for an efficient second eligible category one internet access requesting E-Rate support during the application window without and/or data transmission services that second funding year 2020 application jeopardizing regular program funding or relied on that FCC Form 470, or has window are responsible for maintaining administration for funding year 2021. such a funding request pending; and records that demonstrate their The Bureau’s action in this document is requests additional E-Rate discounts compliance with the temporary rules. also consistent with the statutory during the second application window Although the Bureau grants the mandate of the E-Rate program to to purchase additional bandwidth temporary rules described in this enhance ‘‘access to advanced through the existing service provider or document, program participants and telecommunications and information a new one. For the purposes of this service providers remain otherwise services’’ to schools and furthers the second funding year 2020 application subject to audits and investigations to public interest to provide discounts for window only, USAC shall grant funding determine compliance with USF needed eligible services, particularly to requests from applicants seeking program rules and requirements. The those applicants that could not have funding where the price per megabit is Bureau will require USAC to recover known that they would require this
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additional bandwidth during the the Order is adopted, and the temporary Classification competitive bidding process leading up rules shall become effective September to the initial funding year 2020 21, 2020, pursuant to 5 U.S.C. 553(d)(3); The Assistant Administrator for application window and when demand 47 CFR 1.427(b). Fisheries, NOAA (AA), finds good cause for E-Rate funding is well below the cap to waive the requirement to provide Federal Communications Commission. prior notice and opportunity for public for funding year 2020. The Bureau finds, Daniel Kahn, therefore, that good cause exists to forgo comment pursuant to the authority set Associate Chief, Wireline Competition forth at 5 U.S.C. 553(b)(B), as such notice and comment on these rules. Bureau. 13. For similar reasons, the Bureau requirement is unnecessary and finds that there is good cause to make [FR Doc. 2020–20899 Filed 9–18–20; 8:45 am] contrary to the public interest. While the temporary rules adopted by the BILLING CODE 6712–01–P the skimmer TED requirements will not Order effective immediately upon become effective until April 1, 2021, the publication in the Federal Register. lengthy delay in effectiveness was Although rules generally must be DEPARTMENT OF COMMERCE provided explicitly to allow sufficient published at least 30 days before they time for construction of the many new National Oceanic and Atmospheric become effective, the APA and the small turtle TEDs that will be required Administration Commission’s rules make an exception once the rule takes effect. Given the ‘‘for good cause found and published time that has passed since publication 50 CFR Parts 223 with the rule.’’ Given the unprecedented of the final rule, NMFS expects that and immediate need for additional [Docket No. 200812–0216] some new TED construction has already commenced, and that the rate of TED bandwidth presented by the COVID–19 RIN 0648–BJ99 pandemic, along with the fact that the construction will increase in the coming instructional year has already begun, it Sea Turtle Conservation; Shrimp months. The TED configurations that is crucial that the Bureau begins offering Trawling Requirements will be allowable under the erroneous relief as soon as possible. In addition, text are known to be widely used by the Bureau finds that delaying the AGENCY: National Marine Fisheries otter trawl vessels, which are already opening of the second application Service (NMFS), National Oceanic and required to employ TEDs. Consequently, window would delay the opening of the Atmospheric Administration (NOAA), NMFS expects that the same funding year 2021 administrative and Commerce. configurations with the narrow grid application windows, resulting in ACTION: Final rule; correction. spacing would be popular among slowdowns in the regular E-Rate skimmer vessels, if the configurations program administration, with SUMMARY: NMFS is correcting a final are identified in the regulations as potentially adverse spillover effects. rule that appeared in the Federal approved TED configurations. Further Register on December 20, 2019, that delay in correcting the error in the III. Procedural Matters requires all skimmer trawl vessels 40 regulatory text will allow for the A. Paperwork Reduction Act feet and greater in length to use turtle continued construction of TED excluder devices (TEDs) designed to configurations that do not achieve the 14. This document does not contain exclude small sea turtles in their nets. new or modified information collection necessary conservation benefit, and There is an error in the description of which will no longer be allowable requirements subject to the Paperwork the small turtle TED flap. This Reduction Act of 1995 (PRA), Public configurations after the error has been correction is necessary to prevent sea corrected. That delay would be expected Law 104–13. In addition, therefore, it turtle bycatch and mortality. does not contain any new or modified to result in considerable needless DATES: Effective April 1, 2021. information collection burden for small expense by industry in constructing business concerns with fewer than 25 FOR FURTHER INFORMATION CONTACT: TEDs consistent with the erroneous text, employees, pursuant to the Small Michael Barnette, 727–551–5794, and that needless expense is contrary to Business Paperwork Relief Act of 2002, [email protected]. the public interest. This correcting Public Law 107–198, see 44 U.S.C. SUPPLEMENTARY INFORMATION: action is consistent with NMFS’ testing 3506(c)(4). of various TED designs for turtle Need for Correction exclusion and other findings in the B. Congressional Review Act NMFS published a final rule requiring administrative record. The Draft and 15. The Commission has determined, all skimmer trawl vessels 40 feet and Final Environmental Impact Statements and the Administrator of the Office of greater in length to use TEDs designed prepared for the rule discuss the Information and Regulatory Affairs, to exclude small turtles in their nets on different TED configurations, their Office of Management and Budget, December 20, 2019 (84 FR 70048). The expected conservation benefit, and the concurs that this rule is non-major final rule becomes effective on April 1, catch losses associated with their use, under the Congressional Review Act, 5 2021. While the specifications of the and these issues are addressed more U.S.C. 804(2). The Commission will small turtle TED escape opening flap generally in the preamble for the send a copy of the Order to Congress were intended to apply to all TEDs proposed rule and final rule. and the Government Accountability based on NMFS TED testing results, an Consequently, the public has already Office pursuant to the Congressional error in the description on page 70064 been provided prior notice and Review Act, see 5 U.S.C. 801(a)(1)(A). inadvertently limited the specifications opportunity to comment generally on to only the bent bar TEDs. As a result, this aspect of the rule, rendering further IV. Ordering Clauses other TEDs, such as the straight bar opportunity to comment unnecessary. 16. Accordingly, it is ordered that, TED, could be fished with an escape Therefore, in order to avoid the negative pursuant to the authority contained in opening flap that would impair the consequences that are expected to result Sections 4(i), 4(j), and 254 of the effective release of small sea turtles from from unnecessary delay in making this Communications Act of 1934, as the net. NMFS is correcting the error correction, the AA finds good cause to amended, 47 U.S.C. 151, 154(i), and 254 through this action. waive the requirement to provide prior
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notice and opportunity for public DATES: The expiration date of the issued (e.g., observer coverage is comment. emergency measures to address fishery required due to other applicable law or observer coverage during the international obligations), NMFS may Correction Coronavirus pandemic published on implement additional, separate actions In FR Doc. 19–27398, appearing on March 27, 2020 (85 FR 17285) is (e.g., fishery closures, additional page 70048, the following correction is extended through March 26, 2021. monitoring) per existing regulations or made: FOR FURTHER INFORMATION CONTACT: may issue emergency regulations, as § 223.207 [Corrected] Michael Ruccio at 978–281–9104. necessary and appropriate. As a result, SUPPLEMENTARY INFORMATION: no ecological or socioeconomic impacts ■ 1. On page 70064, in the first column, are expected by this temporary rule correct paragraph (d)(3)(v) to read as Background beyond any caused by the COVID–19 follows: pandemic itself. (v) Small turtle TED flap. If the angle On March 27, 2020, NMFS published an emergency action (85 FR 17285) that NMFS will continue to monitor and of the deflector bars of a TED used by evaluate the COVID–19 pandemic and ° addresses public health concerns a skimmer trawl exceeds 45 , or if a will take additional action if needed. double cover opening straight bar TED relating to the Coronavirus Disease pandemic that began in 2019 (COVID– Unless otherwise determined, NMFS (at any allowable angle) is used by a anticipates that these emergency 19). The emergency action provides skimmer trawl, the flap must consist of measures will be effective until the NMFS with authority to waive observer twine size not greater than number 15 earlier of the following dates: (1) The coverage requirements established in (1.32-mm thick) on webbing flaps date when the current COVID–19 regulations promulgated under the described in paragraphs (d)(3)(i), pandemic is no longer deemed a public Magnuson-Stevens Fishery (d)(3)(ii), (d)(3)(iii), or (d)(3)(iv) of this health emergency by the Secretary of Conservation and Management Act section. Health and Human Services; or (2) (MSA) and other statutes, consistent March 26, 2021, see MSA section Dated: April 13, 2020. with applicable law and international 305(c)(3)(B), 16 U.S.C. 1855(c)(3)(B). As Samuel D. Rauch III, obligations. The action also authorizes warranted, if this emergency continues Deputy Assistant Administrator for NMFS to waive some training or other beyond the end of this 186-day Regulatory Programs, National Marine program requirements to ensure that as Fisheries Service. extension period, NMFS may consult many observers are available as possible with the Secretary of Health and Human [FR Doc. 2020–18054 Filed 9–18–20; 8:45 am] while ensuring the safety and health of Services about a further extension of BILLING CODE 3510–22–P the observers and trainers. Due to the this emergency action pursuant to MSA continuation and evolution of the section 305(c)(3)(C) or may conduct a COVID–19 pandemic, NMFS is now DEPARTMENT OF COMMERCE more permanent rulemaking. extending this emergency action for an National Oceanic and Atmospheric additional 186 days, as authorized Extended Emergency Management Administration under MSA section 305(c)(3). Measures The background for why the NMFS is extending the original 50 CFR Part 600 emergency observer waiver is necessary emergency regulations with a minor was provided in the original emergency [Docket No. 200321–0084] change to the text of the first criteria for action (85 FR 17285; March 27, 2020) waiving observer coverage. Changes in RIN 0648–BJ70 and is not repeated here. Given the text are to clarify the original intent and ongoing COVID–19 pandemic, the do not change the meaning. The Extension of Emergency Measures To continued national and local management measures in the emergency Address Fishery Observer Coverage declarations of emergency, and rule that are being extended follow. During the Coronavirus Pandemic guidance from the Centers for Disease Under this emergency action, NMFS AGENCY: National Marine Fisheries Control and Prevention, NMFS has may waive observer coverage Service (NMFS), National Oceanic and determined that an extension of the requirements if: Atmospheric Administration (NOAA), emergency action is needed to enable • Placing an observer conflicts with Commerce. NMFS to continue to waive observer travel restrictions or other requirements coverage and some related training and ACTION: Temporary rule; emergency addressing COVID–19 related concerns other program requirements. NMFS action extended. issued by local, state, or national expects this extension to advance the governments, or the private companies SUMMARY: NMFS extends this temporary protection of and to promote public that deploy observers pursuant to NMFS rule (also referred to herein as health and the safety of fishermen, regulations; or ‘‘emergency action’’) to provide it with observers, and other parties that may • No qualified observer(s) are authority to continue to waive observer come in contact with those persons. available for placement due to health, coverage requirements. NMFS is taking NMFS will continue to consider safety, or training issues related to this action to address public health applicable law and international COVID–19. concerns relating to the ongoing obligations when making decisions If either of these conditions is Coronavirus pandemic. The intended about observer coverage waivers. In satisfied, then NMFS may waive effect is to provide the waiver issuing such waivers, NMFS will observer coverage requirements for an mechanism necessary to respond to the continue to carefully monitor the status individual trip or vessel, an entire ongoing public health emergency. This of the fishery and/or protected species fishery or fleet, or all fisheries action also authorizes NMFS to waive that were being observed or monitored administered under a NMFS Regional some training or other program to ensure that the relevant conservation Office (see 50 CFR 600.10 (defining requirements to ensure that as many and management goals are still being Region) and https:// observers are available as possible while met. If needed to address any significant www.fisheries.noaa.gov/regions) or ensuring the safety and health of the issues or concerns, or if NMFS NMFS Headquarters Office. However, observers and trainers. determines that a waiver cannot be waivers will be only issued as narrowly
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as possible in terms of duration and for fishermen nor does it ensure the the unique conditions of each program. scope to meet the particular safety of the crew. Many of these The operational aspects of some circumstances. Such waivers will be commenters believe the close quarters fisheries have allowed the agency and communicated in writing or electronic on fishing vessels would mean the virus observer service providers to more format. At any time, if the could spread to entire crews and their quickly adapt processes and procedures circumstances for a waiver are no longer families. Some commenters felt the lack for deployment. In other cases, more applicable, NMFS will withdraw, in of protection for the crew would put the time has been needed. For example, in writing or electronic format, that waiver. entire food supply in jeopardy. the Northeast, because of the number of In making decisions regarding observer Response: NMFS disagrees. Observers different jurisdictions, additional time coverage waivers, NMFS will gather and monitors, at-sea and shoreside, are was needed to finalize observer information, if needed, from relevant an essential component of commercial redeployment protocols. Consequently, observer service providers and other fishing operations. Observers provide resumption of observer coverage was parties involved with observer coverage important fishery-dependent data, delayed for an additional month. before issuing the waivers. which are used to understand catch, Overall, NMFS’ approach to observer This emergency action also allows bycatch, and interactions with species coverage and monitoring allows it to be NMFS to waive certain observer training protected under the Endangered Species as adaptable as possible given all of the and other observer program Act (ESA) and Marine Mammal variability across our regions and requirements (e.g., requiring a minimum Protection Act (MMPA). Observers also fisheries. class size or requiring that observers collect biological information that may Comment 4: NMFS received transfer to other vessels between trips). not otherwise be collected. comments from a number of fishing Before doing so, NMFS will ensure that On August 18, 2020, the U.S. organizations that stated NMFS should any such waiver does not remove Department of Homeland Security modify the emergency rule to allow requirements that ensure the health and released updated guidance on essential waivers to protect the health and safety safety of the observer or observer critical infrastructure workforce during of fishery participants and observers, trainer. COVID–19. Seafood harvesting facilities and not just when an observer was are listed as part of food manufacturer unavailable. Response to Comments workers and their supplier workers. In Other comments on health and safety During the comment period on the addition, the memo states that those protection varied. There were comments emergency rule, we received 29 written workers include ‘‘Animal agriculture that carrying observers is in conflict comments from a variety of stakeholders workers . . . employed in . . . animal with or inconsistent with local or state including Regional Fishery Management production operations . . . and social mandates or guidance for things Councils (Councils), commercial associated regulatory and government such as shelter-in-place orders. fishermen, fishing stakeholder workforce.’’ As the agency charged with Commenters stated that in such organizations, nongovernmental conservation and management of situations, NMFS should be responsible environmental organizations, and other Federal fisheries, NMFS asserts that for ensuring observer deployments interested parties. Three of the fisheries observers are an associated comply with such mandates. One comments we received were not related government workforce necessary for comment stated that vessel insurance to this rule and are thus not included in fisheries because they provide carriers are opposed to allowing the responses provided below. important data for science-based observers to interact with vessel Similarly, we do not provide responses fisheries management. personnel until the pandemic is better to feedback on implementation of the In general, observers create no more understood and the rate of infection is CARES Act (The Coronavirus Aid, risk than a crew member, and observer under control. Commenters also noted Relief, and Economic Security Act) as provider companies are generally able to concerns about the age of most fishery this is also outside the scope of this match precautionary measures that the participants, existing health conditions, rule. A summary of the major issues vessels impose on crew members. and the need to adhere to National raised is provided below. Within our regulatory and contract Standard 10 of the MSA (safety at sea). Comment 1: All responsive comments oversight authority, NMFS’s goal is to Response: The March 2020 emergency NMFS received were generally in have observer providers and their rule provides the ability to waive support of waiving observer coverage. observers and monitors meet or exceed observer coverage to protect the health Many commenters noted the need for the risk mitigation protocols that have and safety of fishery participants and high quality fisheries dependent data, been adopted by fishermen. observers. With this rule we have and supported the agency’s efforts to Comment 3: NMFS received multiple revised the first criteria to increase collect such data through observers. comments concerned with clarity while retaining the original Response: NMFS appreciates and inconsistencies on the issuance of meaning. NMFS may waive observer agrees with these comments. NMFS waivers between regions. coverage requirements if one of the acknowledges that it is facing an Response: The fisheries of the United below conditions is met: unprecedented situation with observer States are highly variable; ranging from • Placing an observer conflicts with and monitor deployment and the large catcher-processor boats targeting travel restrictions or other requirements ongoing COVID–19 pandemic and pollock in the Bering Sea to small addressing COVID–19 related concerns public health mandates. Also, NMFS fishing boats targeting multi-species issued by local, state, or national recognizes that there is a need for fisheries in the Caribbean. Fisheries governments, or the private companies flexibility to balance the ongoing public vary not only in the species targeted and that deploy observers pursuant to NMFS health concerns and the need to fishing methods used, but also in their regulations; or continue to collect fishery-dependent goals, objectives, and operating • No qualified observer(s) are data. procedures. In addition, there are and available for placement due to health, Comment 2: NMFS received continue to be regional differences in safety, or training issues related to comments that observers are not the occurrence of COVID–19 cases and COVID–19. essential, and that the emergency rule restrictions on travel. NMFS decisions NMFS also clarifies that it will does not provide sufficient protections on observer waivers are dependent on consider a trip waiver if the observer
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providers cannot meet the risk guidance on fishing activities is thus not temporarily suspend area-based mitigation protocols imposed by a state appropriate nor manageable. management measures during the on commercial fishing crew or by the Comment 6: NMFS received pandemic to decrease time spent on the vessel or vessel company on its crew. comments that NMFS should not relax boat and in close-quarters, and to Based on our regulatory and contract the training requirements for observers. decrease economic hardships. Another oversight authority, NMFS intends to Some of these commenters felt that the commenter suggested revising the ensure that observer providers and their current level of training is not sufficient observer duties to remove duties that observers and monitors are following as newly trained observers are not require prolonged interactions (e.g., the same risk mitigation protocols that always prepared for the difficult measuring net width, extensive fishermen are following. conditions at-sea and sending out economic questions). Other comments The decision to operate rests observers without proper training included requests to: Increase the ultimately with each individual vessel endangers fishermen and their families. availability of protective equipment for captain. See 50 CFR 600.355 (National Commenters suggested training may crew, adjust post-deployment Standard 10 guidelines clarify that the need to be longer to include information procedures so that observers do not safety of a vessel and the people aboard related to COVID–19 safety. One need to travel to complete their is ultimately the responsibility of the commenter noted that bad data was debriefings, minimize the number of master of that vessel). It is our position worse than no data. Other commenters people on docks, and to focus on fishing that observers do not introduce stated that NMFS should work with that is essential for food security. In additional risk when compared to regional partners to determine what addition, commenters suggest NMFS fishing crew when the observer, and training needs could be waived without should find other lawful avenues for their employer, take identical or more sacrificing the data that needs to be protecting fishery livelihoods and stringent risk mitigation protocols. In collected. should keep supply chains safe and the circumstance where an observer Response: NMFS agrees that sufficient reliable. provider cannot meet the risk mitigation training of observers is necessary. NMFS Response: Many of the requested protocols imposed by a state on will ensure that any waivers related to actions are currently outside the scope commercial fishing crew, or those taken training do not remove requirements of this action which is to provide by the vessel or a vessel company for its that ensure the health and safety of the authority to waive observer coverage crew, NMFS will consider a waiver on observer, fishing captain, or crew. requirements. We appreciate the ideas a trip-specific basis. Comment 7: NMFS received a number suggested and encourage commenters to The National Standard 10 guidelines of comments regarding the lack of a contact their NMFS regional office and/ (50 CFR 600.355) set forth safety specific waiver length prescribed in the or work with their Councils to suggest considerations (e.g., weather patterns, emergency rule. Some commenters these changes. gear and loading requirements, etc.) and indicated that any length of time for a NMFS regional offices and science possible mitigation measures (e.g., waiver of observer coverage was centers, working collaboratively with avoiding hazardous weather, avoiding welcome. Other commenters indicated Councils will consider how the decrease race-to-fish ‘derby’ fisheries, tailoring that NMFS should issue blanket waivers in fishery-dependent data will impact gear requirements, spreading effort over that stop all observer coverage for future stock assessments and will make time and area, etc.). While the significant periods of time including 90 adjustments on a fishery-by-fishery guidelines do not address the current, days, 120 days, or for the rest of 2020. basis, as needed. Catch advice for many unprecedented situation, NMFS Response: Waivers for all fisheries stocks is provided on a multi-year basis believes the emergency rule and its administered under a Regional Office such that advice for 2021 and extension are consistent with National were granted in many regions during the potentially beyond has already been Standard 10. The rule provides beginning of the COVID–19 pandemic discussed and catch limits established continued operational flexibility for while NMFS, observer providers, and through council processes. Many vessel masters to establish overall risk fishing businesses explored the Councils have a robust risk assessment mitigation protocols for their vessels, appropriate safety requirements. Moving process that can and will evaluate the ensuring that observers meet or exceed forward, NMFS anticipates broadly potentially increased uncertainty that the same standards established for the applicable waivers will likely not be may arise from decreased fishery vessel in question. In situations where needed. On a regionally-decided, case- dependent data. Finally, there is observer providers cannot meet the by-case basis, individual trip waivers significant expertise within NMFS vessel specific risk mitigation protocols can be granted per the conditions science centers and on the council’s established or where observers are described in the response to Comment scientific and statistical committees and otherwise unavailable, NMFS will 4. This emergency rule extension is in with council technical staff to provide continue to consider waivers of observer effect through March 26, 2021. If analysis and advice on if or by how coverage. necessary, NMFS will consider a further much catch advice should be modified Comment 5: NMFS received multiple extension. See 16 U.S.C. 1855(c)(3)(C) in response to fishery dependent data comments that NMFS should have (responding to public health gaps, changes in overall fishing effort issued more comprehensive guidance emergency). and harvest, or both. on when fishing and associated Comment 8: NMFS received multiple Comment 9: NMFS received activities are safe and compatible with comments suggesting other management numerous comments that the agency public health rules. changes NMFS should make in response must maintain its ability to meet Response: As mentioned in response to the COVID–19 pandemic related to conservation and management mandates to Comment 3 above, there is high either safety or sustainable management. under MSA, ESA, the Migratory Bird variability across fisheries in the Multiple commenters noted that NMFS Treaty Act, and the MMPA, and ensure operational components of fisheries should consider decreasing catch limits that any waiver issued is consistent (e.g., gears, boat sizes, locations, to account for the increased uncertainty with these conservation requirements. methods, etc.) as well as observer or and increased bias in the self-reported Commenters suggested NMFS look at monitor coverage rates. NMFS has data due to the lack of observer data. the role of observers within each fishery determined that comprehensive One commenter requested NMFS when determining if observer coverage
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can be waived, and that the Secretary provider and regional observer program does not place enough emphasis on the may exercise his authority to uphold and/or regional office to address the health of fishing communities, conservation needs and safety at sea by situation. Ultimately, NMFS’s goal is to including the ability of small fishing temporarily shutting down fishing have observers and monitors following communities to handle a large number activities. Finally, one commenter noted the same or more stringent risk of COVID–19 infected patients. that NMFS cannot assume removal of mitigation protocols than fishermen are Commenters noted the need for NMFS observers will have no ecological following. to focus on minimizing economic impacts. Comment 11: NMFS received impacts to fishing communities and Response: NMFS is committed to comments concerning the economic suggested NMFS consider other maintaining the sustainable use of our implications of continuing to require management actions to protect these marine resources, protecting endangered observer coverage. Commenters communities. species, marine mammals, and seabirds, indicated the daily operational costs Response: NMFS is concerned with and providing seafood to the country coupled with the loss of revenue could the health and safety of U.S. fishing during the ongoing COVID–19 be heavily impactful on some of the communities. We understand that pandemic. NMFS does not agree that it fisherman and associated business. One medical capabilities and hospital is necessary to temporarily shut down a commenter asked who is liable if an infrastructure varies across fishery due to a short-term reduction in observer passes the virus to the persons communities. We emphasize that the number of trips observed. on a fishing vessel, and whether the observers do not introduce more risk NMFS will continue to consider agency would be willing to pay for time than fishing crews for the spread of applicable law (e.g., ESA and other lost fishing as a result. Commenters COVID–19 when following identified statutes noted above) and international indicated that NMFS should further risk mitigation protocols. For remote obligations when making decisions evaluate the sociological conditions of communities where access to travel and about observer coverage waivers. In each fleet before determining the lodging are reduced due to the ongoing issuing such waivers, NMFS will efficacy of an observer waiver. COVID–19 pandemic, the emergency carefully monitor the status of the Commenters suggested the impacts of rule and its extension allow for fishery and/or protected species that continuing observer coverage during the consideration of observer coverage were being observed or monitored to pandemic could further exacerbate the waivers due to the lack of available ensure that the relevant conservation economic decline of the fishing observers. Fishing businesses are urged and management goals are still being industry. to be in communication with their met. If needed to address any significant Response: NMFS is concerned about respective observer provider and NMFS issues or concerns, or if NMFS the economic impacts of the COVID–19 regional observer program/regional determines that a waiver cannot be pandemic on the fishermen, fishing office to discuss further, as needed. issued (e.g., observer coverage is fleets, and fishing communities. NMFS Comment 13: Two commenters stated required due to other applicable law or continues to conduct ongoing that NMFS should follow the ‘‘proper international obligations), NMFS may evaluation of the economic impacts procedure for emergency action.’’ implement additional, separate actions resulting from the pandemic and has Specifically, they state NMFS must (e.g., fishery closures, additional routinely provided this information to publish the details of each waiver monitoring, etc.) per existing regulations Congress as it works to relieve the issued in the Federal Register. The or may issue emergency regulations, as economic impacts of the pandemic. As commenters suggested that this process necessary and appropriate. As a result, previously mentioned, observer would mean the agency should request no ecological or socioeconomic impacts provider companies have developed public comment when observer are expected by this extension beyond protocols to minimize the risk of requirements are potentially waived for any caused by the COVID–19 pandemic deploying observers or monitors. In each fishery. itself. addition, this rule provides for Response: NMFS adopted the Comment 10: Some commenters consideration of waivers when emergency rule and this extension indicated a concern that vessel owners/ observers/monitors cannot meet the risk pursuant to the procedure for operators would not have control when mitigation protocols in place on a emergency regulations under MSA allowing observers onboard their vessel, as implemented by the captain section 305(c). The quickly evolving vessels, and that they may be required and crew, or state. See response to nature of this unprecedented pandemic to carry observers even if the observer Comment 4. Observer provider requires a nimble response to local was symptomatic. One commenter protocols, vessel protocols, and the conditions through issuance of asked if a vessel operator could refuse waiver criteria in this rule ensure that temporary, region-specific, vessel- to carry an observer if the observer was risks to fisheries participants and specific, or trip-specific waivers. symptomatic. observers/monitors are minimized. Comment 14: NMFS received a Response: NMFS agrees and remains Because the decision to operate rests number of comments recommending the concerned about health of both with each individual vessel captain, use of electronic monitoring (EM) in fishermen and observers. Observer NMFS would not pay for any lost place of at-sea observers. Some of these provider companies have developed fishing time in the unlikely event that commenters indicated that they protocols that are generally able to a vessel crew or captain’s contraction of believed that fisheries with fully match or exceed risk mitigation COVID–19 could be traced to an implemented programs EM could measures that the vessels and fishing observer or monitor. NMFS notes that replace the catch accounting provided companies impose on crew members the Federal government has sovereign by at sea observers. Furthermore, and that help ensure health of both immunity (i.e., cannot be sued), unless commenters stated that fisheries with observers and fishery participants. it specifically waives that immunity. pilot EM programs should be Under these protocols, it is highly Sovereign immunity has not been temporarily expanded to include unlikely that a symptomatic observer waived for claims related to compliance additional vessels to allow for would be deployed. However, in that with regulatory requirements. monitoring without at-sea observers. unlikely scenario, the vessel in question Comment 12: NMFS received Further comments stated that all should work with both the observer multiple comments noting that the rule fisheries with EM capabilities should
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require EM when observers are waived. quota management and real time remotely, NMFS is allowing the return Some commenters indicated that EM fisheries management, these of essential workers to NOAA facilities, could include vessel monitoring commenters believe that NMFS can consistent with state and local public systems (VMS), Automatic grant a long-term observer waiver health service guidance. Identification Systems (AIS), video without long term impacts to fisheries. Comment 17: Two commenters cameras, and electronic logbooks. These A separate commenter noted the need to indicated that NMFS should consider commenters indicated that using these substitute other data collection and the economic and biological technologies could fill data gaps, and monitoring methods in lieu of observer ramifications of waiving observer some of the commenters suggested data. Another commenter noted that coverage focused on ESA or MMPA increasing the ‘‘ping’’ rate for VMS there was not a need for both 100 species. Commenters noted that self- among other modifications to increase percent observer coverage and 100 reporting is insufficient for these EM coverage overall. Two commenters percent dock-side monitoring. species, especially in situations where also suggested that electronic reporting Response: NMFS agrees that catch incidental take statements are present by fishermen and dealers should be accounting is an important part of for interactions with ESA species. They required in any fishery issued a waiver sustainable fisheries management. indicated that waivers that do not offer to assist in mitigating any data gaps However, NMFS notes that fishery sufficient coverage under the ESA could resulting from no observer coverage. management plans adopt data collection leave fishermen vulnerable to section 9 Response: NMFS is very supportive of and reporting requirements (e.g., fishery liability (section 9 states it is illegal to expanding EM and electronic reporting observers, dealer reporting, etc.) to take, possess, or sell any species (ER). NMFS has provided approximately address not only catch accounting but protected under the ESA) at the same $42 million since 2015 to develop and other purposes. NMFS anticipates that time that fishermen are facing a implement EM and ER technologies; broadly applicable waivers of observer significant reduction in demand and there are seven EM programs in coverage will likely not be needed, and prices. Another commenter noted that regulation (six in Alaska and the waivers should be granted on a in some fisheries the observers assist Atlantic Highly Migratory Species regionally-decided, case-by-case basis fishing vessel captains in marine program), seven more EM programs in depending on the fishery (see response mammal avoidance and that this role pre-implementation (Alaska, West to Comment 3). cannot be replaced with logbooks. Coast, and Northeast) and a wide-range Comment 16: NMFS received Response: NMFS does not agree that of pilot projects across U.S. fisheries. multiple comments pertaining to when waiving observer requirements will Where implemented in regulation, EM waivers should be lifted. Some impact ESA section 9 liability. continues to be used to gather fishery commenters indicated that any waiver Fishermen should be employing the dependent data during this pandemic. issued must be limited in scope and same fishing practices with or without However, under the best conditions, duration. Other commenters felt any observers on-board and thus the section developing and expanding EM programs waivers should remain in place until all 9 liability should remain the same. still requires resources to purchase and travel restrictions and other social NMFS will consider ESA obligations install systems, develop vessel-specific control mechanisms have been removed when making decisions about observer monitoring plans, transmit and review from the regions where observers are coverage waivers. In issuing such data, and map out the pathway for deployed or until testing availability waivers, NMFS will carefully monitor integrating and using the data for increases substantially or a vaccine the status of the protected species that management and science. NMFS agrees becomes available. Other commenters were being observed or monitored to that the COVID–19 pandemic highlights indicated that the rationale for ensure that the relevant conservation the benefits of EM, especially to make deploying observers should be tied to and management goals and any our data collection and monitoring more the same rationale for reopening NOAA applicable (or associated) requirements resilient, and expects to see an offices and bringing employees back to are still being met. If needed to address increased interest and use of EM in the work sites. Finally, a commenter any significant issues or concerns, future. However, given the challenges suggested the waiver should match the NMFS may implement additional, with EM listed above, NMFS’ ability to duration of the shelter-at-home orders of separate actions (e.g., fishery closures, approve new EM programs or provide the various governors or local additional monitoring) per existing EM to more boats is limited at the governments. regulations or may issue emergency current time. NMFS will continue to Response: As mentioned in response regulations, as necessary and work with existing projects and to Comment 3, the ability to re-deploy appropriate. programs to determine where EM observers depends on the operational Comment 18: NMFS received expansion can occur in the short-term components of the fisheries (e.g., gears, comments that waivers should not be and will continue to work with the methods, port of departure, mandated issued for fishing under exempted Councils to improve our monitoring observer coverage levels, etc.) as well as fishing permits. programs, including the expansion of the availability of observers and the Response: NMFS will consider the EM and ER. ability of observer providers to at least impact of waiving observers for Comment 15: NMFS received match the deployment vessel’s self- exempted fishing permits on a case-by- comments indicating that proper catch imposed risk mitigation protocols. case basis. Waivers are expected to vary accounting is a necessity for quality NMFS agrees that observers should depending on the goals and nature of fisheries management, but that it can be follow local travel restrictions and stay the fishing activities and details of the achieved without the use of observers. at home orders that apply to essential exempted fishing permits. For example, These commenters stated that electronic employees. NMFS does not agree that permits related to the use of electronic dealer reporting is the gold standard in observer coverage and related monitoring could continue without quota monitoring and catch accounting, requirements should be waived until observers, or with observers based only and that NMFS already uses this data NOAA offices are open. Observer work shoreside, as information on catch is stream for real-time fisheries cannot be completed via telework. In still being collected. management. Since NMFS uses other analogous situations where NMFS Comment 19: NMFS received reporting methods for catch accounting, employees’ work cannot be completed multiple comments noting that the
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United States is a party to many of this temporary rule would be filed in DEPARTMENT OF COMMERCE different international agreements that the Federal Register pursuant to MSA require observer coverage. They state section 305(c)(3)(D)). If this emergency National Oceanic and Atmospheric that unless an international body waives needs to be extended beyond that time, Administration its observer coverage requirements, or if this public health emergency NMFS must ensure individual waivers evolves to the point where it is deemed 50 CFR Part 679 comply with international observer necessary, NMFS will consult with the [Docket No. 200221–0062; RTID 0648– requirements within the relevant Secretary of Health and Human XA485] convention waters. Services, pursuant to MSA section Two commenters requested a waiver 305(c)(3)(C), to seek the Secretary’s Fisheries of the Exclusive Economic for the international purse seine fishery. concurrence on extending the action Zone off Alaska; Exchange of Flatfish They indicated that several until the circumstances that created the in the Bering Sea and Aleutian Islands international agencies have granted public health emergency related to Management Area temporary allowances to allow for the COVID–19 no longer exist. relevant fisheries to operate without The Assistant Administrator for AGENCY: National Marine Fisheries observers as a result of the pandemic, Fisheries, NOAA (AA), finds good cause Service (NMFS), National Oceanic and and urge NMFS to waive observer under 5 U.S.C. 553(b)(B) of the Atmospheric Administration (NOAA), coverage fully for the relevant fisheries. Administrative Procedure Act (APA) Commerce. They note fishermen could experience that it is unnecessary, impracticable, ACTION: Temporary rule; reallocation. economic harm if they are prohibited and contrary to the public interest to SUMMARY: from fishing when observers are not provide for any additional prior notice NMFS is exchanging unused available. They also note concern that and opportunity for the public to flathead sole and rock sole Community these emergency measures will be lifted comment. As more fully explained Development Quota (CDQ) for yellowfin by NMFS on ‘‘The date when the above, the reasons justifying sole CDQ acceptable biological catch current COVID–19 pandemic is no promulgation of this rule on an (ABC) reserves in the Bering Sea and longer deemed a public health emergency basis, coupled with the fact Aleutian Islands management area. This emergency by the Secretary of Health that the public has had the opportunity action is necessary to allow the 2020 and Human Services.’’ They state that to comment on the original emergency total allowable catch (TAC) of yellowfin the condition of the pandemic in the rule, make solicitation of additional sole in the Bering Sea and Aleutian United States may not match the comment unnecessary, impractical and Islands management area to be conditions internationally. contrary to the public interest. This harvested. Response: NMFS understand these action is needed immediately to enable DATES: Effective September 17, 2020, concerns, is assessing conditions around NMFS to continue to respond to through December 31, 2020. international fisheries, and is waiving evolving, public safety-related concerns. FOR FURTHER INFORMATION CONTACT: observer coverage where appropriate. NMFS is implementing this extension of Steve Whitney, 907–586–7228. Classification an emergency action to continue to SUPPLEMENTARY INFORMATION: NMFS This action is issued pursuant to authorize action to prevent any manages the groundfish fishery in the section 305(c) of the MSA, 16 U.S.C. potential health issues caused by Bering Sea and Aleutian Islands 1855(c), and pursuant to the rulemaking spreading the COVID–19 virus to management area (BSAI) according to authority under other statutes that apply fishermen, observers, technicians, and the Fishery Management Plan for to Federal fisheries management or that other persons involved with observer Groundfish of the Bering Sea and implement international agreements. coverage. Any delay of implementation Aleutian Islands Management Area Such statutes include, but are not of this extension could result in public (FMP) prepared by the North Pacific limited to, the Atlantic Tunas health and safety issues during this Fishery Management Council under Convention Act (16 U.S.C. 971 et seq.), global pandemic. In addition, this authority of the Magnuson-Stevens South Pacific Tuna Act of 1988 (16 extension is needed to address potential Fishery Conservation and Management U.S.C. 973 et seq.), Western and Central disruptions in observer and technician Act. Regulations governing fishing by Pacific Fisheries Convention availability due to health, training or U.S. vessels in accordance with the FMP Implementation Act (16 U.S.C. 6901 et travel issues or COVID–19-related appear at subpart H of 50 CFR part 600 seq.), Antigua Convention Implementing guidance, requirements, or restrictions. and 50 CFR part 679. Act (16 U.S.C. 951 et seq.), High Seas For the reasons stated above, the AA The 2020 flathead sole, rock sole, and Fishing Compliance Act (16 U.S.C. 5501 also finds good cause to waive the 30- yellowfin sole CDQ reserves specified in et seq.), and MMPA (16 U.S.C. 1361 et day delay in effective date of this the BSAI are 2,087 metric tons (mt), seq.). This temporary rule is intended to temporary rule under 5 U.S.C 553(d)(3). 5,040 mt, and 16,125 mt as established Because prior notice and opportunity authorize NMFS to waive any observer by the final 2020 and 2021 harvest for public comment are not required for requirement implemented under any of specifications for groundfish in the this temporary rule by 5 U.S.C. 553 or those authorities, consistent with other BSAI (85 FR 13553, March 9, 2020). The any other law, the analytical applicable law. Consistent with MSA 2020 flathead sole, rock sole, and requirements of the Regulatory section 305(c)(3)(B), this action will yellowfin sole CDQ ABC reserves are Flexibility Act, 5 U.S.C. 601 et seq., are remain in effect as to all such 5,204 mt, 11,363 mt, and 11,793 mt as inapplicable. requirements for 186 days (366 days established by the final 2020 and 2021 from the original rulemaking) (unless, Dated: September 15, 2020. harvest specifications for groundfish in prior to these dates, the current COVID– Samuel D. Rauch III, the BSAI (85 FR 13553, March 9, 2020). 19 pandemic is no longer deemed a Deputy Assistant Administrator for The Coastal Villages Regional Fund public health emergency by the Regulatory Programs, National Marine has requested that NMFS exchange 125 Secretary of Health and Human Fisheries Service. mt of flathead sole and 175 mt of rock Services, in which case NMFS [FR Doc. 2020–20686 Filed 9–18–20; 8:45 am] sole CDQ reserves for 300 mt of anticipates that a notice of termination BILLING CODE 3510–22–P yellowfin sole CDQ ABC reserves under
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§ 679.31(d). Therefore, in accordance BSAI. This action also decreases and groundfish in the BSAI (85 FR 13553, with § 679.31(d), NMFS exchanges 125 increases the TACs and CDQ ABC March 9, 2020) are further revised as mt of flathead sole and 175 mt of rock reserves by the corresponding amounts. follows: sole CDQ reserves for 300 mt of Tables 11 and 13 of the final 2020 and yellowfin sole CDQ ABC reserves in the 2021 harvest specifications for
TABLE 11—FINAL 2020 COMMUNITY DEVELOPMENT QUOTA (CDQ) RESERVES, INCIDENTAL CATCH AMOUNTS (ICAS), AND AMENDMENT 80 ALLOCATIONS OF THE ALEUTIAN ISLANDS PACIFIC OCEAN PERCH, AND BSAI FLATHEAD SOLE, ROCK SOLE, AND YELLOWFIN SOLE TACS [Amounts are in metric tons]
Pacific ocean perch Flathead sole Rock sole Yellowfin sole Sector Eastern Central Western Aleutian Aleutian Aleutian BSAI BSAI BSAI District District District
TAC ...... 10,613 8,094 10,000 19,375 46,925 151,000 CDQ ...... 1,136 866 1,070 1,962 4,865 16,425 ICA ...... 100 60 10 3,000 6,000 4,000 BSAI trawl limited access ...... 938 717 178 ...... 17,172 Amendment 80 ...... 8,440 6,451 8,742 14,414 36,060 113,403 Note: Sector apportionments may not total precisely due to rounding.
TABLE 13—FINAL 2020 AND 2021 ABC SURPLUS, ABC RESERVES, COMMUNITY DEVELOPMENT QUOTA (CDQ) ABC RESERVES, AND AMENDMENT 80 ABC RESERVES IN THE BSAI FOR FLATHEAD SOLE, ROCK SOLE, AND YELLOWFIN SOLE [Amounts are in metric tons]
2020 2020 2020 2021 1 2021 1 2021 1 Sector Flathead sole Rock sole Yellowfin sole Flathead sole Rock sole Yellowfin sole
ABC ...... 68,134 153,300 260,918 71,079 230,700 261,497 TAC ...... 19,375 46,925 151,000 24,000 49,000 168,900 ABC surplus...... 48,759 106,375 109,918 47,079 181,700 92,597 ABC reserve...... 48,759 106,375 109,918 47,079 181,700 92,597 CDQ ABC reserve ...... 5,329 11,538 11,493 5,037 19,442 9,908 Amendment 80 ABC reserve ...... 43,430 94,837 98,425 42,042 162,258 82,689 1 The 2021 allocations for Amendment 80 species between Amendment 80 cooperatives and the Amendment 80 limited access sector will not be known until eligible participants apply for participation in the program by November 1, 2020.
Classification Dated: September 15, 2020. SUMMARY: NMFS is prohibiting directed Jennifer M. Wallace, fishing for Pacific ocean perch in the NMFS issues this action pursuant to Acting Director, Office of Sustainable Western Regulatory Area of the Gulf of section 305(d) of the Magnuson-Stevens Fisheries, National Marine Fisheries Service. Alaska (GOA). This action is necessary Act. This action is required by 50 CFR [FR Doc. 2020–20654 Filed 9–17–20; 4:15 pm] to prevent exceeding the 2020 total part 679, which was issued pursuant to BILLING CODE 3510–22–P allowable catch of Pacific ocean perch section 304(b), and is exempt from in the Western Regulatory Area of the review under Executive Order 12866. GOA. Pursuant to 5 U.S.C. 553(b)(B), there DEPARTMENT OF COMMERCE DATES: Effective 1200 hours, Alaska is good cause to waive prior notice and National Oceanic and Atmospheric local time (A.l.t.), September 16, 2020, an opportunity for public comment on Administration through 2400 hours, A.l.t., December 31, this action, as notice and comment 2020. would be impracticable and contrary to 50 CFR Part 679 the public interest, as it would prevent FOR FURTHER INFORMATION CONTACT: NMFS from responding to the most Steve Whitney, 907–586–7228. recent fisheries data in a timely fashion [Docket No. 200221–0062; RTID 0648– XA352] SUPPLEMENTARY INFORMATION: NMFS and would delay the flatfish exchange manages the groundfish fishery in the by the Coastal Villages Regional Fund in Fisheries of the Exclusive Economic GOA exclusive economic zone the BSAI. NMFS was unable to publish Zone Off Alaska; Pacific Ocean Perch according to the Fishery Management a notice providing time for public in the Western Regulatory Area of the Plan for Groundfish of the Gulf of comment because the most recent, Gulf of Alaska Alaska (FMP) prepared by the North relevant data only became available as Pacific Fishery Management Council of September 4, 2020. AGENCY: National Marine Fisheries under authority of the Magnuson- Authority: 16 U.S.C. 1801 et seq. Service (NMFS), National Oceanic and Stevens Fishery Conservation and Atmospheric Administration (NOAA), Management Act. Regulations governing Commerce. fishing by U.S. vessels in accordance with the FMP appear at subpart H of 50 ACTION: Temporary rule; closure. CFR part 600 and 50 CFR part 679.
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The 2020 total allowable catch (TAC) Dated: September 16, 2020. metric tons (mt) as established by the of Pacific ocean perch in the Western Jennifer M. Wallace, final 2020 and 2021 harvest Regulatory Area of the GOA is 1,437 Acting Director, Office of Sustainable specifications for groundfish of the (85 metric tons (mt) as established by the Fisheries, National Marine Fisheries Service. FR 13802, March 10, 2020). final 2020 and 2021 harvest [FR Doc. 2020–20772 Filed 9–16–20; 4:15 pm] In accordance with § 679.20(d)(1)(i), specifications for groundfish of the (85 BILLING CODE 3510–22–P the Administrator, Alaska Region, FR 13802, March 10, 2020). NMFS (Regional Administrator), has determined that the 2020 TAC of In accordance with § 679.20(d)(1)(i), DEPARTMENT OF COMMERCE northern rockfish in the Western the Administrator, Alaska Region, Regulatory Area of the GOA will soon NMFS (Regional Administrator), has National Oceanic and Atmospheric be reached. Therefore, the Regional determined that the 2020 TAC of Pacific Administration Administrator is establishing a directed ocean perch in the Western Regulatory fishing allowance of 1,000 mt, and is Area of the GOA will soon be reached. 50 CFR Part 679 setting aside the remaining 133 mt as Therefore, the Regional Administrator is [Docket No. 200221–0062] bycatch to support other anticipated establishing a directed fishing groundfish fisheries. In accordance with allowance of 1,329 mt, and is setting RTID 0648–XA362 § 679.20(d)(1)(iii), the Regional aside the remaining 108 mt as bycatch Administrator finds that this directed Fisheries of the Exclusive Economic to support other anticipated groundfish fishing allowance has been reached. Zone Off Alaska; Northern Rockfish in fisheries. In accordance with Consequently, NMFS is prohibiting the Western Regulatory Area of the § 679.20(d)(1)(iii), the Regional directed fishing for northern rockfish in Gulf of Alaska Administrator finds that this directed the Western Regulatory Area of the fishing allowance has been reached. AGENCY: National Marine Fisheries GOA. Consequently, NMFS is prohibiting Service (NMFS), National Oceanic and While this closure is in effect the directed fishing for Pacific ocean perch Atmospheric Administration (NOAA), maximum retainable amounts at in the Western Regulatory Area of the Commerce. § 679.20(e) and (f) apply at any time GOA. ACTION: Temporary rule; closure. during a trip. While this closure is in effect the Classification SUMMARY: NMFS is prohibiting directed maximum retainable amounts at fishing for northern rockfish in the NMFS issues this action pursuant to § 679.20(e) and (f) apply at any time Western Regulatory Area of the Gulf of section 305(d) of the Magnuson-Stevens during a trip. Alaska (GOA). This action is necessary Act. This action is required by 50 CFR Classification to prevent exceeding the 2020 total part 679, which was issued pursuant to allowable catch of northern rockfish in section 304(b), and is exempt from NMFS issues this action pursuant to the Western Regulatory Area of the review under Executive Order 12866. section 305(d) of the Magnuson-Stevens GOA. Pursuant to 5 U.S.C. 553(b)(B), there is good cause to waive prior notice and Act. This action is required by 50 CFR DATES: Effective 1200 hours, Alaska an opportunity for public comment on part 679, which was issued pursuant to local time (A.l.t.), September 16, 2020, this action, as notice and comment section 304(b), and is exempt from through 2400 hours, A.l.t., December 31, would be impracticable and contrary to review under Executive Order 12866. 2020. the public interest, as it would prevent Pursuant to 5 U.S.C. 553(b)(B), there FOR FURTHER INFORMATION CONTACT: NMFS from responding to the most is good cause to waive prior notice and Steve Whitney, 907–586–7228. recent fisheries data in a timely fashion an opportunity for public comment on SUPPLEMENTARY INFORMATION: NMFS and would delay the closure of directed this action, as notice and comment manages the groundfish fishery in the fishing of northern rockfish in the would be impracticable and contrary to GOA exclusive economic zone Western Regulatory Area of the GOA. the public interest, as it would prevent according to the Fishery Management NMFS was unable to publish a notice NMFS from responding to the most Plan for Groundfish of the Gulf of providing time for public comment recent fisheries data in a timely fashion Alaska (FMP) prepared by the North because the most recent, relevant data and would delay the closure of directed Pacific Fishery Management Council only became available as of September fishing of Pacific ocean perch in the under authority of the Magnuson- 15, 2020. Western Regulatory Area of the GOA. Stevens Fishery Conservation and Authority: 16 U.S.C. 1801 et seq. NMFS was unable to publish a notice Management Act. Regulations governing providing time for public comment fishing by U.S. vessels in accordance Dated: September 16, 2020. because the most recent, relevant data with the FMP appear at subpart H of 50 Jennifer M. Wallace, only became available as of September CFR part 600 and 50 CFR part 679. Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. 15, 2020. The 2020 total allowable catch (TAC) of northern rockfish in the Western [FR Doc. 2020–20785 Filed 9–16–20; 4:15 pm] Authority: 16 U.S.C. 1801 et seq. Regulatory Area of the GOA is 1,133 BILLING CODE 3510–22–P
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Proposed Rules Federal Register Vol. 85, No. 183
Monday, September 21, 2020
This section of the FEDERAL REGISTER FOR FURTHER INFORMATION CONTACT: authority cannot be delegated. On July contains notices to the public of the proposed Roseanna Ciarlante by telephone at 10, 2018, the President signed Executive issuance of rules and regulations. The (267) 392–8640 or Katika Floyd by Order (E.O.) 13843 titled, ‘‘Excepting purpose of these notices is to give interested telephone at (202) 606–0960; by email at Administrative Law Judges from the persons an opportunity to participate in the [email protected]; by fax at (202) 606– Competitive Service’’ (83 FR 32755). rule making prior to the adoption of the final rules. 4430; or by TTY at (202) 418–3134. E.O. 13843 states ‘‘that conditions of SUPPLEMENTARY INFORMATION: good administration make necessary an exception to the competitive hiring Background and Authority for this rules and examinations for the position OFFICE OF PERSONNEL Rulemaking MANAGEMENT of ALJ. These conditions include the ALJs serve as independent impartial need to provide agency heads with 5 CFR Parts 212, 213, 302, and 930 triers of fact in formal proceedings additional flexibility to assess requiring a decision on the record after prospective appointees without the RIN 3206–AN72 the opportunity for a hearing. In general, limitations imposed by competitive ALJs prepare for and preside at formal examination and competitive service Administrative Law Judges proceedings required by statute to be selection procedures.’’ Section 2 of the held under or in accordance with Executive Order specifies that all AGENCY: Office of Personnel provisions of the Administrative appointments of administrative law Management. Procedure Act (APA), codified, in judges made on or after July 10, 2018 ACTION: Proposed rule with request for relevant part, in sections 553 through must be made under Schedule E of the comments. 559 of title 5, United States Code excepted service.2 Section 3(a) of the (U.S.C.). ALJs rule on preliminary Executive Order amended Civil Service SUMMARY: The Office of Personnel motions, conduct pre-hearing Rule VI to shift new hiring of ALJs from Management (OPM) is issuing proposed conferences, issue subpoenas, conduct the competitive to the excepted service. regulations governing the appointment hearings (which may include written Section 3(b) of the Executive Order and employment of administrative law and/or oral testimony and cross- directed OPM to issue transitional judges (ALJs). The proposed rule will examination), review briefs, and prepare guidance, and OPM issued explanatory implement Executive Order (E.O.) 13843 and issue decisions, along with written guidance on the E.O. on July 10, 2018. titled ‘‘Excepting Administrative Law findings of fact and conclusions of law. See OPM Memorandum to Heads of Judges from the Competitive Service.’’ The Federal Government employs Departments and Agencies, Executive These proposed revisions update the ALJs in a number of agencies Order—Excepting Administrative Law rules for ALJ hiring in light of the new throughout the United States. Judges from the Competitive Service, Schedule E of the excepted service for Previously, appointments to the available at https://chcoc.gov/ ALJs and update the existing ALJ position of ALJ have been made through transmittals. OPM later issued more employment regulations to reflect other competitive examination and specific guidance to agencies on the ALJ recent changes in the law. competitive service selection loan program (August 1, 2018), on DATES: Comments must be received on procedures.1 As recognized by the promotions and reassignments of ALJs or before November 20, 2020. Supreme Court in Lucia v. Securities (August 27, 2018), and on the termination of the ALJ register and ADDRESSES: You may submit comments, and Exchange Commission, 138 S. Ct. discontinuance of the ALJ examination identified by document number and/or 2044 (2018) at least some ALJs are (Sept. 20, 2018). OPM published a Fact Regulation Identification Number (RIN) ‘‘inferior Officers’’ of the United States Sheet: Administrative Law Judge (ALJ) ‘‘3206–AN72’’ and title using any of the and thus subject to the Constitution’s Positions on August 19, 2019, available following methods: Appointments Clause, which governs at https://www.opm.gov/services-for- Federal Rulemaking Portal: http:// who may appoint such officials. In agencies/administrative-law-judges/ www.regulations.gov. Follow the accordance with the Constitution, in fact-sheet-administrative-law-judge-alj- instructions for submitting comments. such instances, Congress has vested the positions-posted.pdf. All submissions received through the appointment of ALJs in the heads of departments or agencies. Although such Section 3(b) of the Executive Order Portal must include the agency name also directed OPM to ‘‘adopt such and docket number or RIN for this department or agency head may rely on agency human resource officials or other regulations as the Director determines rulemaking. may be necessary to implement this Instructions: All submissions received staff to assess applications, conduct interviews, and the like, the final order, including, as appropriate, must include the agency name and amendments to or rescissions of docket number or Regulatory appointment must be made or approved by the department or agency head; this regulations that are inconsistent with, or Information Number (RIN) for this that would impede the implementation rulemaking. All comments received will 1 In the competitive service, individuals must go of, this order, giving particular attention be posted without change to through a competitive process (i.e., competitive regulations.gov, including any personal examining) which is open to all applicants. This 2 Excepted service positions in the Executive information provided. process may consist of a written test, an evaluation Branch of the Federal Government are positions Docket: For access to the docket to of the individual’s education and experience, and/ that are specifically excepted from the competitive read background documents or or an evaluation of other attributes necessary for service by or pursuant to statute, by the President, successful performance in the position to be filled. or by the Office of Personnel Management, and are comments received, go to See e.g., 5 U.S.C. 2102 and 3304; 5 CFR 2.1(a) and not in the Senior Executive Service. See 5 U.S.C. regulations.gov. 300.102. 2103.
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to 5 CFR part 212, subpart D; 5 CFR part agency 3 and placed in an ALJ position Likewise, a former ALJ who held a 213, subparts A and C; 5 CFR 302.101; in the excepted service. Consistent with position in the competitive service prior and 5 CFR part 930, subpart B.’’ OPM Civil Service Rule VI, as amended by to separation cannot be reinstated to an is proposing rules for the newly created section 3(a) of the E.O., the proposed ALJ position in the competitive service, Schedule E hiring of ALJs. The rule creates a new Schedule E in the and must be given a new excepted proposed regulations make several excepted service specific to ALJs, except appointment. The proposed rule significant changes to the recruitment, that an individual encumbering an ALJ recognizes that transfer and appointment, and movement of ALJs position in the competitive service on reinstatement are no longer available for based on E.O. 13843 and formalize July 10, 2018, shall remain in the ALJ appointments because these actions OPM’s prior explanatory guidance. As competitive service while he or she are exclusively competitive service described in detail below, OPM is also remains in the position (and will appointment methods and accordingly, proposing other changes to comply with continue to be subject to the same are no longer available for ALJ other recent changes in the law. conditions pertaining to appointment in appointments. the competitive service). OPM is proposing these regulations Qualifications of ALJs in the Excepted pursuant to this instruction, the Civil Recruitment Service Service Rules, and OPM’s own statutory OPM’s current regulations do not Section 1 of the E.O. states that authority to regulate the ALJ program, address requirements for job excepting the position of ALJ from the which includes, inter alia, sections opportunity announcements for ALJs, competitive service ‘‘will give agencies 1103(a)(5)(A), 1305, 3323(b)(2), and because the requirements for job greater discretion to assess critical 5372(c) of title 5, U.S.C. opportunity announcements for qualities in ALJ candidates, such as competitive service positions generally work ethic, judgment, and ability to Summary of the Proposed Changes are set forth in 5 U.S.C. 3330 and in 5 meet the particular needs of the Removal of References to the CFR part 330, subpart A. OPM’s August agency,’’ and to conduct assessments Competitive Examination 17, 2019 transitional guidance explains ‘‘without proceeding through that although the excepted service has complicated and elaborate examination In light of the Executive Order, OPM no requirement to post a USAJOBS processes and rating procedures that do terminated the ALJ competitive service announcement or to follow the job not necessarily reflect the agency’s register, its centralized list of eligible posting requirements for competitive particular needs.’’ ALJ applicants, as the Executive Order service positions, the merit system Under the proposed rule, the heads of ended the need for competitive principles (5 U.S.C. 2301) apply to agencies, not OPM, are authorized to examination, rating and ranking, and excepted service recruiting. assess prospective appointees for ALJ selection from competitive certificates Accordingly, agencies should tell positions in their respective agencies of eligibles issued by OPM. Therefore, potential applicants about ALJ without consideration of the OPM proposes to remove references to vacancies, recruit in a manner to attract competitive hiring rules and the ALJ competitive examination a sufficient pool of qualified applicants, examination process. This provides throughout subpart B of 5 CFR part 930. and recruit in a manner that allows all agency heads with greater flexibility to In particular, the text of the current qualified and eligible employees to assess critical qualities in ALJ regulations recites that ALJs are apply for higher-level positions. applicants and determine whether an appointed in the competitive service OPM proposes to codify this guidance ALJ applicant meets the particular and that OPM is responsible for in the regulations. We note that this is needs of the hiring agency. examining ALJ candidates and consistent with E.O. 11478 of August 8, Appointments of ALJs are made producing registers of qualified ALJ 1969, as amended, Equal Opportunity in pursuant to Schedule E of the excepted applicants from which agencies make the Federal Government, 42 U.S.C. service, but are not subject to the selections in accordance with the 2000e note and similar to provisions of OPM’s regulations in 5 provisions of subpart B of 5 CFR part Administrative Conference CFR part 302 governing appointments in 930. The proposed rule aligns the text Recommendation 2019–2, Agency the excepted service, including of OPM’s regulations to the changes the Recruitment and Selection of examination and rating requirements. President effected through E.O. 13843. Administrative Law Judges (para. 1), 84 However, an agency head must apply The proposed rule changes reflect that FR 38927, 38930–31 (Aug. 8, 2019). the principle of veterans’ preference ‘‘as far as administratively feasible’’ when OPM will no longer conduct Movement Between Agencies or recruitment and competitive filling ALJ positions. Appointment After a Period of Civil Service Rule VI, as amended by examinations of ALJ candidates for Separation section 3(a) of the E.O., adopts, as a employment in Federal agencies, and ‘‘minimum standard of appointment to that agencies will no longer select ALJ OPM is proposing through this rule the position of administrative law candidates from competitive certificates that an ALJ serving in the competitive judge,’’ the bar licensure requirement of eligibles issued by OPM. service who accepts a new ALJ appointment at another agency on or that OPM previously prescribed through Excepted Appointments of ALJs after July 10, 2018, moves from the regulation in 5 CFR 930.204(b), and competitive service to an ALJ position permits ‘‘additional agency As noted above, the proposed rule under Schedule E of the excepted requirements’’ for qualifications ‘‘where removes references to appointments in service, instead of transferring to appropriate.’’ This means the minimum the competitive service. Instead, the another competitive service position. qualification and licensure requirement proposed rule, conforming to E.O. for an ALJ position is the possession of 13843, recites that any ALJ selected 3 Generally, under Free Enter. Fund v. PCAOB, a professional license to practice law (with the application of veterans’ 561 U.S. 477, 512–13 (2010), the ‘‘agency head’’ of and being authorized to practice law preference as far as administratively a multi-member board, commission, or authority is the full body acting collectively, not its chair or a under the laws of a State, the District of feasible) on or after July 10, 2018, must single member. Agencies with questions should Columbia, the Commonwealth of Puerto be appointed by the head of the hiring seek the advice of the Department of Justice. Rico, or any territorial court established
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under the United States Constitution at different kind of work (e.g., a change service appointments ‘‘subject to the the time of selection and any new from presiding over ex parte cases to suitability and fitness requirements of appointment (other than of an presiding over trials, or from the applicable Civil Service Rules and incumbent ALJ to another ALJ position). adjudicating benefits cases to Regulations,’’ namely, Civil Service Judicial status is acceptable in lieu of adjudicating regulatory enforcement Rules II and V. (E.O. 13843 ‘‘active’’ status in States that prohibit cases), the agency’s request for OPM to subsequently acknowledged that this sitting judges from maintaining ‘‘active’’ approve the action must document that requirement applies to ‘‘the position of status to practice law, and being in the head of the requesting agency administrative law judge.’’) Finally, E.O. ‘‘good standing’’ also is acceptable in approved the promotion or 13764 amended an earlier executive lieu of ‘‘active’’ status in States where reassignment. OPM’s transitional order, E.O. 13467 of June 30, 2008, to the licensing authority considers ‘‘good guidance further instructed that this give the Director of National standing’’ as having a current license to documentation is not necessary for Intelligence, as the Security Executive practice law. routine geographic reassignments, or for Agent, the authority to prescribe The proposed rule therefore continues the advancement of an ALJ’s rate within investigative, adjudicative, and only the existing bar licensure pay level AL–3. This documentation continuous vetting requirements for requirement as the minimum standard requirement also does not require a eligibility for access to classified for appointment and explains that change in the ALJ’s status from the information and for employment in a agency heads may prescribe additional competitive service to the excepted sensitive position; and to give the requirements as appropriate. service. The proposed rule formalizes Director of OPM, as the Suitability and these instructions. Effect of a Promotion or Reassignment Credentialing Executive Agent, the E.O. 13843 provides that Pay and Position Classification authority to do the same for suitability, ‘‘[a]ppointments of ALJs shall be made ALJ pay administration and position fitness, and eligibility for an identity under Schedule E of the excepted classification are governed by 5 U.S.C. credential. The Executive Order assigns service,’’ but that ‘‘[i]ncumbents of this 5372, which assigns responsibility to this responsibility to ODNI and OPM for position who are, on July 10, 2018, in OPM and makes no distinction between both competitive and excepted service the competitive service shall remain in competitive service and excepted positions, including, inter alia, ALJ the competitive service as long as they service ALJs. The proposed rule, positions. The proposed rule remain in their current positions.’’ therefore, makes no distinction between incorporates these changes. Thus, as long as an ALJ in the competitive and excepted service ALJs OPM’s current regulations state that a competitive service on July 10, 2018, with respect to OPM’s pay removal or other action against an ALJ remains in the position of ALJ, and does administration and position on grounds of suitability under part 731 not require a new appointment, he or classification responsibility. is not subject to the statutory removal she remains in the competitive service. Adverse Actions and Personnel Vetting procedure in 5 U.S.C. 7521. OPM is Under generally-applicable regulations, eliminating this provision. In Archuleta the internal reassignment or promotion Requirements v. Hopper, 786 F.3d 1340 (Fed. Cir. of an officer or employee by his or her Adverse actions against ALJs are 2015), the Court of Appeals for the agency involves only a position change, governed by 5 U.S.C. 7521, subject to Federal Circuit ruled that, where an and does not involve a new regulations issued by the Merit Systems employee is covered by the statutory appointment under civil service law. 5 Protection Board (MSPB) under 5 U.S.C. removal procedure in 5 U.S.C. chapter CFR 210.102; see also 5 CFR 335.101. 1305. These provisions likewise make This rule also applies to ALJs as well as no distinction between competitive 75, subchapter II, that procedure employees in other pay systems. See 70 service and excepted service ALJs. governs his or her removal even if it is FR 75745, 75746 (Dec. 21, 2005). Therefore, under the proposed rule, the on grounds of suitability under the Civil Therefore, under the proposed rule, and MSPB procedures prescribed in 5 U.S.C. Service Rules and OPM’s regulations in consistent with OPM’s transitional 7521 and 5 CFR part 1201 will apply to 5 CFR part 731, because (at the time of guidance, an ALJ reassigned or an agency action to remove, suspend, the court’s decision) the definition of an promoted within his or her agency reduce in level, reduce pay, or furlough ‘‘adverse action’’ in 5 U.S.C. 7512 did remains in the competitive service, as for 30 days or less an ALJ in the not explicitly exclude a suitability long as he or she remains an ALJ. In this competitive or excepted service (i.e., action. Subsequently, in section 1086 of circumstance, an agency must process adverse action). Public Law 114–92, the National and record the personnel action as a The current regulations provide that Defense Authorization Act for FY 2016, reassignment or promotion in the appointment as an ALJ is subject to the Congress amended 5 U.S.C. 7512 to competitive service, not as an competitive service suitability explicitly exclude an OPM suitability appointment in the excepted service. requirements in 5 CFR part 731. OPM is action from the definition of an adverse However, because some ALJs were amending these requirements due to action in 5 U.S.C. 7512. Accordingly, deemed to have constitutional status as changes in the law since the provisions suitability-based removals of employees inferior officers of the United States were last amended in 2007. First, E.O. who are covered by subchapter II are not under the Supreme Court’s decision in 13764 of January 23, 2017 amended subject to the statutory adverse action Lucia v. Securities and Exchange Civil Service Rules II and V, authorizing procedures. However, Congress did not Commission, OPM’s transitional OPM to prescribe minimum standards make a corresponding amendment to 5 guidance instructed agencies that where of fitness of character and conduct for U.S.C. 7521, defining an ‘‘adverse a promotion or reassignment would excepted service appointments, and to action’’ for purposes of 5 U.S.C. chapter involve a significant position change, require such appointments to be subject 75, subchapter III, which covers ALJs. such as a promotion to a position to a risk-based position designation and Thus, while an ALJ may be subject to an classified at a higher level (AL–1 or AL– a corresponding background unfavorable suitability determination, 2), a reassignment to a different bureau investigation under OPM-prescribed the removal action should follow the within the same department, or a standards. E.O. 13764 also amended statutory procedure. The proposed rule reassignment to perform a significantly Civil Service Rule VI to make excepted retains references to other exceptions to
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5 U.S.C. 7521 that have been prescribed coordinates the loan/detail of an service positions. The existing rule, by statute. administrative law judge from one which references part 351, makes clear OPM’s current regulation describes agency to another. Section 3344 makes that competitive service ALJs are subject the use of administrative leave when an no distinction between competitive to the provisions of 5 CFR part 351 that adverse action is pending. The service and excepted service ALJs. The apply to competitive service employees Administrative Leave Act of 2016, proposed rule, like OPM’s transitional and that excepted service ALJs are section 1138 of Public Law 114–328, guidance, makes clear OPM continues subject to the provisions of 5 CFR part established new types of paid non-duty its responsibilities under this Program 351 that apply to excepted service status in 5 U.S.C. 6389a and 6389b, whether ALJs are in the competitive or employees. namely, notice leave and investigative excepted service. However, because The proposed amendment establishes leave. OPM proposes to update the some ALJs were deemed to have procedures for placement assistance for regulation to reflect this change. OPM constitutional status as inferior officers ALJs reached in an agency’s reduction has proposed separate rulemaking to of the United States under the Supreme in force for those in both the implement the Administrative Leave Court’s decision in Lucia, OPM’s competitive and excepted service. Act, at 82 FR 32263 (July 13, 2017). transitional guidance instructed Under the proposed changes, an agency Performance Ratings, Awards, and agencies that, upon accepting the is required to establish an Incentives services of a loaned ALJ, the receiving administrative law judge priority agency must provide to OPM, as soon as reemployment list and provide The regulations in 5 CFR 930.206 practicable, documentation that the consideration to ALJs on its currently provide that an agency may head of that agency made, approved, or administrative law judge priority not rate the job performance of an ALJ ratified the loan of the ALJ. Likewise, reemployment list before it may and may not grant any monetary or the agency lending the ALJ must consider candidates on its regular honorary award or incentive under 5 provide OPM with documentation that employment lists, with certain U.S.C. 4502, 4503, 4504, or any other the ALJ’s appointment was originally exceptions. authority, to an ALJ. Sections 1305 and made or approved, or later ratified, by 4305 of title 5, U.S.C. give OPM the the head of that agency. This Summary of Proposed Changes by responsibility to regulate the statutory documentation requirement does not Section prohibition on appraising the require a change in the ALJ’s status from Changes Proposed for 5 CFR Part 212 performance of ALJs—found in 5 U.S.C. the competitive service to the excepted 4301(2)(D)—without regard to whether service. The proposed rule formalizes We propose to amend the authority ALJs are in the competitive service or these instructions. citation to add a reference to E.O. 13843. the excepted service. Accordingly, OPM is retaining the existing reference under the proposed rule, the prohibition Senior ALJ Program to E.O. 10577, but adding a against rating the job performance of an The Senior ALJ Program allows corresponding reference to 5 CFR part 6. ALJ remains in effect for ALJs in the retired ALJs to be reemployed on a From 1954 until the early 1980s, the competitive and excepted service. temporary or irregular basis to complete organic Civil Service Rules were set OPM proposes revisions to this hearings of one or more specified forth in E.O. 10577 and amended from section, however, to clarify the case(s). Upon appointment, and while time to time by the President. However, incentives and similar payments for reemployed, the retired ALJ is referred in recent decades, the practice has been which an ALJ, whether in the to as a Senior ALJ. The proposed rule for the President to amend the Civil competitive or excepted service, is clarifies that an agency that temporarily Service Rules and, at the same time, ineligible. Specifically, the proposed reemploys a retired ALJ must use the directly amend a corresponding part in rule clarifies that an ALJ is not eligible newly created Schedule E excepted chapter I, subchapter A of title 5, Code for recruitment, relocation, or retention service appointment. It also clarifies of Federal Regulations without also incentives under 5 U.S.C. 5753 and that Senior ALJs appointed prior to July further amending E.O. 10577. Since the 5754 because the regulations in 5 CFR 10, 2018 remain in the competitive Civil Service Rules are the product of part 575, subparts A, B, and C, require service for the duration of their both of these methods of presidential an eligible employee to have or appointment, including any extension rulemaking, both E.O. 10577 and the maintain a rating of record of at least periods authorized by OPM. OPM corresponding part in 5 CFR chapter I, ‘‘Fully Successful’’ or equivalent to approval procedures have not otherwise subchapter A should be cited as receive an incentive. Similarly, the changed with respect to reemploying authority for OPM’s regulation. proposed rule further establishes that retired ALJs, since the statute governing Proposed § 212.401(b) adds the newly ALJs are not eligible for the student loan the Senior ALJ Program, 5 U.S.C. established Schedule E in the excepted repayment program because, under 5 3323(b)(2), assigns program service to the list of Schedules already U.S.C. 5379(d)(2) and 5 CFR responsibility to OPM and makes no in the rule. This provides that an 537.108(a)(2), an employee must distinction between competitive service employee in the competitive service at maintain an acceptable level of and excepted service senior ALJs after the time his or her position is first listed performance to receive student loan they have been appointed. in schedule A, B, C, or E remains in the repayment benefits. An ALJ cannot meet competitive service while occupying the Reduction in Force. the requirements for these incentives position. The proposed rule amends the ALJ and payments because an agency may Changes Proposed for 5 CFR Part 213 not rate the job performance of an ALJ reduction in force (RIF) regulations in either the competitive or excepted currently described at 5 CFR 930.210. The authority citation is revised to service. When implementing a reduction in include E.O. 13843 and 5 CFR part 6, force, the provisions in this section are and to correct the citation to E.O. 13562. ALJ Loan Program a supplement to the RIF provisions in 5 Subpart A of 5 CFR part 213 General In accordance with 5 U.S.C. 3344, CFR part 351 that have separate provisions is revised to include the OPM administers an Administrative provisions for the treatment of Schedule E authority in § 213.102, and Law Judge Loan Program that competitive service and excepted to clarify that appointments to Schedule
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E must be made on a permanent basis after July 9, 2018. Paragraph (e) funding method and plans to amend in accordance with part 930. establishes OPM’s authority with this section after careful consideration Subpart C of 5 CFR part 213 Excepted respect to the ALJ program. This of the feasibility of a new funding schedules is revised by establishing paragraph is revised to delete references method and consideration of public Schedule E as a new schedule in part to OPM’s authority to recruit and comments. 213. Proposed § 213.3501 is labeled examine ALJ applicants, to approve In § 930.204 Appointments and ‘‘Positions of administrative law judge transfers and reinstatements to conditions of employment, paragraph (a) appointed under 5 U.S.C. 3105.’’ This competitive service positions, and to is revised to make clear that ALJs are proposed section explains the reasoning maintain a central priority appointed on a permanent full-time and basis for appointments under reemployment list, and to clarify that basis, with the exception of Schedule E and requires that all OPM’s authority to classify positions appointments to the Senior ALJ appointments of ALJs on or after July under 5 U.S.C. 5372 includes the Program, and to address requirements 10, 2018 must be made under this authority to approve classifications. for excepted service appointments. excepted service authority in We propose to change the text in Paragraph (a)(1) includes information on accordance with the provisions in paragraphs (e) and (f), stating that OPM ALJ appointments under Schedule E, subpart B of 5 CFR part 930. has ‘‘the authority to . . . [e]nsure the and paragraph (a)(2) clarifies that ALJs independence of the administrative law Changes Proposed for 5 CFR Part 302 appointed prior to July 10, 2018, remain judge’’ and that the employing agency in the competitive service under the The authority citation is revised to has ‘‘[t]he responsibility to ensure the conditions described in § 930.201(c). include references to 5 U.S.C. 3317, independence of the administrative law Information about hiring from 3318, and 3320 (in accordance with judge.’’ The revised text states that OPM competitive certificates is removed. recent case law arising in a different has the authority, and the agency has Section 930.204(b), Licensure, context, see 81 FR 86290, 86291 (Nov. the responsibility, to ‘‘[e]nsure the continues the existing licensure 30, 2016)), and to E.O. 13843 and 5 CFR qualified independence of the requirement for competitive service ALJ part 6. administrative law judge, and to appointments, which E.O. 13843 has We propose to add ALJs to the list of faithfully administer the structural now extended to excepted service as the positions in § 302.101(c) that are exempt protections designed to ensure the minimum standard for ALJ from the appointment procedures of 5 impartiality of the administrative law appointments. New § 930.204(c) sets CFR part 302, and for which agencies judge.’’ This is a clarifying change forth the qualification requirements for shall apply the principle of veterans’ because the current reference to competitive service and excepted preference as far as administratively ‘‘ensuring the independence of the service ALJs. Paragraph (c)(1) addresses feasible. administrative law judge’’ encompasses the qualifications for competitive two concepts: qualified decisional Changes Proposed for 5 CFR Part 930 service ALJs. OPM is retaining this independence, and the statutory, information, even though E.O. 13843 The proposed rule makes extensive structural protections designed to changes to 5 CFR part 930. ensure judges’ impartiality by limiting does not permit new competitive service The proposed rule revises the agency control in matters of position appointments, because it may be authority citation for subpart B of part classification, pay, performance relevant to reconstructing past 930 by adding references to E.O. 13843 management, case assignment, and selections. Paragraph (c)(2) addresses and 5 CFR parts 2, 5, and 6, as well as tenure. See, e.g., Ramspeck v. Fed. Trial the agency-specific requirements to 5 U.S.C. 1103(a)(5)(A) (OPM’s general Examiners Conf., 345 U.S. 128 (1953). permitted by E.O. 13843 for excepted substantive rulemaking authority) and 5 We propose removing and reserving appointments. Existing provisions are U.S.C. 4305 (which, together with 5 § 930.203 Cost of competitive renumbered accordingly. U.S.C. 1305, authorizes OPM to regulate examination, since OPM no longer Current § 930.204(g), Reinstatement, the exception from performance conducts the examination. Under the is proposed to be redesignated and appraisals for ALJs). current regulation each agency is recaptioned as § 930.204(j) Appointment The proposed rule deletes, from the charged a pro rata share of the of a former administrative law judge. authority citation, references to 5 U.S.C. examination cost, based on the actual The proposed revisions to paragraph (j) 1104(a) (pertaining to the ALJ number of administrative law judges the make clear that any reappointments of examination) and 1302(a) (pertaining to agency employs; and under OPM’s ALJs must be made under Schedule E of competitive examinations). Revolving Fund statute each agency is part 213 in the excepted service. Current Proposed § 930.201 is revised also charged a corresponding share for § 930.204(h)—Transfer, is proposed to throughout to add references to the program administration costs (e.g., for be redesignated as § 930.204(k) and excepted service. Paragraph (b) is administering the ALJ Loan and Senior recaptioned as Movement between revised to make clear that, as of July 10, ALJ programs, review of position agencies. The proposed revisions to 2018, appointments of ALJs must be descriptions and job opportunity paragraph (k) make clear that any made under Schedule E of the excepted announcements, approval of movements of ALJs between agencies service in § 213.3501. Paragraph (c) noncompetitive actions, and FOIA/ must be made to positions under makes clear that ALJs appointed prior to Privacy Act activity). While this funding Schedule E of part 213 in the excepted July 10, 2018, remain in the competitive method for program administration service in the gaining agency. The service as long as they remain in their must continue for the time being as a proposed revisions to this paragraph positions, including when they are matter of appropriations law, the end of also require that the hiring agency subject to actions within their agencies the examination has prompted OPM to inform an ALJ that such a move will that do not result in a new appointment rethink its funding method for the place him or her in the excepted service, (including details, assignments, program. OPM is considering requesting and requires the gaining agency to reassignments, pay adjustments, and the use of appropriated funds, instead of obtain a written statement from the ALJ promotions). The proposed rule also agency payments under the Revolving that the ALJ understands he or she will states that no new appointments of ALJs Fund, to fund its program costs. OPM be leaving the competitive service for an may be made to the competitive service seeks comment on the appropriate appointment in the excepted service.
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Proposed § 930.204(g), Promotion to a of 120 days in a 12-month period, required to establish a priority higher level, is currently § 930.204(e). require OPM approval regardless of reemployment list and provide The text is amended to address whether the ALJs are in the competitive consideration to ALJs on its priority promotions of excepted-service ALJs, or excepted service. reemployment list before it may including application of agency policies The proposed rule modifies § 930.208, consider candidates on its regular and the need to document agency head Administrative law judge loan program- employment lists, with certain approval in a request to OPM; and to detail to other agencies, to make clear exceptions. This will replace the current ensure that incumbent ALJs have an that OPM administers the ALJ loan procedure under which OPM maintains opportunity to be considered for program for loans/details of an ALJ in a central, government-wide priority promotion to higher-level positions both the competitive and excepted referral list. The agency-specific when the agency considers external services. The proposed rule also adds approach we are proposing is more in applicants. two new paragraphs to § 930.208. New keeping with the excepted hiring model Reclassification of ALJs is addressed paragraph (e) requires the loaning established by E.O. 13843. There are in proposed § 930.204(h). agency to furnish OPM with currently no names on the OPM list, so Reassignment of ALJs, currently documentation stating that the loaned no individuals will be adversely addressed in § 930.204(f), is addressed ALJ’s appointment was originally made, affected by this change. in proposed § 930.204(j). The text is approved, or later ratified by the head These new placement procedures will amended to explain the circumstances of the agency. New paragraph (f) apply to ALJs in positions in both the when an agency’s request to OPM for similarly requires the receiving agency competitive and the excepted service. approval of the reassignment must of a loaned ALJ to provide However, the proposed rule also document that the head of the documentation to OPM, as soon as clarifies that displaced competitive requesting agency approved it. practicable, stating that the head of the service ALJs also will be eligible for Paragraph (l) is added to § 930.204 to agency made, approved, or ratified the consideration for non-ALJ competitive address recruitment and vacancy loan of the ALJ. service positions pursuant to 5 CFR part announcements. The proposed rule modifies several 330, subpart B. The proposed rule amends § 930.205, provisions in § 930.209, Senior Lastly, OPM proposes to amend Administrative law judge pay system, by Administrative Law Judge Program. The § 930.211, Actions against including a statement that makes clear proposed rule modifies paragraph (b)(2) administrative law judges. The this section applies to ALJ positions in by removing the current language and proposed rule amends paragraph (b)(4) both the competitive and excepted replacing it with a reference to the to reference the use of notice leave, services. The proposed rule modifies licensure, qualification, and vetting investigative leave, or administrative paragraph (b) by removing the reference requirements prescribed under leave under the Administrative Leave to ALJ positions ‘‘filled through a § 930.204(b) through (g). The proposed Act of 2016, and amends paragraph (c) competitive examination,’’ and rule amends paragraph (c) by adding the to remove a reference to actions taken replacing it with the words ‘‘at the entry phrase ‘‘under Schedule E of § 213.3501 under 5 CFR part 731. level.’’ The proposed rule amends of this chapter’’ to make clear that paragraph (f)(2)(i) by removing the reemployed ALJ annuitants are Regulatory Flexibility Act words ‘‘who is within reach for appointed to positions in the excepted I certify that this regulation will not appointment from an administrative law service. The proposed rule amends have a significant impact on a judge certificate of eligibles’’ and paragraph (d) to specify that an agency’s substantial number of small entities replacing them with ‘‘who meets the request to OPM for a senior ALJ must because it applies only to Federal minimum qualification and licensure document that the appointment will be agencies and employees. requirement in paragraph (b) and any made or approved by the head of the agency-specific requirements requesting agency. E.O. 13563 and E.O. 12866, Regulatory established under paragraph (c)(2).’’ The OPM is proposing to amend Review proposed rule amends paragraph § 930.210, Reduction in force. ALJs Executive Orders 13563 and 12866 (f)(2)(ii) by removing the words ‘‘who is serving in Schedule E appointments in direct agencies to assess all costs and eligible for reinstatement’’ and replacing the excepted service will be subject to benefits of available regulatory them with ‘‘who is eligible for the provisions of 5 CFR part 351 specific alternatives and, if regulation is appointment under Schedule E and to excepted service employees. ALJs in necessary, to select regulatory meets the minimum qualification and the competitive service remain subject approaches that maximize net benefits licensure requirement in paragraph (b) to the provisions of 5 CFR part 351 (including potential economic, and any agency-specific requirements specific to competitive service environmental, public health and safety established under paragraph (c)(2).’’ employees. Thus, the existing rule effects, distributive impacts, and The proposed rule modifies § 930.206, makes clear that for RIF purposes equity). Executive Order 13563 Performance rating and awards, by agencies use competitive service emphasizes the importance of inserting the words ‘‘in the competitive procedures for ALJs in the competitive quantifying both costs and benefits, of or excepted service.’’ Paragraph (b) is service and excepted service procedures reducing costs, of harmonizing rules, proposed to be modified by adding 5 for ALJs in the excepted service to and of promoting flexibility. This rule U.S.C. 4505, 4505a, 5379, 5753, and determine who will remain in their has been designated a ‘‘significant 5754 to the list of provisions under current positions. In either case, the rule regulatory action,’’ under Executive which ALJs may not be granted ‘‘any makes clear that an agency may not use Order 12866 and has been reviewed by monetary or honorary award, incentive, performance as a factor for purposes of OMB. or similar payment.’’ retention standing in subpart E of 5 CFR The proposed rule modifies § 930.207, part 351. Executive Order 13771, Reducing Details and assignments to other duties The proposed rule also requires Regulation and Controlling Regulatory within the same agency, to clarify that agencies to establish procedures for Costs details that will last more than 120 days, placement assistance for ALJs reached This proposed rule is not expected to and details exceeding more than a total in an agency’s RIF. Agencies are be subject to the requirements of E.O.
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13771 (82 FR 9339, February 3, 2017) PART 212—COMPETITIVE SERVICE appointments on a permanent basis, in because it is expected to impose no AND COMPETITIVE STATUS accordance with part 930. more than de minimis costs. * * * * * ■ 1. Revise the authority citation for part Unfunded Mandates Reform Act of ■ 5. Amend § 213.103 by revising the 212 to read as follows: 1995 heading and paragraph (a) to read as Authority: 5 U.S.C. 1302, 3301, 3302; E.O. follows: This rule will not result in the 10577, 3 CFR, 1954–1958 Comp., p. 218; E.O. expenditure by state, local, and tribal 13843, 83 FR 32755; 5 CFR part 6. § 213.103 Publication of excepted governments, in the aggregate, or by the appointing authorities in Schedules A, B, C, private sector, of $100 million or more Subpart D—Effect of Competitive D, and E. Status on Position in any year and it will not significantly (a) Schedule A, B, C, D, and E or uniquely affect small governments. ■ 2. Amend § 212.401 by revising appointing authorities available for use Therefore, no actions were deemed paragraph (b) to read as follows: by all agencies will be published as necessary under the provisions of the regulations in the Federal Register and Unfunded Mandates Reform Act of § 212.401 Effect of competitive status on the Code of Federal Regulations. the position. 1995. * * * * * E.O. 13132, Federalism * * * * * (b) An employee in the competitive Subpart C—Excepted Schedules This regulation will not have service at the time the employee’s substantial direct effects on the States, position is first listed under Schedule A, ■ 6. At the end of subpart C, add on the relationship between the B, C, or E remains in the competitive undesignated heading and § 213.3501 to National Government and the States, or service while the employee occupies read as follows: on distribution of power and that position. Schedule E responsibilities among the various levels of government. Therefore, in PART 213—EXCEPTED SERVICE § 213.3501 Positions of administrative law accordance with Executive Order 13132, judge appointed under 5 U.S.C. 3105. ■ 3. Revise the authority citation for part it is determined that this rule does not 213 to read as follows: Agency heads may make have sufficient federalism implications appointments under this section to to warrant preparation of a Federalism Authority: 5 U.S.C. 3161, 3301 and 3302; positions of administrative law judge Assessment. E.O. 10577, 3 CFR 1954–1958 Comp., p. 218; E.O. 13562, 3 CFR, 2010 Comp., p. 291; E.O. appointed under 5 U.S.C. 3105. E.O. 12988, Civil Justice Reform 13843, 83 FR 32755; 5 CFR part 6; Sec. Conditions of good administration 213.101 also issued under 5 U.S.C. 2103. Sec. warrant that the position of This regulation meets the applicable 213.3102 also issued under 5 U.S.C. 3301, administrative law judge be placed in standard set forth in section 3(a) and 3302, 3307, 8337(h), and 8456; E.O. 13318, 3 the excepted service. Positions filled (b)(2) of Executive Order 12988. CFR 1982 Comp., p. 185; 38 U.S.C. 4301 et under this authority are excepted from seq.; Pub. L. 105–339, 112 Stat 3182–83; E.O. the competitive service and constitute Congressional Review Act 13162; E.O. 12125, 3 CFR 1979 Comp., p. 16879; and E.O. 13124, 3 CFR 1999 Comp., Schedule E. All appointments of This action pertains to agency p. 31103; and Presidential Memorandum— administrative law judges made on or management, personnel, and Improving the Federal Recruitment and after July 10, 2018 must be made under organization and does not substantially Hiring Process (May 11, 2010). Schedule E in accordance with the affect the rights or obligations of provisions of subpart B of part 930 of nonagency parties and, accordingly, is Subpart A—General Provisions this chapter. not a ‘‘rule’’ as that term is used by the ■ Congressional Review Act (Subtitle E of 4. Amend § 213.102 by revising the PART 302—EMPLOYMENT IN THE the Small Business Regulatory heading and paragraph (b)(3)(i) to read EXCEPTED SERVICE Enforcement Fairness Act of 1996 as follows: ■ (SBREFA)). Therefore, the reporting § 213.102 Identification of Schedule A, B, 7. Revise the authority citation for part requirement of 5 U.S.C. 801 does not C, D, or E. 302 to read as follows: apply. * * * * * Authority: 5 U.S.C. 1302, 3301, 3302, 3317, (b) * * * 3318, 3320, 8151, E.O. 10577 (3 CFR 1954– Paperwork Reduction Act 1958 Comp., p. 218); E.O. 13843, 83 FR (3)(i) Upon determining that any 32755; 5 CFR part 6; § 302.105 also issued This rule does not impose any new position or group of positions, as reporting or record-keeping under 5 U.S.C. 1104, Pub. L. 95–454, sec. defined in § 302.101(c), should be 3(5); § 302.501 also issued under 5 U.S.C. requirements subject to the Paperwork excepted indefinitely or temporarily 7701 et seq. Reduction Act. from the competitive service, the Office List of Subjects in 5 CFR Part 212, 213, of Personnel Management will authorize Subpart A—General Provisions 302, and 930 placement of the position or group of positions into Schedule A, B, C, D, or ■ 8. Amend § 302.101 by adding Government employees. E, as applicable. Unless otherwise paragraph (c)(12) to read as follows: Office of Personnel Management. specified in a particular appointing § 302.101 Positions covered by Alexys Stanley, authority, an agency may make regulations. Regulatory Affairs Analyst. Schedule A, B, C, or, D appointments on * * * * * either a permanent or nonpermanent Accordingly, the Office of Personnel basis, with any appropriate work (c) * * * Management proposes to amend title 5, schedule (i.e., full-time, part-time, (12) Administrative law judge Code of Federal Regulations parts 212, seasonal, on-call, or intermittent). An positions filled through appointment 213, 302, and 930 as follows: agency must make Schedule E under 5 U.S.C. 3105 after July 9, 2018.
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PART 930—PROGRAMS FOR (2) Establish classification standards personnel actions described in SPECIFIC POSITIONS AND and approve classification of paragraphs (e)(3) through (7) of this EXAMINATIONS (MISCELLANEOUS) administrative law judge positions; section. (3) Approve noncompetitive Subpart B—Administrative Law Judge personnel actions for administrative law § 930.203 [Removed and Reserved] Program judges, including but not limited to ■ 11. Remove and reserve § 930.203: promotions, restorations, and ■ 12. Revise § 930.204 to read as ■ 9. Revise the authority citation for part reassignments; follows: 930, subpart B to read as follows: (4) Approve personnel actions related § 930.204 Appointments and conditions of Authority: 5 U.S.C. 1103(a)(5)(A), 1305, to pay for administrative law judges employment. 3105, 3301, 3304, 3323(b), 3344, 3502, under § 930.205(c), (f)(2), (g), and (j); 4301(2)(D), 4305, 5372, 7521; E.O. 10577, 3 (5) Approve an intra-agency detail, or (a) Appointment. Administrative law CFR, 1954–1958 Comp., p. 219; E.O. 13843, an assignment of an administrative law judges are appointed on a permanent 83 FR 32755; 5 CFR parts 2, 5, 6. judge to a non-administrative law judge full-time basis with the exception of position that lasts more than 120 days appointments to the Senior ■ 10. Revise § 930.201 to read as Administrative Law Judge Program follows: or when an administrative law judge cumulates a total of more than 120 days under § 930.209. § 930.201 Coverage. for more than one detail or assignment (1) Excepted service. (i) On and after within the preceding 12 months; July 10, 2018, an agency head may (a) This subpart applies to individuals appoint an individual to an appointed under 5 U.S.C. 3105 as (6) Arrange the temporary detail (loan) of an administrative law judge administrative law judge position made administrative law judges for under Schedule E in § 213.3501 of this proceedings required to be conducted in from one agency to another under the provisions of the administrative law chapter. accordance with 5 U.S.C. 556 and 557. (ii) An excepted service appointment This subpart applies to administrative judge loan program in § 930.208; (7) Arrange temporary reemployment as an administrative law judge is made law judge positions in both the of retired administrative law judges to in accordance with such regulations and competitive and excepted services meet changing agency workloads under practices as the head of the agency unless otherwise stated. the provisions of the Senior concerned finds necessary, provided (b) On or after July 10, 2018, Administrative Law Judge Program in that the appointee must meet the appointments of individuals to § 930.209; licensure, qualification, and vetting administrative law judge are made (8) Promulgate regulations for requirements described in paragraphs under Schedule E of the excepted purposes of sections 3105, 3344, (b) through (d) of this section. service in § 213.3501 of this chapter. 4301(2)(D) and 5372 of title 5, U.S.C.; (iii) An excepted service appointment (c) Individuals appointed to and as an administrative law judge is not administrative law judge positions prior (9) Ensure the qualified independence subject to a trial period. to July 10, 2018, remain in the of the administrative law judge, and to (2) Competitive service. (i) competitive service as long as they faithfully administer the structural Administrative law judges appointed remain in their positions, including protections designed to ensure the prior to July 10, 2018, are employees in when they are subject to actions within impartiality of the administrative law the competitive service and remain in their agencies that do not result in a judge. the competitive service under the new appointment (including details, (f) An agency employing conditions described in § 930.201(c). assignments, reassignments, pay administrative law judges under 5 (ii) An administrative law judge in the adjustments, and promotions under this U.S.C. 3105 has: competitive service who received a subchapter). No new appointments of (1) The authority to appoint as many career appointment is exempt from the administrative law judges to the administrative law judges as necessary probationary period requirements under competitive service may be made after for proceedings conducted under 5 part 315 of this chapter. July 9, 2018. Except as otherwise stated U.S.C. 556 and 557; (iii) A competitive service in this subpart, the rules and regulations (2) The authority to assign an appointment as an administrative law applicable to positions in the administrative law judge to cases in judge is subject to the licensure, competitive service apply to rotation so far as is practicable; qualification, and vetting requirements competitive service administrative law (3) The responsibility to confirm that described in paragraphs (b) through (d) judge positions. at the time of appointment of this section. administrative law judges meet the (iv) An administrative law judge (d) The title ‘‘administrative law minimum qualification and licensure serving in the competitive service who judge’’ is the official title for an requirement under § 930.204(b) and any is appointed by another agency as an administrative law judge position in agency-specific requirements identified administrative law judge on or after July both the competitive and excepted by the agency under § 930.204(c); 10, 2018, or who separates from service services. Each agency must use only this (4) The responsibility to establish and and is reappointed as an administrative title for personnel, budget, and fiscal maintain an ALJ priority referral law judge on or after July 10, 2018, shall purposes. program under § 930.210(c); be appointed in the excepted service. (e) OPM does not hire administrative (5) The responsibility to ensure the (b) Licensure requirements. At the law judges for other agencies, but has qualified independence of the time of appointment as an the authority to: administrative law judge, and to administrative law judge, the (1) Assure that decisions concerning faithfully administer the structural individual, other than an incumbent the appointment, pay, and tenure of protections designed to ensure the administrative law judge, must possess administrative law judges in the impartiality of the administrative law a professional license to practice law competitive and excepted services are judge; and and be authorized to practice law under consistent with applicable laws and (6) The responsibility to obtain OPM’s the laws of a State, the District of regulations; approval before taking any of the Columbia, the Commonwealth of Puerto
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Rico, or any territorial court established appoint an incumbent employee to an agency’s request for OPM to approve the under the United States Constitution. administrative law judge position under action under § 930.201(e)(3) must Judicial status is acceptable in lieu of Schedule E authority at § 213.3501 of document that the agency head ‘‘active’’ status in States that prohibit this chapter if: approved the reassignment. sitting judges from maintaining ‘‘active’’ (1) The employee is serving in the (j) Appointment of a former status to practice law. Being in ‘‘good position when it is classified as an administrative law judge. An agency standing’’ is also acceptable in lieu of administrative law judge position on the head may appoint a former ‘‘active’’ status in States where the basis of legislation, Executive Order, or administrative law judge under licensing authority considers ‘‘good a decision of a court; and excepted service Schedule E authority at standing’’ as having a current license to (2) The agency determines the § 213.3501 of this chapter who was practice law. employee meets the licensure originally appointed pursuant to 5 (c) Qualification requirements. (1) At requirement in paragraph (b) of this U.S.C. 3105 and who meets the the time of a competitive service section and any agency-specific licensure requirement in paragraph (b) appointment of an administrative law requirements established under of this section and any agency-specific judge, the individual must meet paragraph (c)(2) of this section. requirements established under qualification standards prescribed by (f) Appointment of an employee from paragraph (c)(2) of this section. OPM under Civil Service Rule II (as a non-administrative law judge position. (k) Movement between agencies. (1) codified in § 2.1 of this chapter). An agency head may appoint an An agency head may appoint under (2) At the time of an excepted service employee who is serving in a position excepted service Schedule E authority at appointment as an administrative law other than an administrative law judge § 213.3501 of this chapter an judge, the individual must meet position to an administrative law judge administrative law judge employed by additional requirements for position under Schedule E of the another agency, subject to the appointment, as appropriate, prescribed excepted service at § 213.3501 of this administrative law judge pay provisions by the appointing agency under Civil chapter if that employee meets the at § 930.205, who meets any agency- Service Rule VI (as codified in § 6.3 of licensure requirement in paragraph (b) specific requirements established under this chapter). Any such agency-specific of this section and any agency-specific paragraph (c)(2) of this section. requirements must be provided to requirements established under Incumbent administrative law judges potential applicants. paragraph (c)(2) of this section. are not subject to the licensure (d) Vetting requirements. (1) (g) Promotion to a higher level. (1) requirement in paragraph (b) of this Applicants and appointees for the Except as otherwise stated in this section when moving to another agency. position of administrative law judge, paragraph, 5 CFR part 335 applies in the (2) When an administrative law judge and incumbent administrative law promotion of administrative law judges serving in a competitive service position judges, are subject to the applicable in the competitive service. is selected for an excepted appointment personnel vetting standards and (2) An agency may promote an at another agency, the hiring agency guidelines prescribed for employment administrative law judge in the must: in the Executive branch, including for: excepted service according to the (i) Inform the employee that, because (i) Eligibility for access to classified agency’s excepted service policies on the position is in the excepted service, information or employment in a promotion, subject to the administrative it may not be filled by a competitive sensitive position, under Executive law judge pay provisions at § 930.205. service appointment, and that Orders 12968 and 13467, as amended, (3) An agency must give its acceptance of the proposed appointment as implemented through standards and administrative law judges, whether in will take him/her out of the competitive guidelines prescribed by the Office of the competitive or excepted service, the service; and the Director of National Intelligence; opportunity to be considered for (ii) Obtain from the employee a (ii) Suitability for employment in the promotion to a higher level when it written statement that he/she competitive service under executive seeks candidates from outside the understands he/she is leaving the orders 13467 and 13488, as amended, agency for the higher-level position. competitive service voluntarily to Civil Service Rules II and V (as codified (4) The agency’s request for OPM to accept an appointment in the excepted in §§ 2.1 and 5.2 of this chapter), and approve the action under § 930.201(e)(3) service. part 731 of this chapter; must document that the agency head (l) Recruitment. Agencies must recruit (iii) Fitness for employment in the approved the promotion. and announce vacancies for excepted service under Executive (h) Reclassification. To reclassify an administrative law judge positions in a Orders 13467 and 13488, as amended, administrative law judge position at a manner to attract a sufficient pool of and Civil Service Rules II, V, and VI (as higher level, the agency must submit a qualified applicants, consistent with the codified in §§ 2.1, 5.2, and 6.3 of this request to OPM. If OPM approves the merit system principles. chapter); and higher level classification, OPM will (m) Conformity. Agency actions under (iv) Eligibility for a personal identity direct the promotion of the this section must be consistent with verification credential under Executive administrative law judge occupying the § 930.201(f). Order 13467, as amended, as position prior to the reclassification. ■ 13. Amend § 930.205 by adding a implemented through standards and (i) Reassignment. (1) The agency’s sentence to the beginning of paragraph guidelines prescribed by OPM. request for OPM to approve the action (a), and by revising paragraphs (b) and (2) An adverse action against an under § 930.201(e)(3) must document a (f)(2) to read as follows: administrative law judge based on an bona fide management reason for the unfavorable vetting determination must reassignment. § 930.205 Administrative law judge pay follow the procedures in § 930.211(a), (2) Where a reassignment would system. unless one of the exceptions in involve a significant position change, (a) The administrative law judge pay § 930.211(c) applies. such as reassignment to a different system, administered by OPM, applies (e) Appointment of incumbents of bureau within the same department, or to both competitive service and newly classified administrative law a reassignment to perform a excepted service administrative law judge positions. An agency head may significantly different kind of work, the judges. * * *
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(b) Pay level AL–3 is the basic pay Law Judge Loan Program that (5) Document that the appointment level for administrative law judge coordinates the loan/detail of an will be made or approved by the agency positions filled at the entry level in the administrative law judge whether in the head. competitive and excepted services. competitive or excepted service from * * * * * * * * * * one agency to another. An agency may (h) Senior administrative law judges (f) * * * request from OPM the services of an appointed prior to July 10, 2018, remain (2) With prior OPM approval, an administrative law judge if the agency is in the competitive service for the agency may pay the rate of pay that is occasionally or temporarily duration of their appointment, next above the applicant’s existing pay insufficiently staffed with including any extension periods or earnings up to the maximum rate F. administrative law judges, or an agency authorized by OPM. The agency may offer a higher than may loan the services of its ■ 18. Amend § 930.210 by revising minimum rate to: administrative law judges to other paragraphs (a) and (c) to read as follows: (i) An administrative law judge agencies if there is insufficient work to applicant with superior qualifications fully occupy the administrative law § 930.210 Reduction in force. (as defined in § 930.202) who meets the judges’ work schedule. (a) Retention preference regulations. licensure requirement in § 930.204(b) * * * * * Except as modified by this section, the and any agency-specific requirements (e) The department or agency that reduction in force regulations in part established under § 930.204(c)(2); or employs the administrative law judge to 351 of this chapter apply to (ii) A former administrative law judge be loaned must furnish OPM with administrative law judges in the with superior qualifications who is documentation that the administrative competitive and excepted services. eligible for appointment under Schedule law judge’s appointment was originally * * * * * E and meets the licensure requirement made, approved, or later ratified, by the (c) Placement assistance. (1) An in § 930.204(b) and any agency-specific head of the employing agency. administrative law judge in the requirements established under (f) Upon accepting the services of a competitive service who is reached in § 930.204(c)(2). loaned administrative law judge, the an agency’s reduction in force and * * * * * department or agency must, as soon as receives a notification of separation or is ■ 14. Revise § 930.206 to read as practicable, furnish OPM with furloughed for more than 30 days is follows: documentation that the head of the eligible for placement assistance for any position in the competitive service to § 930.206 Performance rating, awards, and receiving agency has made, approved, or incentives. ratified, the loan of the administrative which qualified under the agency’s law judge. reemployment priority list (RPL) (a) An agency may not rate the job established and maintained in performance of an administrative law ■ 17. Amend § 930.209 by revising paragraphs (b)(2), (c), (d)(3) and (4), and accordance with subpart B of part 330 judge in the competitive or excepted of this chapter, as well as the agency’s service. adding paragraphs (d)(5) and (h) to read as follows: administrative law judge priority (b) An agency may not grant any reemployment list established under monetary or honorary award, incentive, § 930.209 Senior Administrative Law paragraph (c)(3) of this section. or similar payment under 5 U.S.C. 4502, Judge Program. (2) An administrative law judge in the 4503, 4504, 4505, 4505a, 5379, 5753, or * * * * * excepted service who is reached in an 5754, or under any other similar agency’s reduction in force and receives authority to an administrative law judge (b) * * * (2) The licensure, qualification, and a notification of separation or is in the competitive or excepted service. furloughed for more than 30 days is ■ 15. In § 930.207, revise paragraph (a) vetting requirements prescribed under eligible for placement assistance under to read as follows: § 930.204(b) through (d); and the agency’s administrative law judge * * * * * § 930.207 Details and assignments to priority reemployment list established other duties within the same agency. (c) Under the Senior Administrative and maintained in accordance with Law Judge Program, OPM authorizes (a) An agency may detail an paragraph (c)(3) of this section. agencies that have temporary, irregular administrative law judge from one (3) An agency must establish an workload requirements for conducting administrative law judge position to administrative law judge priority proceedings in accordance with 5 U.S.C. another administrative law judge reemployment list whenever an 556 and 557 to temporarily reemploy position within the same agency in administrative law judge, in the administrative law judge annuitants accordance with 5 U.S.C. 3341. All competitive or excepted service, has under Schedule E, § 213.3501, of this details that will last more than 120 days, been furloughed for more than 30 days chapter. If OPM is unable to identify an and details exceeding more than a total or separated from a continuing administrative law judge under of 120 days in a 12-month period, appointment without delinquency or § 930.208 who meets the agency’s require OPM approval regardless of misconduct, and applies for qualification requirements, OPM will whether the administrative law judges reemployment. approve the agency’s request. are in the competitive or excepted (i) Candidates are entered on the service. (d) * * * priority reemployment list in the (3) Specify the tour of duty, location, * * * * * geographic areas where they were period of time, or particular cases(s) for ■ 16. In § 930.208, revise paragraph (a) separated unless the agency elects to the requested reemployment; and add paragraphs (e) and (f) to read provide broader consideration. as follows: (4) Describe any special qualifications (ii) Candidates remain on the list for the retired administrative law judge two (2) years unless the agency elects to § 930.208 Administrative Law Judge Loan possesses that are required of the provide a longer period of eligibility. Program—detail to other agencies. position, such as experience in a (iii) Termination of eligibility on the (a) In accordance with 5 U.S.C. 3344, particular field, agency, or substantive agency’s priority reemployment list OPM administers an Administrative area of law; and takes place when an administrative law
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judge submits a written request to DEPARTMENT OF TRANSPORTATION Pkwy., Room 6N–321, Fort Worth, TX terminate eligibility, accepts a 76177. permanent full-time administrative law Federal Aviation Administration Examining the AD Docket judge position, or declines one full-time employment offer as an administrative 14 CFR Part 39 You may examine the AD docket on law judge at or above the level held the internet at https:// [Docket No. FAA–2020–0847; Product www.regulations.gov by searching for when reached for reduction in force at Identifier 2018–SW–087–AD] the geographic location where he or she and locating Docket No. FAA–2020– was separated unless the agency elects RIN 2120–AA64 0847; or in person at Docket Operations to provide broader consideration. between 9 a.m. and 5 p.m., Monday Airworthiness Directives; Airbus through Friday, except Federal holidays. (4) An agency must consider Helicopters The AD docket contains this NPRM, the administrative law judges on its priority Mandatory Continuing Airworthiness reemployment list before it may use AGENCY: Federal Aviation Administration (FAA), DOT. Information (MCAI), any comments other selection methods, except as received, and other information. The ACTION: Notice of proposed rulemaking described in this paragraph (c)(4). When street address for Docket Operations is (NPRM). a qualified administrative law judge is listed above. Comments will be available on the priority reemployment SUMMARY: The FAA proposes to adopt a available in the AD docket shortly after list, the agency may appoint an receipt. individual who is not on the priority new airworthiness directive (AD) for all FOR FURTHER INFORMATION CONTACT: reemployment list, or who has lower Airbus Helicopters Model AS350B, Scott Franke, Aviation Safety Engineer, standing on that list, only when the AS350BA, AS350B1, AS350B2, International Validation Branch, agency can demonstrate that the AS350B3, and AS350D helicopters; General Aviation & Rotorcraft Unit, individual possesses experience and Model AS355E, AS355F, AS355F1, FAA, 10101 Hillwood Pkwy., Fort qualifications superior to any other AS355F2, AS355N, and AS355NP Worth, TX 76177; telephone 817–222– available displaced administrative law helicopters; and Model EC130 B4 and 5110; email [email protected]. judge on the agency’s priority EC130 T2 helicopters. This proposed SUPPLEMENTARY INFORMATION: reemployment list. AD was prompted by a report of a missing retaining ring of the inner race Comments Invited (5) A former administrative law judge of the main rotor mast (MRM) upper selected from the priority reemployment bearing. This proposed AD would The FAA invites you to send any list is appointed under Schedule E in require a one-time inspection to verify written relevant data, views, or the excepted service regardless of the presence and correct installation of arguments about this proposal. Send whether the administrative law judge the MRM upper bearing retaining rings, your comments to an address listed served previously in the competitive a repetitive inspection of the sealant under the ADDRESSES section. Include service. bead on the MRM for damage, and ‘‘Docket No. FAA–2020–0847; Product ■ 19. Amend § 930.211 by revising corrective actions if necessary. The FAA Identifier 2018–SW–087–AD’’ at the paragraphs (b)(4) and (c) as follows: is proposing this AD to address the beginning of your comments. The most unsafe condition on these products. helpful comments reference a specific § 930.211 Actions against administrative portion of the proposal, explain the DATES: The FAA must receive comments law judges. reason for any recommended change, on this proposed AD by November 5, * * * * * and include supporting data. The FAA 2020. (b) * * * will consider all comments received by ADDRESSES: You may send comments, (4) If the alternatives in paragraphs the closing date and may amend this using the procedures found in 14 CFR NPRM because of those comments. (b)(1) through (3) of this section are not 11.43 and 11.45, by any of the following Except for Confidential Business available, the agency may consider methods: Information (CBI) as described in the placing the administrative law judge in • Federal eRulemaking Portal: Go to following paragraph, and other administrative leave, or, when https://www.regulations.gov. Follow the information as described in 14 CFR regulations implementing the instructions for submitting comments. 11.35, the FAA will post all comments Administrative Leave Act of 2016, • Fax: 202–493–2251. received, without change, to https:// section 1138 of Public Law 114–328, • Mail: U.S. Department of www.regulations.gov, including any have been finalized and become Transportation, Docket Operations, M– personal information you provide. The effective, in notice leave, investigative 30, West Building Ground Floor, Room FAA will also post a report leave, or administrative leave status, as W12–140, 1200 New Jersey Avenue SE, summarizing each substantive verbal appropriate. Washington, DC 20590. contact received about this NPRM. (c) Exceptions from procedures. The • Hand Delivery: Deliver to Mail procedures in paragraphs (a) and (b) of address above between 9 a.m. and 5 Confidential Business Information this section do not apply: p.m., Monday through Friday, except CBI is commercial or financial (1) In making dismissals or other Federal holidays. information that is both customarily and actions made by agencies in the interest For service information identified in actually treated as private by its owner. of national security under 5 U.S.C. 7532; this NPRM, contact Airbus Helicopters, Under the Freedom of Information Act 2701 N Forum Drive, Grand Prairie, TX (FOIA) (5 U.S.C. 552), CBI is exempt (2) To reduction in force actions taken 75052; telephone 972–641–0000 or 800– from public disclosure. If your by agencies under 5 U.S.C. 3502; or 232–0323; fax 972–641–3775; or at comments responsive to this NPRM (3) In any action initiated by the https://www.airbus.com/helicopters/ contain commercial or financial Office of Special Counsel under 5 U.S.C. services/technical-support.html. You information that is customarily treated 1215. may view this service information at the as private, that you actually treat as [FR Doc. 2020–17684 Filed 9–18–20; 8:45 am] FAA, Office of the Regional Counsel, private, and that is relevant or BILLING CODE 6325–39–P Southwest Region, 10101 Hillwood responsive to this NPRM, it is important
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that you clearly designate the submitted the MRM upper bearing are present and of Design Authority, the FAA has been comments as CBI. Please mark each correctly installed. EASA determined notified of the unsafe condition page of your submission containing CBI that the same condition may exist or described in the MCAI and service as ‘‘PROPIN.’’ The FAA will treat such develop on Airbus Helicopters Model information referenced above. The FAA marked submissions as confidential AS350 helicopters, Model AS355 is proposing this AD after evaluating all under the FOIA, and they will not be helicopters, and Model EC130 the relevant information and placed in the public docket of this helicopters because they share a similar determining the unsafe condition NPRM. Submissions containing CBI design and supply chain. Until the described previously is likely to exist or should be sent to Scott Franke, Aviation check of the upper and lower bearing develop on other products of the same Safety Engineer, International retaining rings is accomplished, EASA type design. Validation Branch, General Aviation & specifies that repetitive inspections of Proposed Requirements of This NPRM Rotorcraft Unit, FAA, 10101 Hillwood the MRM upper bearing sealant bead Pkwy., Fort Worth, TX 76177; telephone (sealant bead) should be accomplished This proposed AD would require 817 222–5110; email scott.franke@ to ensure the MRM remains serviceable. accomplishing the actions specified in faa.gov. Any commentary that the FAA EASA considers the actions specified in the service information described receives which is not specifically the MCAI an interim measure pending previously, except as discussed under designated as CBI will be placed in the further investigation results, and notes ‘‘Differences Between this Proposed AD public docket for this rulemaking. that further AD action may follow. and the MCAI.’’ You may examine the MCAI in the Discussion AD docket on the internet at https:// Differences Between This Proposed AD and the MCAI The European Aviation Safety Agency www.regulations.gov by searching for (now European Union Aviation Safety and locating Docket No. FAA–2020– Although the MCAI specifies Agency) (EASA), which is the Technical 0847. accomplishing the inspection of the Agent for the Member States of the Related Service Information Under 1 installation of the MRM upper bearing European Union, has issued EASA AD CFR Part 51 inner race retaining rings within 660 2018–0206, dated September 20, 2018 hours time in service (TIS) or 24 (referred to after this as the Mandatory Airbus Helicopters has issued the months, whichever occurs first, the FAA following service information. Continuing Airworthiness Information, • has determined that interval would not or ‘‘the MCAI’’), to correct an unsafe Airbus Helicopters Alert Service address the identified unsafe condition condition for certain Airbus Helicopters Bulletin AS350–62.00.42, Revision 0, soon enough to ensure an adequate level Model AS350B, AS350BA, AS350BB, dated September 17, 2018. of safety for the affected fleet. In • Airbus Helicopters Alert Service AS350B1, AS350B2, AS350B3, and developing an appropriate compliance Bulletin AS355–62.00.37, Revision 0, AS350D helicopters; Model AS355E, time for this AD, the FAA considered dated September 17, 2018. AS355F, AS355F1, AS355F2, AS355N, the degree of urgency associated with • Airbus Helicopters Alert Service and AS355NP helicopters; and Model the subject unsafe condition and the Bulletin EC130–62A017, Revision 0, EC130 B4 and EC130 T2 helicopters. manufacturer’s recommendation. In dated September 17, 2018. Model AS355BB helicopters are not This service information describes light of all of these factors, the FAA certificated by the FAA and are not procedures for a one-time inspection to finds that a compliance time of within included on the U.S. type certificate verify presence and correct installation 660 hours TIS or 6 months, whichever data sheet; this proposed AD therefore of the MRM upper bearing retaining occurs first, represents an appropriate does not include those helicopters in rings, a repetitive inspection of the interval of time for affected helicopters the applicability. EASA advises that sealant bead on the MRM for damage, to continue to operate without during a scheduled inspection on an and corrective actions. Damage of the compromising safety. Airbus Helicopters Model AS350B3 sealant bead includes flaws, cracks, Although paragraph (5) of the MCAI helicopter, one of the two retaining folds, separation, or absence of the specifies that operators may contact the rings of the inner race of the MRM sealant bead. Corrective actions include manufacturer for instructions if there upper bearing was found missing. These repair and replacement. These are signs of degradation on the MRM two retaining rings ensure that the inner documents are distinct since they apply inner race, paragraph (i)(3) of this race is correctly positioned with respect to different helicopter models. proposed AD would require operators to to the rollers, and, if one or both of these This service information is reasonably repair or replace the MRM if there is any retaining rings are missing, it can lead available because the interested parties degradation as indicated by damage to to an unlimited shift of the inner race have access to it through their normal the retaining rings (including but not and compromise the function of the course of business or by the means limited to cracks, scratches, and MRM upper bearing. This condition, if identified in the ADDRESSES section. gouges), deterioration, or wear. not detected and corrected, can lead to damage to the MRM and surrounding FAA’s Determination Costs of Compliance elements, possibly resulting in loss of This product has been approved by The FAA estimates that this proposed control of the helicopter. the aviation authority of another AD affects 1,212 helicopters of U.S. Airbus Helicopters developed an country, and is approved for operation registry. The FAA estimates the inspection to check that the upper and in the United States. Pursuant to the following costs to comply with this lower retaining rings of the inner race of FAA’s bilateral agreement with the State proposed AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost on U.S. Labor cost Parts cost Cost per product operators
Up to 30 work-hours × $85 per hour = Up to $2,550 ...... $0 Up to $2,550 ...... Up to $3,090,600.
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The FAA estimates the following the results of any required actions. The number of aircraft that might need these costs to do any necessary on-condition FAA has no way of determining the on-condition actions: actions that would be required based on
ESTIMATED COSTS OF ON-CONDITION ACTIONS
Labor cost Parts cost Cost per product
Up to 80 work-hours × $85 per hour = Up to $6,800 ...... Up to $33,124 ...... Up to $39,924.
Authority for This Rulemaking List of Subjects in 14 CFR Part 39 FAA is issuing this AD to address this condition, which, if not detected and Air transportation, Aircraft, Aviation Title 49 of the United States Code corrected, can lead to damage to the MRM specifies the FAA’s authority to issue safety, Incorporation by reference, and surrounding elements, possibly resulting Safety. rules on aviation safety. Subtitle I, in loss of control of the helicopter. section 106, describes the authority of The Proposed Amendment (f) Compliance the FAA Administrator. Subtitle VII: Accordingly, under the authority Comply with this AD within the Aviation Programs, describes in more delegated to me by the Administrator, compliance times specified, unless already detail the scope of the Agency’s the FAA proposes to amend 14 CFR part done. authority. 39 as follows: (g) Definitions The FAA is issuing this rulemaking PART 39—AIRWORTHINESS (1) For the purposes of this AD, an affected under the authority described in DIRECTIVES part is any MRM having part number (P/N) Subtitle VII, Part A, Subpart III, Section 350A37–1290–XX (where XX can be any 44701: General requirements. Under ■ 1. The authority citation for part 39 numerical combination) and a serial number that section, Congress charges the FAA continues to read as follows: as listed in Airbus Helicopters Alert Service with promoting safe flight of civil Bulletin AS350–62.00.42, Revision 0, dated Authority: 49 U.S.C. 106(g), 40113, 44701. aircraft in air commerce by prescribing September 17, 2018; Airbus Helicopters Alert regulations for practices, methods, and § 39.13 [Amended] Service Bulletin AS355–62.00.37, Revision 0, ■ dated September 17, 2018; or Airbus procedures the Administrator finds 2. The FAA amends § 39.13 by adding Helicopters Alert Service Bulletin EC130– necessary for safety in air commerce. the following new airworthiness 62A017, Revision 0, dated September 17, This regulation is within the scope of directive (AD): 2018, as applicable to your model helicopter, that authority because it addresses an Airbus Helicopters: Docket No. FAA–2020– unless the upper bearing inner race retaining unsafe condition that is likely to exist or 0847; Product Identifier 2018–SW–087– rings are verified to be installed correctly as develop on products identified in this AD. specified in the inspection required in rulemaking action. paragraph (i)(1) of this AD. (a) Comments Due Date (2) For the purposes of this AD, a Group Regulatory Findings The FAA must receive comments by 1 helicopter is one on which an affected part November 5, 2020. is installed. (3) For the purposes of this AD, a Group The FAA determined that this (b) Affected ADs proposed AD would not have federalism 2 helicopter is one on which an affected part implications under Executive Order None. is not installed. 13132. This proposed AD would not (c) Applicability (h) MRM Upper Sealant Bead Inspection have a substantial direct effect on the This AD applies to all Airbus Helicopters, (1) For Group 1 helicopters, within the States, on the relationship between the certificated in any category, as identified in compliance time specified in Figure 1 to national Government and the States, or paragraphs (c)(1) through (3) of this AD. paragraph (h) of this AD, and, thereafter, at on the distribution of power and (1) Model AS350B, AS350BA, AS350B1, intervals not to exceed 165 hours time-in- AS350B2, AS350B3, and AS350D service (TIS): Inspect the MRM upper bearing responsibilities among the various helicopters. sealant bead for damage in accordance with levels of government. (2) Model AS355E, AS355F, AS355F1, section 3.B.2.a of the Accomplishment AS355F2, AS355N, and AS355NP For the reasons discussed above, I Instructions of Airbus Helicopters Alert helicopters. certify this proposed regulation: Service Bulletin AS350–62.00.42, Revision 0, (3) Model EC130 B4 and EC130 T2 (1) Is not a ‘‘significant regulatory helicopters. dated September 17, 2018; Airbus action’’ under Executive Order 12866, Helicopters Alert Service Bulletin AS355– (d) Subject 62.00.37, Revision 0, dated September 17, (2) Will not affect intrastate aviation Joint Aircraft Service Component (JASC) 2018; or Airbus Helicopters Alert Service in Alaska, and Code 6230, Main Rotor Mast Inner Race Bulletin EC130–62A017, Revision 0, dated (3) Will not have a significant Rings. September 17, 2018, as applicable to your model helicopter, except you are not required economic impact, positive or negative, (e) Reason to discard the plastic clamps (Item vv). For on a substantial number of small entities This AD was prompted by a report of a the purposes of this inspection, damage may under the criteria of the Regulatory missing retaining ring of the inner race of the be indicated by flaws, cracks, folds, Flexibility Act. main rotor mast (MRM) upper bearing. The separation, or absence of the sealant bead.
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Note 1 to paragraph (h)(1): Unless (j) Terminating Action Issued on September 15, 2020. specified otherwise, the hours TIS specified Verification on a helicopter of correct Lance T. Gant, in figure 1 to paragraph (h) of this AD are installation of the MRM upper bearing inner Director, Compliance & Airworthiness those accumulated on the effective date of race retaining rings, as required by paragraph Division, Aircraft Certification Service. this AD by the helicopter since first flight. (i)(1) of this AD, or corrective action on a [FR Doc. 2020–20631 Filed 9–18–20; 8:45 am] (2) If, during any inspection of the MRM helicopter, as specified in paragraphs (h)(2), BILLING CODE 4910–13–P upper bearing sealant bead as required by (i)(2), or (i)(3) of this AD, as applicable, paragraph (h)(1) of this AD, there is damage, constitute terminating action for the before further flight, inspect the installation repetitive inspections required by paragraph of the MRM upper bearing inner race DEPARTMENT OF TRANSPORTATION retaining rings for discrepancies in (h)(1) of this AD for that helicopter. Federal Aviation Administration accordance paragraph (i)(1) of this AD. (k) Parts Installation Prohibition (i) MRM Inner Race Retaining Rings As of the effective date of this AD, no 14 CFR Part 71 Inspection person may install, on any helicopter, an (1) For Group 1 Helicopters: Within 660 affected part as identified in paragraph (g)(1) [Docket No. FAA–2020–0823; Airspace Docket No. 20–AAL–49] hours TIS or 6 months, whichever occurs of this AD. first after the effective date of this AD: (l) Alternative Methods of Compliance RIN 2120–AA66 Inspect the installation of the MRM upper (AMOCs) bearing inner race retaining rings for Proposed Technical Amendment to discrepancies in accordance with the (1) The Manager, International Validation Separate Terminal Airspace Areas Accomplishment Instructions of section Branch, FAA, may approve AMOCs for this from Norton Sound Low, Woody Island 3.B.2.b of Airbus Helicopters Alert Service AD. Send your proposal to: Scott Franke, Low, Control 1234L, and Control 1487L Bulletin AS350–62.00.42, Revision 0, dated Aviation Safety Engineer, International Offshore Airspace Areas; Alaska September 17, 2018; Airbus Helicopters Alert Validation Branch, General Aviation & Service Bulletin AS355–62.00.37, Revision 0, Rotorcraft Unit, FAA, 10101 Hillwood Pkwy., AGENCY: Federal Aviation dated September 17, 2018; or Airbus Fort Worth, TX 76177; telephone 817–222– Administration (FAA), DOT. Helicopters Alert Service Bulletin EC130– 5110; email [email protected]. ACTION: Notice of proposed rulemaking 62A017, Revision 0, dated September 17, (2) For operations conducted under a 14 2018, as applicable to your model helicopter, (NPRM). CFR part 119 operating certificate or under except you are not required to discard the 14 CFR part 91, subpart K, notify your plastic clamps (Item vv). For the purposes of SUMMARY: This action proposes to this inspection, discrepancies may be principal inspector or lacking a principal amend the following Offshore Airspace indicated by incorrect positioning or missing inspector, the manager of the local flight Areas in Alaska: Norton Sound Low, rings. standards district office or certificate holding Woody Island Low, Control 1234L, and (2) If, during the inspection by paragraphs district office, before operating any aircraft Control 1487L. The FAA found an error (i)(1) of this AD there are any discrepancies, complying with this AD through an AMOC. with the Offshore Airspace Legal before further flight, remove the affected part, (m) Related Information Descriptions containing airspace inspect the MRM inner race for degradation, descriptions not related to the need to and replace the retaining rings in accordance (1) The subject of this AD is addressed in with the Accomplishment Instructions of European Aviation Safety Agency (now apply IFR en route Air Traffic Control section 3.B.2.c of Airbus Helicopters Alert European Union Aviation Safety Agency) services in international airspace. This Service Bulletin AS350–62.00.42, Revision 0, (EASA) AD 2018–0206, dated September 20, action would correct that error by dated September 17, 2018; Airbus 2018. This EASA AD may be found in the AD removing terminal airspace, airspace Helicopters Alert Service Bulletin AS355– docket on the internet at https:// associated with geographic coordinates, 62.00.37, Revision 0, dated September 17, www.regulations.gov by searching for and and airspace associated with NAVAIDs 2018; or Airbus Helicopters Alert Service locating Docket No. FAA–2020–0847. from the Offshore Airspace legal Bulletin EC130–62A017, Revision 0, dated (2) For service information identified in descriptions. September 17, 2018, as applicable to you this AD, contact Airbus Helicopters, 2701 N model helicopter, except you are not required DATES: Comments must be received on Forum Drive, Grand Prairie, TX 75052; to return parts to Airbus Helicopters. For the or before November 5, 2020. purposes of this inspection, degradation is telephone 972–641–0000 or 800–232–0323; fax 972–641–3775; or at https:// ADDRESSES: Send comments on this indicated by damage to the retaining rings proposal to the U.S. Department of (including but not limited to cracks, www.airbus.com/helicopters/services/ scratches, and gouges), deterioration, or wear. technical-support.html. You may view this Transportation, Docket Operations, 1200 (3) If, during the inspection of the MRM service information at the FAA, Office of the New Jersey Avenue SE, West Building inner race, as required by paragraph (i)(2) of Regional Counsel, Southwest Region, 10101 Ground Floor, Room W12–140, this AD, there is any degradation, before next Hillwood Pkwy., Room 6N–321, Fort Worth, Washington, DC 20590; telephone: flight, repair or replace the MRM. TX 76177. 1(800) 647–5527, or (202) 366–9826.
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You must identify FAA Docket No. Communications should identify both Class A, B, C, D, and E airspace areas, FAA–2020–0823; Airspace Docket No. docket numbers (FAA Docket No. FAA– air traffic service routes, and reporting 20–AAL–49 at the beginning of your 2020–0823; Airspace Docket No. 20– points. comments. You may also submit AAL–49) and be submitted in triplicate Background comments through the internet at to the Docket Management Facility (see https://www.regulations.gov. ADDRESSES section for address and A final rule was published in the FAA Order 7400.11E, Airspace phone number). You may also submit Federal Register for Docket No. FAA– Designations and Reporting Points, and comments through the internet at 2006–25852 under Airspace Docket No. subsequent amendments can be viewed https://www.regulations.gov. 06–AAL–29 (72 FR 31714; June 8, 2007; online at https://www.faa.gov/air_ Commenters wishing the FAA to as corrected 72 FR 37430, July 10, 2007), traffic/publications/. For further acknowledge receipt of their comments this action amended the following information, you can contact the Rules on this action must submit with those offshore airspace areas: Norton Sound and Regulations Group, Federal comments a self-addressed, stamped Low, Woody Island Low, Control 1234L, Aviation Administration, 800 postcard on which the following and Control 1487L Offshore Airspace Independence Avenue SW, Washington, statement is made: ‘‘Comments to FAA Areas; Alaska, to include terminal DC, 20591; telephone: (202) 267–8783. Docket No. FAA–2020–0823; Airspace airspace previously thought to be The Order is also available for Docket No. 20–AAL–49.’’ The postcard excluded in the Code of Federal inspection at the National Archives and will be date/time stamped and returned Regulations. The exclusionary language Records Administration (NARA). For to the commenter. was misinterpreted including all information on the availability of FAA All communications received on or airspace West of Longitude 160°. The Order 7400.11E at NARA, email: before the specified comment closing FAA found this interpretation to be in [email protected] or go to https:// date will be considered before taking error as the exclusion only pertains to www.archives.gov/federal-register/cfr/ action on the proposed rule. The the area West of Longitude 160° for the ibr-locations.html. proposal contained in this action may Alaska Peninsula. The Alaska Peninsula FOR FURTHER INFORMATION CONTACT: be changed in light of comments does not include the Aleutian Islands Christopher McMullin, Rules and received. All comments submitted will nor preclude the establishment of Regulations Group, Office of Policy, be available for examination in the airspace under CFR 71.71(c). This action Federal Aviation Administration, 800 public docket both before and after the proposes to correct this error and Independence Avenue SW, Washington, comment closing date. A report reverse the final rule. Offshore Airspace DC 20591; telephone: (202) 267–8783. summarizing each substantive public areas are reserved for those areas that SUPPLEMENTARY INFORMATION: contact with FAA personnel concerned extend from the Territorial Zone to the with this rulemaking will be filed in the Flight Information Region boundary, in Authority for This Rulemaking docket. international airspace, where it is The FAA’s authority to issue rules necessary to apply domestic airspace Availability of NPRMs regarding aviation safety is found in rules. Title 49 of the United States Code. An electronic copy of this document The FAA also published a final rule Subtitle I, Section 106 describes the may be downloaded through the in the Federal Register for Docket No. authority of the FAA Administrator. internet at https://www.regulations.gov. FAA–2006–26164 under Airspace Subtitle VII, Aviation Programs, Recently published rulemaking Docket No. 06–AAL–34 (72 FR 5611; describes in more detail the scope of the documents can also be accessed through February 7, 2007). This action revoked agency’s authority. This rulemaking is the FAA’s web page at https:// the Class E Airspace for Adak, Atka, promulgated under the authority www.faa.gov/air_traffic/publications/ Cold Bay, Nelson Lagoon, Saint George described in Subtitle VII, Part A, airspace_amendments/. Island, Sand Point, Shemya, St. Paul Subpart I, Section 40103. Under that You may review the public docket Island, and Unalaska, AK as it was section, the FAA is charged with containing the proposal, any comments thought that because these locations prescribing regulations to assign the use received and any final disposition in were within Control 1234L they should of the airspace necessary to ensure the person in the Dockets Office (see be contained in the offshore airspace safety of aircraft and the efficient use of ADDRESSES section for address and description. This was in error as airspace. This regulation is within the phone number) between 9:00 a.m. and offshore airspace cannot be established scope of that authority as it would 5:00 p.m., Monday through Friday, within 12 nautical miles of a coastline modify the route structure as necessary except federal holidays. An informal of the United States (U.S.). This action to preserve the safe and efficient flow of docket may also be examined during would also correct that error. This air traffic within the National Airspace normal business hours at the office of proposed technical amendment would System. the Western Service Center, Operations separate Offshore Airspace and terminal Support Group, Federal Aviation class E airspace to provide pilots with Comments Invited Administration, 2200 South 216th St., an accurate legal description in the Interested parties are invited to Des Moines, WA 98198. appropriate sections of the regulation. participate in this proposed rulemaking by submitting such written data, views, Availability and Summary of The Proposal or arguments as they may desire. Documents for Incorporation by The FAA is proposing an amendment Comments that provide the factual basis Reference to Title 14 Code of Federal Regulations supporting the views and suggestions This document proposes to amend (14 CFR) part 71 to modify the Norton presented are particularly helpful in FAA Order 7400.11E, Airspace Sound Low, Woody Island Low, Control developing reasoned regulatory Designations and Reporting Points, 1234L, and Control 1487L Offshore decisions on the proposal. Comments dated July 12, 2020, and effective Airspace areas by removing 33 terminal are specifically invited on the overall September 15, 2020. FAA Order facilities, five NAVAIDS, and three sets regulatory, aeronautical, economic, 7400.11E is publicly available as listed of geographic coordinate assigned environmental, and energy-related in the ADDRESSES section of this airspace included in the Offshore aspects of the proposal. document. FAA Order 7400.11E lists Airspace areas legal description
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contained in FAA Order 7400.11 Clarks Point, AK: Clarks Point, AK is administrative changing either to each, Section 6007. The vertical and lateral currently published in the Norton and no change to the boundaries. boundaries would remain as published. Sound Low and 1234L legal Nelson Lagoon, AK: Nelson Lagoon, Additionally, the FAA proposes to descriptions. This proposed action AK is currently published in the 1234L define the legal descriptions of the would remove the Clarks Point class E legal description. This proposed action terminal facilities in section 6002 and legal description from Norton Sound would remove the Nelson Lagoon class 6005 in FAA Order 7400.11. The Low and 1234L and relocate it to section E legal description from 1234L and proposed actions are described below. 6005 with no change to the boundaries. relocate it to section 6005 with no Shemya, AK: Shemya is currently Port Heiden, AK: Port Heiden, AK is change to the boundaries. published in 1234L as Eareckson AS. currently published in the Norton Chevak, AK: Chevak, AK is currently This action proposes to remove Sound Low, Woody Island Low, and published in the Norton Sound Low Eareckson AS description from 1234L 1234L legal description. This proposed legal description. This proposed action legal description and add it to section action would remove the Port Heiden would remove the Chevak class E legal 6005 in FAA Order 7400.11 labeled class E legal description from Norton description from Norton Sound Low under the correct identifier as Shemya, Sound Low, Woody Island Low, and and relocate it to section 6005 with no AK. This proposed action would retain 1234L and relocate it to section 6005 change to the boundaries. the same legal description for the Class with no change to the boundaries. Elim, AK: Elim, AK is currently E5 airspace. St. George, AK: St. George, AK is published in the Norton Sound Low legal description. This proposed action Adak, AK: Adak, AK is currently currently published in the 1234L legal published in the 1234L legal would remove the Elim class E legal description. This proposed action description. This proposed action description from Norton Sound Low would remove the St. George class E would remove the Adak class E legal and relocate it to section 6005 with no legal description from 1234L and description from 1234L and relocate it change to the boundaries. relocate it to section 6005 with no to section 6005 without changing the Hooper Bay, AK: Hooper Bay, AK is change to the boundaries. boundaries. currently published in the Norton Atka, AK: Atka, AK is currently St. Paul Island, AK: St. Paul Island, Sound Low legal description. This published in the 1234L legal AK is currently published in the 1234L proposed action would remove the description. This proposed action legal description. This proposed action Hooper Bay class E legal description would remove the Atka class E legal would remove the St. Paul Island class from Norton Sound Low and relocate it description from 1234L and relocate it E legal description from 1234L and to section 6005 with no change to the to section 6005 with no change to the relocate it to section 6005 with no boundaries. boundaries. change to the boundaries. King Salmon, AK: King Salmon, AK is Cold Bay, AK: Cold Bay, AK is Unalaska, AK: Unalaska, AK is currently published in the Norton currently published in the 1234L legal currently published in the 1234L legal Sound Low, legal description. This description. This proposed action description. This proposed action proposed action would remove the King would remove the Cold Bay class E2 would remove the Unalaska class E legal Salmon class E legal description from and E5 legal descriptions from 1234L description from 1234L and relocate it Norton Sound Low and correct the legal and relocate them to sections 6002 and to section 6005 with administrative description in section 6005 with an 6005 with no change to the boundaries. changes correcting the word bearing to administrative change replacing the Perryville, AK: Perryville, AK is radial and adding the reference for the word either to each, removing duplicate currently published in the Norton Dutch Harbor NDB, AK. The rest of the name in header line two, and no change Sound Low legal description. This airspace legal description would remain to the boundaries. proposed action would remove the unchanged. Kivalina, AK: Kivalina, AK is Perryville class E legal description from Sand Point, AK: Sand Point, AK is currently published in the Norton Norton Sound Low and relocate it to currently published in the 1234L legal Sound Low legal description. This section 6005 with no change to the description. This proposed action proposed action would remove the boundaries. would remove the Sand Point class E Kivalina class E legal description from Nikoloski, AK: Nikoloski, AK is legal description from 1234L and Norton Sound Low and correct the legal currently published in the 1234L legal relocate it to section 6005 with description contained in section 6005, description. This proposed action administrative changes correcting either replacing the word either to each, would remove the Nikoloski class E to each, mail to mile, and adding the removing the duplicate name header in legal description from 1234L and reference to Borland NDB/DME. The line two, and no change to the relocate it to section 6005 with no rest of the legal description would boundaries. change to the boundaries. remain unchanged. Kwethluk, AK: Kwethluk, AK is Manokotak, AK: Manokotak, AK is Chignik, AK: Chignik, AK is currently currently published in the Norton currently published in the Norton published in the Norton Sound Low, Sound Low legal description. This Sound Low, 1234L legal description. It Woody Island Low, and 1234L legal proposed action would remove the is also published in section 6005, but description. This proposed action Kwethluk class E legal description from has an outdated legal description. This would remove the Atka class E legal Norton Sound Low and correcting the proposed action would remove the description from Norton Sound, Woody legal description located in section 6005 Manokotak class E legal description Island Low, and 1234L and relocate it to with an administrative change, from Norton Sound Low, and 1234L and section 6005 with no change to the removing the double name header in relocate it to section 6005 with the boundaries. line two, with no change to the correct boundaries and coordinates for King Cove, AK: King Cove, AK is boundaries. the airport location. It would also currently published in the 1234L legal Napakiak, AK: Napakiak, AK is correct the current legal description, description. This proposed action currently published in the Norton removing the word New from would remove the King Cove class E Sound Low legal description. This Manokotak/New Airport, to reflect legal description from 1234L and proposed action would remove the proper airport identification. relocate it to section 6005 with an Napakiak class E legal description from
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Norton Sound Low and correcting the with an administrative change removing Organization (ICAO) International legal description located in section 6005 the duplicate name in heading line two Standards and Recommended Practices. with an administrative change, with no change to the boundaries. The application of International correcting duplicate name in heading Toksook Bay, AK: Toksook Bay, AK is Standards and Recommended Practices line two with no change to the currently published in the Norton by the FAA, Office of Policy, Rules and boundaries. Sound Low legal description. This Regulations Group, in areas outside the New Stuyahok, AK: New Stuyahok, proposed action would remove the U.S. domestic airspace, is governed by AK is currently published in the Norton Toksook Bay class E legal description the Convention on International Civil Sound Low legal description. This from Norton Sound Low and retain it in Aviation. Specifically, the FAA is proposed action would remove the New section 6005 with no change to the governed by Article 12 and Annex 11, Stuyahok class E legal description from boundaries. which pertain to the establishment of Norton Sound Low and correct legal Nome, AK: Nome, AK and Nome necessary air navigational facilities and description contained in section 6005 VORTAC is currently published in the services to promote the safe, orderly, with an administrative change, Norton Sound Low legal description. and expeditious flow of civil air traffic. removing duplicate name in heading This proposed action would remove the The purpose of Article 12 and Annex 11 line two with no change to the Nome VORTAC and Nome class E legal is to ensure that civil aircraft operations boundaries. description from Norton Sound Low on international air routes are Noatak, AK: Noatak, AK is currently and add the Nome VORTAC to the performed under uniform conditions. published in the Norton Sound Low Nome, AK legal description located in The International Standards and legal description. This proposed action section 6005 with no change to the Recommended Practices in Annex 11 would remove the Noatak class E legal boundaries. apply to airspace under the jurisdiction description from Norton Sound Low Kodiak, AK: Kodiak, AK is currently of a contracting state, derived from and retain it in section 6005 with no published in the Control 1487L legal ICAO. Annex 11 provisions apply when change to the boundaries. description. This proposed action air traffic services are provided and a Red Dog, AK: Red Dog, AK is would remove the Kodiak class E legal contracting state accepts the currently published in the Norton description from Control 1487L and responsibility of providing air traffic Sound Low legal description. This correct the legal description located in services over high seas or in airspace of proposed action would remove the Red section 6005 with an administrative undetermined sovereignty. A Dog class E legal description from change replacing the word either to each contracting state accepting this Norton Sound Low and correct the legal with no change to the boundaries. responsibility may apply the description in section 6005 with an Homer, AK: Homer, AK is currently International Standards and administrative change correcting the published in the Control 1487L legal Recommended Practices that are word either to each and no change to description. This proposed action consistent with standards and practices the boundaries. would remove the Homer class E legal utilized in its domestic jurisdiction. Scammon Bay, AK: Scammon Bay, description from Control 1487L and In accordance with Article 3 of the AK is currently published in the Norton retain the legal description in section convention, state-owned aircraft are Sound Low legal description. This 6005 with an administrative change exempt from the Standards and proposed action would remove the correcting the word either to each and Recommended Practices of Annex 11. Scammon Bay class E legal description no change to the boundaries. The United States is a contracting state from Norton Sound Low and correct the Anchorage, AK: Anchorage, AK is to the Convention. Article 3(d) of the legal description located in section 6005 currently published in the Control Convention provides that participating with an administrative change 1487L legal description. This proposed state aircraft will be operated in correcting the word either to each and action would remove the Anchorage international airspace with due regard no change to the boundaries. class E legal description from Control for the safety of civil aircraft. Shaktoolik, AK: Shaktoolik, AK is 1487L and retain the legal description in Regulatory Notices and Analyses currently published in the Norton section 6005 with no change to the Sound Low legal description. This boundaries. The FAA has determined that this proposed action would remove the Class E Airspace Areas Designated as proposed regulation only involves an Shaktoolik class E legal description Surface Areas, Class E Airspace Areas established body of technical from Norton Sound Low and retaining Extending Upward from 700 feet or regulations for which frequent and it in section 6005 with no change to the more Above the Surface of the Earth, routine amendments are necessary to boundaries. and Offshore Airspace Areas are keep them operationally current. It, Selawik, AK: Selawik, AK is currently published in paragraphs 6002, 6005, therefore: (1) Is not a ‘‘significant published in the Norton Sound Low and 6007 of FAA Order 7400.11E dated regulatory action’’ under Executive legal description. This proposed action July 21, 2020, and effective September Order 12866; (2) is not a ‘‘significant would remove the Selawik class E legal 15, 2020, which is incorporated by rule’’ under Department of description from Norton Sound Low reference in 14 CFR part 71.1. The Transportation (DOT) Regulatory and correct the legal description located Airspace listed in this document will be Policies and Procedures (44 FR 11034; in section 6005 with an administrative subsequently published in the Order. February 26, 1979); and (3) does not change removing the duplicate name in FAA Order 7400.11, Airspace warrant preparation of a regulatory heading line two with no change to the Designations and Reporting Points, is evaluation as the anticipated impact is boundaries. published yearly and effective on so minimal. Since this is a routine St. Michael, AK: St. Michael, AK is September 15. matter that will only affect air traffic currently published in the Norton procedures and air navigation, it is Sound Low legal description. This ICAO Considerations certified that this proposed rule, when proposed action would remove the St. As part of this proposal relates to promulgated, will not have a significant Michael class E legal description from navigable airspace outside the U.S. this economic impact on a substantial Norton Sound Low and correcting the notice is submitted in accordance with number of small entities under the legal description located in section 6005 the International Civil Aviation criteria of the Regulatory Flexibility Act.
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Environmental Review 161°46′08″ W, to lat. 58°06′57″ N, long. That airspace extending upward from 700 160°00′00″ W, to the point of beginning. feet above the surface within a 6.9-mile This proposal will be subject to an * * * * * radius of Eareckson Air Station, AK and that environmental analysis in accordance airspace extending upward from 1,200 feet with FAA Order 1050.1F, Woody Island Low [Amend] above the surface within a 26.2-mile radius ‘‘Environmental Impacts: Policies and That airspace extending upward from of Eareckson Air Station, AK. Procedures’’ prior to any FAA final 14,500 feet MSL within the area bounded by * * * * * a line beginning at lat. 53°30′00″ N, long. regulatory action. AAL AK E5 Adak, AK [New] 160°00′00″ W, to lat. 56°00′00″ N, long. List of Subjects in 14 CFR Part 71 153°00′00″ W, to lat. 56°45′42″ N, long. Adak Airport, AK ° ′ ″ ° ′ ″ 151°45′00″ W, to lat. 58°19′58″ N, long. (Lat. 51 53 01 N, Long. 176 38 33 W) Airspace, Incorporation by reference, ° ′ ″ ° ′ ″ 148 55 07 W, to lat. 59 08 34 N, long. Mount Moffett NDB/DME Navigation (air). 147°16′06″ W, then clockwise via the 149.5- (Lat. 51°52′19″ N, Long. 176°40′334″ W) mile radius from the Anchorage, VOR/DME, The Proposed Amendment That airspace extending upward from 700 AK, to the intersection with a point 12 miles feet above the surface within a 7-mile radius from and parallel to the U.S. coastline, then In consideration of the foregoing, the of Adak Airport, AK and within 5.2 miles southwest along a line 12 miles from and Federal Aviation Administration northwest and 4.2 miles southeast of the 061° parallel to the U.S. coastline to the proposes to amend 14 CFR part 71 as ° ′ ″ radial from the Mount Moffett NDB/DME follows: intersection with 160 00 00 W longitude, to extending from the 7-mile radius to 11.5 the point of beginning. miles northeast and that airspace extending PART 71—DESIGNATION OF CLASS A, * * * * * upward from 1,200 feet above the surface B, C, D, AND E AIRSPACE AREAS; AIR within an 11-mile radius of Adak Airport, AK Control 1487L [Amend] and within 16 miles of Adak Airport TRAFFIC SERVICE ROUTES; AND ° REPORTING POINTS That airspace extending upward from extending clockwise from the 033 radial to 5,500 feet MSL within the area bounded by the 081° radial from the Mount Moffett NDB/ a line beginning at lat. 58°19′58″ N, long. DME. ■ 1. The authority citation for part 71 ° ′ ″ ° ′ ″ 148 55 07 W; to lat. 59 08 34 N, long. * * * * * continues to read as follows: 147°16′06″ W; thence counterclockwise via AAL AK E5 Atka, AK [New] Authority: 49 U.S.C. 106(f), 106(g); 40103, the 149.5-mile radius of the Anchorage VOR/ 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, DME, AK, to the intersection with a point 12 Atka Airport, AK 1959–1963 Comp., p. 389. miles from and parallel to the U.S. coastline; (Lat. 52°13′14″ N, Long. 174°12′22″ W) thence southeast 12 miles from and parallel That airspace extending upward from 700 § 71.1 [Amended] to the U.S. coastline to a point 12 miles feet above the surface within a 6.4-mile offshore on the Vancouver FIR boundary; to ■ radius of the Atka Airport, AK and that 2. The incorporation by reference in lat. 54°32′57″ N, long. 133°11′29″ W; to lat. airspace extending upward from 1,200 feet 14 CFR 71.1 of FAA Order 7400.11E, 54°00′00″ N, long. 136°00′00″ W; to lat. above the surface within a 10-mile radius of Airspace Designations and Reporting 52°43′00″ N, long. 135°00′00″ W; to lat. Atka Airport, AK. ° ′ ″ ° ′ ″ Points, dated July 21, 2020 and effective 56 45 42 N, long. 151 45 00 W; to the point * * * * * September 15, 2020, is amended as of beginning; and that airspace extending follows: upward from 1,200 feet MSL within the area AAL AK E5 Cold Bay, AK [New] bounded by a line beginning at lat. 59°33′25″ Cold Bay, AK Paragraph 6007 Offshore Airspace Areas N, long. 141°03′22″ W; thence southeast 12 (Lat. 55°12′21″ N, Long. 162°43′35″ W) * * * * * miles from and parallel to the U.S. coastline That airspace extending upward from to lat. 58°56′18″ N, long. 138°45′19″ W; to lat. 1,200 feet above the surface within a 10.6- Control 1234L [Amend] 58°40′00″ N., long. 139°30′00″ W; to lat. mile radius of Cold Bay Airport, AK, and That airspace extending upward from 59°00′00″ N, long. 141°10′00″ W; to the point within 9 miles east and 4.3 miles west of the 2,000 feet above the surface within an area of beginning. 321° bearing from the Airport extending from ° ′ ″ bounded by a line beginning at lat. 58 06 57 * * * * * the 10.6-mile radius to 20 miles northwest, N, long. 160°00′00″ W, then south along and that airspace 4 miles each side of the 160°00′00″ W longitude, until it intersects the Paragraph 6002 Class E Airspace Areas 070° bearing from Cold Bay Airport, AK, Anchorage Air Route Traffic Control Center Designated as Surface Areas extending from the 10.6-mile radius to 13.6 (ARTCC) boundary; then southwest, * * * * * miles northeast, northwest, north, and northeast along the * * * * * Anchorage ARTCC boundary to lat. 62°35′00″ AAL AK E2 Cold Bay, AK [New] N, long. 175°00′00″ W, to lat. 59°59′57″ N, Cold Bay, AK AAL AK E5 Nikolski, AK [New] long. 168°00′08″ W, to lat. 57°45′57″ N, long. (Lat. 55°12′21″ N, Long. 162°43′35″ W) Nikolski AS, AK 161°46′08″ W, to the point of beginning. That airspace extending upward from the (Lat. 52°56′30″ N, Long. 168°50′57″ W) * * * * * surface within a 4.6-mile radius of Cold Bay That airspace extending upward from 700 Airport, AK, and within 1.7 miles each side feet above the surface within a 6.3-mile Norton Sound Low [Amend] of the 150° bearing from the airport, radius of the Nikolski AS, AK and that That airspace extending upward from extending from the 4.6-mile radius to 7.7 airspace extending upward from 1,200 feet 14,500 feet MSL within an area bounded by miles southeast and within 3 miles west and above the surface within a 73-mile radius of a line beginning at lat. 56°42′59″ N, long. 4 miles east of the 335° bearing from the the Nikolski AS, AK. 160°00′00″ W, then north along a line 12 airport extending from the 4.6-mile radius to * * * * * miles from and parallel to the U.S. coastline 12.2 miles northwest. AAL AK E5 Manokotak, AK [Remove] to the intersection with 164°00′00″ W, * * * * * longitude near the outlet to Kotzebue Sound, Manokotak/New Airport, AK then north to the intersection with a point 12 Paragraph 6005 Class E Airspace Areas (Lat. 58°59′25″ N, Long. 159°03′00″ W) miles from the U.S. coastline, then north Extending Upward from 700 feet or More * * * * * along a line 12 miles from and parallel to the Above the Surface of the Earth shoreline to lat. 68°00′00″ N, to lat. 68°00′00″ * * * * * AAL AK E5 Manakotak, AK [Amend] N, long. 168°58′23″ W, to lat. 65°00′00″ N, Manakotak Airport, AK long. 168°58′23″ W, to lat. 62°35′00″ N, long. AAL AK E5 Shemya, AK [New] (Lat. 58°55′55″ N, Long. 158°54′07″ W) 175°00′00″ W, to lat. 59°59′57″ N, long. Eareckson AS, AK That airspace extending upward from 700 168°00′08″ W, to lat. 57°45′57″ N, long. (Lat. 52°42′44″ N, Long. 174°06′49″ E) feet above the surface within a 6.4-mile
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radius of Manokotak Airport, AK; and that Borland NDB/DME, AK, extending from the above the surface within a 73-mile radius of airspace extending upward from 1,200 feet 6.4-mile radius of Sand Point Airport, AK, to the Kwethluk Airport, AK. above the surface within a 74-mile radius of 17 miles northwest of the Sand Point Airport, * * * * * Manokotak Airport, AK, excluding that AK, and that airspace extending upward from airspace extending beyond 12 miles of the 1,200 feet above the surface and west of 160° AAL AK E5 Napakiak, AK [Amend] shoreline. W. longitude within a 25-mile radius of the Napakiak Airport, AK * * * * * Borland NDB/DME, AK. (Lat. 60°41′25″ N, Long. 161°58′43″ W) * * * * * That airspace extending upward from 700 AAL AK E5 St. George, AK [New] feet above the surface within a 6.3-mile St. George Airport, AK AAL AK E5 King Cove, AK [New] radius of the Napakiak Airport, AK; and that ° ′ ″ ° ′ ″ (Lat. 56 34 39 N, Long. 169 39 49 W) King Cove Airport, AK airspace extending upward from 1,200 feet That airspace extending upward from 700 above the surface within an 84-mile radius of (Lat. 55°06′59″ N, Long. 162°15′58″ W) feet above the surface within a 6.6-mile the Napakiak Airport, AK. That airspace extending upward from 700 radius of the St. George Airport, AK and that feet above the surface within a 6.5-mile * * * * * airspace extending upward from 1,200 feet radius of King Cove Airport, and extending AAL AK E5 New Stuyahok, AK [Amend] above the surface within a 10-mile radius of ° St. George Airport, AK. 1.2 miles each side of the 103 bearing from King Cove Airport from the 6.5-mile radius New Stuyahok Airport, AK (Lat. 59°27′06″ N, Long. 157°22′23″ W) * * * * * out to 8.8 miles. That airspace extending upward from 700 AAL AK E5 St. Paul Island, AK [New] * * * * * feet above the surface within a 6.9-mile radius of the New Stuyahok Airport; and that St. Paul Island, Airport, AK AAL AK E5 Nelson Lagoon, AK [New] (Lat. 57°09′59″ N, Long. 170°13′21″ W) airspace extending upward from 1,200 feet That airspace extending upward from 700 Nelson Lagoon Airport, AK above the surface within a 71-mile radius of ° ′ ″ ° ′ ″ feet above the surface and within an 8-mile (Lat. 56 0 27 N, Long. 161 9 37 W) the New Stuyahok Airport. radius of St. Paul Island Airport, AK, and 8 That airspace extending upward from 700 * * * * * miles west and 6 miles east of the 360° feet above the surface within a 6.3-mile bearing from St. Paul Island Airport, AK, to radius of Nelson Lagoon Airport, AK. AAL AK E5 Red Dog, AK [Amend] 14 miles north of St. Paul Island Airport, AK, * * * * * Red Dog, AK and within 6 miles west and 8 miles east of (Lat. 68°01′56″ N, Long. 162°53′57″ W) the 172° bearing from St. Paul Island Airport, AAL AK E5 King Salmon, AK [Amend] That airspace extending upward from 700 AK, to 15 miles south of St. Paul Island King Salmon Airport, AK feet above the surface within an 11-mile Airport, AK, and that airspace extending (Lat. 58°40′35″ N, Long. 156°38′55″ W) radius of the Red Dog Airport, AK, and upward from 1,200 feet above the surface King Salmon VORTAC within 4 miles each side of the 219° bearing within a 73-mile radius of St. Paul Island (Lat. 58°43′29″ N, Long. 156°45′08″ W) from the Red Dog Airport, AK, extending Airport, AK. That airspace extending upward from 700 from the 11-mile radius to 14.5 miles * * * * * feet above the surface within a 6.9-mile southwest of the Red Dog Airport, AK; and radius of King Salmon Airport, AK, and that airspace extending upward from 1,200 AAL AK E5 Unalaska, AK [New] within 5 miles north and 9 miles south of the feet above the surface within a 72.5-mile Unalaska Airport, AK 132° radial of the King Salmon VORTAC, AK, radius of the Red Dog Airport, AK. (Lat. 53°53′56″ N, Long. 166°32′42″ W) extending from the King Salmon VORTAC, * * * * * Dutch Harbor NDB AK, to 36 miles southeast of the King Salmon AAL AK E5 Scammon Bay, AK [Amend] (Lat. 53°54′19″ N, Long. 166°32′52″ W) VORTAC, AK, and within 3.9 miles each side That airspace extending upward from 700 of the 312° radial of the King Salmon Scammon Bay Airport, AK ° ′ ″ ° ′ ″ feet above the surface within a 6.4-mile VORTAC, AK, extending from the 6.9-mile (Lat. 61 50 40 N, Long. 165 34 25 W) radius of the Unalaska Airport, AK and radius to 13.9 miles northwest of the King That airspace extending upward from 700 within 2.9 miles each side of the 360° radial Salmon VORTAC, AK; and that airspace feet above the surface within a 6.3-mile from the Dutch Harbor NDB, AK, extending radius of Scammon Bay Airport, and within extending upward from 1,200 feet above the ° from the 6.4-mile radius of Unalaska Airport, surface within a 73-mile radius of the King 4 miles each side of the 099 bearing of AK, to 9.5 miles north of Unalaska Airport, Salmon Airport, AK, excluding that airspace Scammon Bay Airport extending from the 6.3-mile radius to 11 miles east of the airport; AK; and that airspace extending upward from extending beyond 12 miles of the shoreline. 1,200 feet above the surface within a 20-mile that airspace extending upward from 1,200 radius of Unalaska Airport, AK, extending * * * * * feet above the surface with a 73-mile radius ° clockwise from the 305 radial from the AAL AK E5 Kivalina, AK [Amend] of Scammon Bay Airport, AK. Dutch Harbor NDB, AK, to the 075° radial * * * * * from the Dutch Harbor NDB, AK. Kivalina Airport, AK (Lat. 67°44′10″ N, Long. 164°33′49″ W) AAL AK E5 Selawik, AK [Amend] * * * * * That airspace extending upward from 700 Selawik Airport, AK AAL AK E5 Sand Point, AK [New] feet above the surface within a 6.5-mile (Lat. 66°36′01″ N, Long. 159°59′09″ W) radius of the Kivalina Airport, AK, and 3.9 Sand Point Airport, AK That airspace extending upward from 700 miles each side of the 317° bearing from the (Lat. 55°18′49″ N, Long. 160°31′17″ W) feet above the surface within a 7.3-mile Kivalina Airport, AK, extending from the 6.5- Borland NDB/DME radius of the Selawik Airport; and that mile radius to 11.1 miles northwest of the (Lat. 55°18′56″ N, Long. 160°31′6″ W) airspace extending upward from 1,200 feet Kivalina Airport, AK; and that airspace That airspace extending upward from 700 above the surface within a 74-mile radius of extending upward from 1,200 feet above the feet above the surface within a 6.4-mile the Selawik Airport. surface within a 73-mile radius of the radius of Sand Point Airport, AK and within * * * * * 3 miles each side of the 172° radial from the Kivalina Airport, AK. Borland NDB/DME, AK, extending from the * * * * * AAL AK E5 St. Michael, AK [Amend] 6.4-mile radius of Sand Point Airport, AK, to St. Michael Airport, AK AAL AK E5 Kwethluk, AK [Amend] 13.9 miles south of Sand Point Airport, AK (Lat. 63°29′24″ N, Long. 162°06′37″ W) and within 5 miles each side of the 318° Kwethluk Airport, AK That airspace extending upward from 700 radial from the Borland NDB/DME, AK, (Lat. 60°47′25″ N, Long. 161°26′37″ W) feet above the surface within an 8.4-mile extending from the 6.4-mile radius of Sand That airspace extending upward from 700 radius of St. Michael Airport; and that Point Airport, AK, to 17 miles northwest of feet above the surface within a 6.3-mile airspace extending upward from 1,200 feet Sand Point Airport, AK and within 5 miles radius of the Kwethluk Airport, AK; and that above the surface within a 73-mile radius of either side of the 324° radial from the airspace extending upward from 1,200 feet the St. Michael Airport, excluding that
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airspace that extends beyond 12 miles of the Credit Reporting Act (‘‘FCRA’’) by the connection with any credit or insurance shoreline. Dodd-Frank Act and to reinstate a transaction that is not initiated by the * * * * * model prescreen opt-out notice. consumer; and (E) the consumer may AAL AK E5 Kodiak, AK [Amend] DATES: Written comments must be exercise the opt-out right by notifying a received on or before December 7, 2020. notification system established under Kodiak Airport, AK ° ′ ″ ° ′ ″ ADDRESSES: Interested parties may file a section 604(e) of the FCRA. (Lat. 57 44 59 N, Long. 152 29 38 W) The Fair and Accurate Credit That airspace extending upward from 700 comment online or on paper by feet above the surface within an 6.9-mile following the Request for Comment part Transactions Act of 2003 (‘‘FACT Act’’) radius of Kodiak Airport, AK, and within 3.1 of the SUPPLEMENTARY INFORMATION was signed into law on December 4, miles each side of the 072° bearing from section below. Write ‘‘Prescreen Opt- 2003. Public Law 108–159, 117 Stat. Kodiak Airport, AK, extending from the 6.9- Out Notice Rule, 16 CFR part 642, 1952. Section 213(a) of the FACT Act mile radius from the airport, to 12.2 miles Project No. P205408’’ on your comment amended FCRA section 615(d) to east of the airport, and within 1 mile each and file your comment online at https:// require that the statement mandated by side of the 091° bearing from Kodiak Airport, section 615(d) ‘‘be presented in such AK, extending from the 6.9-mile radius from www.regulations.gov by following the instructions on the web-based form. If format and in such type size and the airport, to 8.2 miles east of the airport, manner as to be simple and easy to and that airspace extending upward from you prefer to file your comment on 1,200 feet above the surface within a 73-mile paper, mail your comment to the understand, as established by the radius of the Kodiak Airport, AK, excluding following address: Federal Trade Commission, by rule, in consultation that airspace extending beyond 12 miles of Commission, Office of the Secretary, with the Federal banking agencies and the shoreline. 600 Pennsylvania Avenue NW, Suite the National Credit Union * * * * * CC–5610 (Annex B), Washington, DC Administration.’’ On August 1, 2005, 20580, or deliver your comment to the the FTC issued its Prescreen Opt-Out AAL AK E5 Homer, AK [Amend] 2 following address: Federal Trade Notice Rule. Homer Airport, AK ° ′ ″ ° ′ ″ Commission, Office of the Secretary, B. Dodd-Frank Act (Lat. 59 38 44 N, Long. 151 28 36 W) Constitution Center, 400 7th Street SW, Kachemak NDB The Dodd-Frank Wall Street Reform 5th Floor, Suite 5610 (Annex B), (Lat. 59°38′29″ N, Long. 151°30′01″ W) and Consumer Protection Act (‘‘Dodd- Washington, DC 20024. That airspace extending upward from 700 Frank Act’’) was signed into law in feet above the surface within a 6.7-mile FOR FURTHER INFORMATION CONTACT: 2010.3 The Dodd-Frank Act radius of the Homer Airport, AK, and within David Lincicum (202–326–2773), substantially changed the federal legal 4 miles each side of the 055° bearing from the Division of Privacy and Identity framework for financial services Homer Airport, AK, to 12-miles northeast of Protection, Bureau of Consumer the Homer Airport, AK, and within 8-miles providers. Among the changes, the Protection, Federal Trade Commission, Dodd-Frank Act transferred to the north and 4.2-miles south of the Kachemak 600 Pennsylvania Avenue NW, NDB 235° bearing extending from the Consumer Financial Protection Bureau Kachemak NDB to 16 miles southwest of the Washington, DC 20580. (‘‘CFPB’’) the Commission’s rulemaking Kachemak NDB; and that airspace extending SUPPLEMENTARY INFORMATION: authority under portions of the FCRA.4 upward from 1,200 feet above the surface I. Background Accordingly, in 2012, the Commission within a 73-mile radius of the Homer Airport, rescinded several of its FCRA rules, AK. A. The Prescreen Opt-Out Notice Rule which had been replaced by rules * * * * * Section 615(d) of the FCRA 1 requires issued by the CFPB.5 The FTC retained Issued in Washington, DC, on September that any person who uses a consumer rulemaking authority for other rules to 14, 2020. report in order to make an unsolicited the extent the rules apply to motor Scott M. Rosenbloom, firm offer of credit or insurance to the vehicle dealers described in section 6 Acting Manager, Rules and Regulations consumer (‘‘prescreened offer’’ or 1029(a) of the Dodd-Frank Act that are Group. ‘‘prescreened solicitation’’) shall predominantly engaged in the sale and [FR Doc. 2020–20567 Filed 9–18–20; 8:45 am] provide with each written solicitation a servicing of motor vehicles, the leasing and servicing of motor vehicles, or both BILLING CODE 4910–13–P clear and conspicuous statement that: (A) Information contained in the (‘‘motor vehicle dealers’’).7 The retained consumer’s consumer report was used rules include the Prescreen Opt-Out in connection with the transaction; (B) Notice Rule, which now applies only to FEDERAL TRADE COMMISSION the consumer received the offer of credit motor vehicle dealers.8 Consumer report 16 CFR Parts 642 and 698 or insurance because the consumer users originally covered by the satisfied the criteria for credit Prescreen Opt-Out Notice Rule that are RIN 3084–AB63 worthiness or insurability under which not motor vehicle dealers are now the consumer was selected for the offer; covered by the CFPB’s rule.9 Prescreen Opt-Out Notice Rule (C) if applicable, the credit or insurance On May 22, 2019, the FTC rescinded AGENCY: Federal Trade Commission. may not be extended if, after the several FCRA model notices and forms ACTION: consumer responds to the offer, the Notice of proposed rulemaking; 2 request for public comment. consumer does not meet the criteria 70 FR 5021 (Aug. 1, 2005). used to select the consumer for the offer 3 Public Law 111–203 (2010). 4 SUMMARY: The Federal Trade 15 U.S.C. 1681 et seq. The Dodd-Frank Act does or any applicable criteria bearing on not transfer to the CFPB rulemaking authority for Commission (‘‘FTC’’ or ‘‘Commission’’) credit worthiness or insurability or does section 615(e) of the FCRA (‘‘Red Flag Guidelines requests public comment on its not furnish any required collateral; (D) and Regulations Required’’) and section 628 of the Prescreen Opt-Out Notice Rule as part of the consumer has a right to prohibit FCRA (‘‘Disposal of Records’’). See 15 U.S.C. the FTC’s systematic review of all 1681s(e). information contained in the 5 77 FR 22200 (April 13, 2012); 12 U.S.C. 5519. current Commission regulations and consumer’s file with any consumer 6 15 U.S.C. 5519. guides. In addition, the FTC is reporting agency from being used in 7 77 FR 22200 (April 13, 2012). proposing to amend the Rule to 8 Id. correspond to changes made to the Fair 1 15 U.S.C. 1681m(d). 9 12 CFR 1022.54.
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that were no longer necessary because of § 698.2 to include Appendix C in the list Notice Rule to reduce any costs imposed the Dodd-Frank Act’s change to its of model notices. on consumers? rulemaking authority.10 The prescreen The amendments make no substantive a. What evidence supports the opt-out model notice was included in changes to the Rule. proposed modifications? this rescission. b. How would these modifications III. Regulatory Review of the Prescreen affect the benefits provided by the II. Technical Changes To Correspond to Opt-Out Notice Rule Prescreen Opt-Out Notice Rule? Statutory Changes Resulting From the 6. What benefits, if any, has the Dodd-Frank Act In addition to proposing the changes described above, the Commission seeks Prescreen Opt-Out Notice Rule provided The Commission promulgated the information about the costs and benefits to businesses, including small Prescreen Opt-Out Notice Rule at a time of the Rule, and its regulatory and businesses? What evidence supports the when it had rulemaking authority for a economic impact. It has been fifteen asserted benefits? broader group of consumer report users. years since the Rule was enacted. 7. What modifications, if any, should While the Dodd-Frank Act did not Consistent with its practice of reviewing be made to the Prescreen Opt-Out change the Commission’s enforcement all of its rules and guides periodically, Notice Rule to increase its benefits to authority for the Prescreen Opt-Out the Commission seeks to ascertain businesses, including small businesses? Notice Rule, it did narrow the whether changes in technology, a. What evidence supports the Commission’s rulemaking authority business models, or the law warrant proposed modifications? with respect to the Rule. It now covers modification or rescission of the Rule. b. How would these modifications 11 only motor vehicle dealers. The As part of this review the Commission affect the costs the Prescreen Opt-Out amendments in the Dodd-Frank Act solicits comments on, among other Notice Rule imposes on businesses, necessitate technical revisions to the things, the economic impact and including small businesses? Prescreen Opt-Out Notice Rule to ensure benefits of the Prescreen Opt-Out Notice c. How would these modifications that the regulation is consistent with the Rule; possible conflict between the affect the benefits to consumers? text of the amended FCRA. Accordingly, Prescreen Opt-Out Notice Rule and 8. What significant costs, if any, the Commission proposes to modify the state, local, or other federal laws or including costs of compliance, has the Prescreen Opt-Out Notice Rule to reflect regulations; and the effect on the Prescreen Opt-Out Notice Rule imposed the Rule’s actual scope. Prescreen Opt-Out Notice Rule of any on businesses, including small The proposed amendment to § 642.1 technological, economic, or other businesses? What evidence supports the narrows the scope of the Prescreen Opt- industry changes. asserted costs? Out Notice Rule to those entities set 9. What modifications, if any, should forth in the Dodd-Frank Act that are Issues for Comment be made to the Prescreen Opt-Out predominantly engaged in the sale and The Commission requests written Notice Rule to reduce the costs imposed servicing of motor vehicles, excluding comment on any or all of the following on businesses, including small those dealers that directly extend credit questions. These questions are designed businesses? to consumers and do not routinely to assist the public and should not be a. What evidence supports the assign the extensions of credit to an construed as a limitation on the issues proposed modifications? unaffiliated third party.12 It does so by b. How would these modifications about which public comments may be replacing the general term ‘‘person’’ affect the benefits provided by the submitted. The Commission requests with the term ‘‘motor vehicle dealers,’’ Prescreen Opt-Out Notice Rule? that responses to its questions be as as defined in amended § 642.2. 10. What evidence is available specific as possible, including a The proposed amendment to § 642.2 concerning the degree of industry reference to the question being adds a definition of ‘‘motor vehicle compliance with the Prescreen Opt-Out answered, and refer to empirical data or dealer’’ that defines motor vehicle Notice Rule? dealers as entities excluded from CFPB other evidence upon which the 11. What modification, if any, should jurisdiction as described in the Dodd- comment is based whenever available be made to the Prescreen Opt-Out Frank Act.13 and appropriate. Notice Rule to account for changes in The proposed amendment also 1. Is there a continuing need for relevant technology or economic reinstates the model prescreen opt-out specific provisions of the Prescreen Opt- conditions? What evidence supports the notice as Appendix C to Part 698. The Out Notice Rule? Why or why not? proposed modifications? model form is unchanged from the 2. What benefits has the Prescreen 12. Does the Prescreen Opt-Out Notice previous model notice and is identical Opt-Out Notice Rule provided to Rule overlap or conflict with other to the CFPB’s model notice.14 The consumers? What evidence supports the federal, state, or local laws or proposed amendment also revises asserted benefits? regulations? If so, how? 3. What modifications, if any, should a. What evidence supports the 10 84 FR 23471 (May 22, 2019). be made to the Prescreen Opt-Out asserted conflicts? 11 15 U.S.C. 1681s(e)(1); 12 U.S.C. 5519. Notice Rule to increase the benefits to b. With reference to the asserted 12 12 U.S.C. 5519. consumers? conflicts, should the Prescreen Opt-Out 13 Id. a. What evidence supports the 14 12 CFR part 1022, App. D. In rescinding this Notice Rule be modified? If so, why, and and other model notices in light of changes to proposed modifications? how? If not, why not? regulatory authority under the Dodd-Frank Act, see b. How would these modifications 13. The Commission proposes to 84 FR 23471, the Commission noted that covered affect the costs imposed by the amend the Rule to reflect that the entities should look to the corresponding forms Prescreen Opt-Out Notice Rule? issued by the CFPB to obtain the appropriate model Commission’s rulemaking authority has forms and disclosures. Although motor vehicle 4. What significant costs, if any, has been revised by statute to apply dealers can use the CFPB’s existing form, in the Prescreen Opt-Out Notice Rule exclusively to motor vehicle dealers. conjunction with revising the scope of the imposed on consumers? What evidence Are the proposed modifications Prescreen Opt-Out Notice Rule the Commission is supports the asserted costs? reinstating a model form for the Rule in case the appropriate? Should additional CFPB were to revise its corresponding rule, and the 5. What modifications, if any, should amendments be made? Would these corresponding model, in the future. be made to the Prescreen Opt-Out amendments create conflicts with any
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other federal, state, or local regulations for making sure your comment does not VI. Paperwork Reduction Act or laws? include sensitive health information, Under the Paperwork Reduction Act 14. The Commission proposes to such as medical records or other of 1995 (PRA),16 federal agencies are provide a model prescreen opt-out individually identifiable health generally required to seek Office of notice that motor vehicle dealers may information. In addition, your comment Management and Budget (‘‘OMB’’) use. Should the model be modified? should not include any ‘‘trade secret or approval for information collection a. What evidence supports the any commercial or financial information requirements prior to implementation. proposed modifications? which . . . is privileged or b. How would these modifications Under the PRA, the FTC may not confidential,’’ as provided by section conduct or sponsor an information affect the benefits provided by the 6(f) of the FTC Act, 15 U.S.C. 46(f), and Prescreen Opt-Out Notice Rule? collection—and, notwithstanding any FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2), other provision of law, a person is not IV. Request for Comment including in particular, competitively required to respond to one—unless the You can file a comment online or on sensitive information such as costs, information collection displays a valid paper. For the Commission to consider sales statistics, inventories, formulas, control number assigned by OMB. your comment, we must receive it on or patterns, devices, manufacturing This proposal would amend 16 CFR before December 7, 2020. Write processes, or customer names. part 642. The Rule does not contain ‘‘Prescreen Opt-Out Notice Rule, 16 CFR Comments containing material for information collection requirements as part 642, Project No. P205408’’ on the which confidential treatment is defined by the PRA. The rule requires comment. Your comment, including requested must be filed in paper form, certain motor vehicle dealers using your name and your state, will be must be clearly labeled ‘‘Confidential,’’ consumer reports to provide consumers placed on the public record of this and must comply with FTC Rule 4.9(c). with opt-out notices, and the proposed proceeding, including the https:// In particular, the written request for amendments include a model notice www.regulations.gov website. confidential treatment that accompanies motor vehicle dealers may use. Public Because of the public health the comment must include the factual disclosure of information originally supplied by the federal government for emergency in response to the COVID–19 and legal basis for the request, and must the purpose of disclosure to the public outbreak and the agency’s heightened identify the specific portions of the is not included within the definition of security screening, postal mail comment to be withheld from the public the collection of information.17 addressed to the Commission will be record. Your comment will be kept Therefore, the Commission does not subject to delay. We strongly encourage confidential only if the FTC General believe the proposed amendments you to submit your comment online Counsel grants your request in would add any ‘‘collections of through the https://www.regulations.gov accordance with the law and the public information’’ as defined by the PRA. website. To ensure the Commission interest. Once your comment has been considers your online comment, please posted on https://www.regulations.gov, VII. Regulatory Flexibility Act follow the instructions on the web- we cannot redact or remove your The Regulatory Flexibility Act based form. comment from that website unless you (‘‘RFA’’), as amended by the Small If you file your comment on paper, submit a confidentiality request that Business Regulatory Enforcement write ‘‘Prescreen Opt-Out Notice Rule, meets the requirements for such Fairness Act of 1996, requires an agency 16 CFR part 642, Project No. P205408’’ treatment under FTC Rule 4.9(c), and to either provide an Initial Regulatory on your comment and on the envelope, the General Counsel grants that request. Flexibility Analysis (‘‘IRFA’’) with a and mail your comment to the following Visit the Commission website at proposed rule, or certify that the address: Federal Trade Commission, https://www.ftc.gov to read this proposed rule will not have a significant Office of the Secretary, 600 document and the news release impact on a substantial number of small Pennsylvania Avenue NW, Suite CC– describing it. The FTC Act and other entities.18 The Commission does not 5610 (Annex B), Washington, DC 20580; laws that the Commission administers expect that the proposed changes to this or deliver your comment to the permit the collection of public Rule, if adopted, would have the following address: Federal Trade comments to consider and use in this threshold impact on small entities. The Commission, Office of the Secretary, proceeding as appropriate. The Commission does not expect the Constitution Center, 400 7th Street SW, Commission will consider all timely proposal to impose costs on small motor 5th Floor, Suite 5610 (Annex B), and responsive public comments that it vehicle dealers because the amendments Washington, DC 20024. If possible, receives on or before December 7, 2020. are primarily for clarification purposes please submit your paper comment to For information on the Commission’s and should not result in any increased the Commission by courier or overnight privacy policy, including routine uses burden on any motor vehicle dealer. service. permitted by the Privacy Act, see Thus, a small entity that complies with Because your comment will be placed current law need not take any different on the publicly accessible website, https://www.ftc.gov/site-information/ privacy-policy. or additional action if the proposal is https://www.regulations.gov, you are adopted. solely responsible for making sure your V. Communications by Outside Parties Therefore, based on available comment does not include any sensitive to the Commissioners or Their Advisors information, the Commission certifies or confidential information. In that amending the Address Discrepancy particular, your comment should not Written communications and Rule as proposed will not have a include sensitive personal information, summaries or transcripts of oral significant economic impact on a such as your or anyone else’s Social communications respecting the merits substantial number of small businesses. Security number, date of birth, driver’s of this proceeding, from any outside Although the Commission certifies license number or other state party to any Commissioner or under the RFA that the proposed identification number or foreign country Commissioner’s advisor, will be placed 15 equivalent, passport number, financial on the public record. 16 44 U.S.C. 3501 et seq. account number, or credit or debit card 17 See 5 CFR 1320.3(c)(2). number. You are also solely responsible 15 16 CFR 1.26(b)(5). 18 5 U.S.C. 603–605.
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amendment would not, if promulgated, amendment. Nonetheless, the Financial Protection Bureau jurisdiction have a significant impact on a Commission requests comment on the as described in 12 U.S.C. 5519. substantial number of small entities, the extent to which other federal standards * * * * * Commission has determined, involving consumer reports may ■ 4. In § 642.3, revise the introductory nonetheless, that it is appropriate to duplicate, satisfy, or potentially conflict text of § 642.3 to read as follows: publish an IRFA to inquire into the with the Rule’s requirements for any impact of the proposed amendment on covered financial institutions. § 642.3 Prescreen opt-out notice. small entities. Therefore, the Any motor vehicle dealer that uses a Commission has prepared the following F. Description of Any Significant consumer report on any consumer in analysis: Alternatives to the Proposed Rule connection with any credit or insurance The Commission has not proposed A. Description of Reasons for the transaction that is not initiated by the any specific small entity exemption or Proposed Rule consumer, and that is provided to that other significant alternatives because person under section 604(c)(1)(B) of the To address the Dodd-Frank Act’s the proposed amendment would not FCRA (15 U.S.C. 1681b (c)(1)(B)), shall, changes to the Commission’s impose any new requirements or with each written solicitation made to rulemaking authority, the Commission compliance costs. Nonetheless, the the consumer about the transaction, proposes to clarify that the Rule applies Commission welcomes comment on any provide the consumer with the only to motor vehicle dealers and to significant alternative consistent with following statement, consisting of a reinstate a model form. the FCRA that would minimize the short portion and a long portion, which impact of the proposed Rule on small B. Succinct Statement of the Objectives, shall be in the same language as the entities. and Legal Basis For, the Proposed Rule offer of credit or insurance: The objectives of the proposed Rule List of Subjects in 16 CFR Parts 642 and * * * * * are discussed above. The legal basis for 698 the proposed Rule is 15 U.S.C. Consumer protection, Credit, Trade PART 698—MODEL FORMS AND 1681m(d). practices. DISCLOSURES C. Description of Small Entities to For the reasons stated above, the ■ 5. The authority citation continues to Which the Proposed Rule Will Apply Federal Trade Commission proposes to read as follows: amend title 16 of the Code of Federal Determining a precise estimate of the Authority 12 U.S.C. 5519; 15 U.S.C. 19 Regulations as follows: number of small entities is not readily 1681m(h); 15 U.S.C. 1681s–3; Sec. 214(b), feasible. Financial institutions covered PART 642—PRESCREEN OPT–OUT Pub. L. 108–159. by the Rule include certain motor NOTICE ■ vehicle dealers. A substantial number of 6. Revise § 698.2 to read as follows: these entities likely qualify as small ■ 1. Revise the authority section for part § 698.2 Legal effect. businesses. The Commission estimates 642 to read as follows: that the proposed amendment will not The model forms and disclosures have a significant impact on small Authority: 15 U.S.C. 1681m(d); 12 U.S.C. prescribed by the FTC in this part do businesses because it imposes no new 5519(d); Sec. 311, Pub. L. 108–159. not constitute a trade regulation rule. obligations. ■ 2. In § 642.1, revise paragraph (b) to The issuance of the model forms and read as follows: disclosures set forth in appendices A, B, D. Projected Reporting, Recordkeeping, and C of this part carry out the directive and Other Compliance Requirements, § 642.1 Purpose and scope. in the statute that the FTC prescribe Including Classes of Covered Small * * * * * these forms and disclosures. Use or Entities and Professional Skills Needed (b) Scope. This part applies to any distribution of the model forms and To Comply motor vehicle dealer as defined in disclosures in this part will constitute The proposed amendments would § 642.2 of this part that uses a consumer compliance with any section or impose no new reporting, report on any consumer in connection subsection of the FCRA requiring that recordkeeping, or other compliance with any credit or insurance transaction such forms and disclosures be used by requirements. The small entities that is not initiated by the consumer, any motor vehicle dealer subject to the potentially covered by the proposed and that is provided to that motor FTC’s rulemaking authority. amendment will include all such vehicle dealer under section 604(c)(1)(B) ■ 7. Add appendix C to part 698 to read entities subject to the Rule. of the FCRA (15 U.S.C. 1681b(c)(1)(B)). as follows: ■ 3. In § 642.2, redesignate paragraph (b) E. Identification of Duplicative, as paragraph (c) and add a new Appendix C to Part 698—Model Overlapping, or Conflicting Federal paragraph (b) to read as follows: Prescreen Opt-Out Notices Rules In order to comply with CFR 16 part 642, § 642.2 Definitions. The Commission has not identified the following model notices may be used: any other federal statutes, rules, or * * * * * (a) English language model notice—(1) policies that would duplicate, overlap, (b) Motor vehicle dealer means any Short notice. or conflict with the proposed person excluded from Consumer BILLING CODE 6750–01–P
19 The U.S. Small Business Administration Table programs. For the most part, size standards are the boat dealers, motorcycle, ATV and all other motor of Small Business Size Standards Matched to North annual receipts or the average employment of a vehicle dealers (NAICS codes 441210, 441222 and American Industry Classification System Codes firm. New car dealers (NAICS code 441100) are 441228) are classified as small if their annual (NAICS) are generally expressed in either millions classified as small if they have fewer than 200 receipts are $35 million or less. The 2019 Table of of dollars or number of employees. A size standard employees. Used car dealers (NAICS code 441120) Small Business Size Standards is available at is the largest that a business can be and still qualify are classified as small if their annual receipts are https://www.sba.gov/document/support-table-size- as a small business for Federal Government $27 million or less. Recreational vehicle dealers, standards.
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(2) Long notice.
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(b) Spanish language model notice—(1) Short notice.
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(2) Long notice.
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By direction of the Commission, 7th Street SW, Room 10276, SUPPLEMENTARY INFORMATION: Commissioner Slaughter and Commissioner Washington, DC 20410–0500. Wilson not participating. 2. Electronic Submission of I. Background April J. Tabor, Comments. Interested persons may In 1990, section 554 of the Cranston Acting Secretary. submit comments electronically through Gonzalez National Affordable Housing [FR Doc. 2020–19176 Filed 9–18–20; 8:45 am] the Federal eRulemaking Portal at Act (Pub. L. 101–625, approved BILLING CODE 6750–01–C www.regulations.gov. HUD strongly November 28, 1990) amended the encourages commenters to submit United States Housing Act of 1937 by comments electronically. Electronic adding a new Section 23 (42 U.S.C. submission of comments allows the 1437u) to create the FSS program. The DEPARTMENT OF HOUSING AND commenter maximum time to prepare FSS program requires that PHAs) and URBAN DEVELOPMENT and submit a comment, ensures timely Indian Housing Authorities (IHAs) 1 use 24 CFR Parts 887 and 984 receipt by HUD, and enables HUD to Public and Indian Housing assistance make comments immediately available and Section 8 Housing assistance rental [Docket No. FR–6114–P–01] to the public. Comments submitted voucher programs, together with public electronically through the and private resources, to provide RIN 2577–AD09 www.regulations.gov website can be supportive services, case management, viewed by other commenters and and an escrow account to participating Streamlining and Implementation of interested members of the public. families, with the intent to help families Economic Growth, Regulatory Relief, Commenters should follow the achieve economic independence and and Consumer Protection Act Changes instructions provided on that site to self-sufficiency. The goal of the program to Family Self-Sufficiency (FSS) submit comments electronically. is to enable participating low-income Program Note: To receive consideration as families to increase their earned income AGENCY: Office of the Assistant public comments, comments must be and reduce their dependency on welfare Secretary for Public and Indian submitted through one of the two assistance and rental subsidies. FSS Housing, HUD, and Office of the methods specified above. All program coordinators create plans with Assistant Secretary for Housing— submissions must refer to the docket participating families to achieve goals Federal Housing Commissioner, HUD. number and title of the rule. and connect them with services that No Facsimile Comments. Facsimile will assist the family in making progress ACTION: Proposed rule. (FAX) comments are not acceptable. toward economic security. As the SUMMARY: The Economic Growth, Public Inspection of Public family’s earnings increase, the Regulatory Relief, and Consumer Comments. All properly submitted difference between the original rent and Protection Act (‘‘the Economic Growth comments and communications the rent that increases due to increased Act’’) was signed into law on May 24, submitted to HUD will be available for earned income is credited to an interest- 2018, amending HUD’s Family Self- public inspection and copying between bearing escrow account on behalf of the Sufficiency (FSS) program. Section 306 8 a.m. and 5 p.m., weekdays, at the family. Families that meet program of the Act made multiple amendments above address. Due to security measures requirements and successfully complete at the HUD Headquarters building, an to the FSS program, including changes the FSS program receive their accrued advance appointment to review the to the size calculation for the FSS FSS escrow funds, plus interest. No public comments must be scheduled by program, expanding the definition of formal restrictions exist on the use of calling the Regulations Division at 202– eligible family to include tenants of the escrowed funds, but many families 708–3055 (this is not a toll-free certain privately owned multifamily use the funds to help with the purchase number). Individuals with speech or projects subsidized with Project-Based of a home, debt reduction, post- hearing impairments may access this Rental Assistance (PBRA), updating the secondary education, or to start a new number via TTY by calling the toll-free FSS Contract of Participation (CoP), business. Federal Relay Service at 800–877–8339. In September 1991, HUD initially reducing burdens on Public Housing Copies of all comments submitted are implemented the FSS program by Agencies (PHAs) and multifamily available for inspection and notice 2 and the following year made assisted housing owners, clarifying downloading at www.regulations.gov. several additional changes to the FSS escrow account requirements, and FOR FURTHER INFORMATION CONTACT: program to implement amendments updating the program coordinator and For made by the Housing and Community action plan requirements. This proposed Public Housing FSS contact Anice S. Chenault, Office of Public and Indian Development Act of 1992 (Pub. L. 102– rule also includes additional changes to Housing, U.S. Department of Housing 550), approved October 28, 1992 (the reduce burden and streamline the and Urban Development, 451 7th Street 1992 Act). (See section 106 of the 1992 program for PHAs, owners, and eligible SW, Room 4120, Washington, DC 20410; Act.) On May 27, 1993, HUD issued an families. telephone number 502–618–6163 (this interim final rule implementing the FSS DATES: Comment due date: November is not a toll-free number); and for program in its Indian Housing program 20, 2020. Multifamily FSS contact Carissa L. at 24 CFR part 905, Public Housing ADDRESSES: Interested persons are Janis, Office of Multifamily Housing program regulations at 24 CFR part 962, invited to submit comments regarding Programs, U.S. Department of Housing and Section 8 program regulations at 24 this proposed rule. All communications and Urban Development, 451 7th Street CFR part 984. 56 FR 49588. On March must refer to the above docket number SW, Room 6152, Washington, DC 20410; 5, 1996, HUD streamlined the FSS and title. There are two methods for telephone number 202–402–2487 (this program by consolidating the Public submitting public comments. is not a toll-free number). The public is 1. Submission of Comments by Mail. encouraged to email questions to FSS@ 1 The Native American Housing Assistance and Comments may be submitted by mail to hud.gov. Persons with hearing or speech Self Determination Act of 1996 (25 U.S.C. 4101 et seq.) (NAHASDA) removed the application of the the Regulations Division, Office of impairments may access this number FSS program to IHAs. General Counsel, U.S. Department of through TTY by calling the toll-free 2 ‘‘Notice of FSS Program Guidelines’’ September Housing and Urban Development, 451 Federal Relay Service at 800–877–8339. 30, 1991 at 56 FR 49592.
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Housing and the Section 8 FSS (PCC) functions; and, establishing new § 984.103 Definitions regulations and by eliminating reporting requirements. Also, the The proposed rule streamlines and redundant or otherwise unnecessary Economic Growth Act provided new adds clarity to the definition of eligible provisions into 24 CFR part 984. 61 FR provisions for private owners of families. The term ‘‘eligible families’’ is 8814. multifamily assisted housing to set up defined under the proposed rule as On October 26, 1996, the Native their own FSS program or enter into a current Public Housing residents and American Housing Assistance and Self- Cooperative Agreement with another families receiving tenant-based or Determination Act of 1996 (NAHASDA) private owner or PHA to offer an FSS project-based assistance under section (25 U.S.C. 4101 et seq.) amended the program to the owner’s assisted 8(o). This means that participants in the United States Housing Act of 1937 by residents. Housing Choice Voucher (HCV) removing the language applying the FSS homeownership program (under section program to IHAs. HUD subsequently II. This Proposed Rule—Summary of 8(y) of the U.S. Housing Act of 1937) are removed the FSS regulations applicable Changes not eligible to participate in the FSS to the Indian Housing program. 63 FR This proposed rule implements program. However, participants in the 12334. Lastly, on March 29, 2000, HUD changes and streamlines the FSS Project Based Voucher (PBV) program implemented changes to the FSS program, removes any reference to the program made by the Quality Housing (under section 8(o)(13) of the U.S. certificate program and updates and Work Responsibility Act of 1998 Housing Act of 1937) are eligible to definitions, as required by the Economic (title V of the FY 1999 HUD participate. The proposed regulations Growth Act. HUD makes changes to the Appropriations Act, Pub. L. 105–276, include definitions for ‘‘owner’’ and existing FSS regulations at 24 CFR part 112 Stat. 2518, approved October 21, ‘‘multifamily assisted housing’’ to 984 and adds a new 24 CFR part 887 to 1998), which amended the United States clarify the newly expanded applicability address the FSS program for owners of Housing Act of 1937 (42 U.S.C. 1437, et of regulations for owners of multifamily multifamily assisted housing. HUD also seq.) by changing the definition of assisted housing (also known as Project- updates references to PHAs and owners welfare assistance, the minimum Based Rental Assistance (PBRA)) under and clarifies the provisions that would program size, action plan, and section 8 of the 1937 Act. portability. 65 FR 16691. apply to both when operating an FSS Similarly, the following terms have More recently, the 2015 Consolidated program. Owners would be subject to been added to provide clarity to the Appropriations Act (Pub. L. 113–235), the requirements only if they are process of calculating an FSS family’s approved December 26, 2014, operating a voluntary program pursuant escrow: ‘‘baseline annual earned authorized a demonstration of the FSS to cross-references in 24 CFR part 887. income’’; ‘‘baseline monthly rent’’; program for multifamily assisted The following describes the significant ‘‘current annual earned income’’; and housing owners. In August 2016, HUD changes to the regulation: ‘‘current monthly rent.’’ In the definition of baseline annual earned provided the requirements for The Public Housing FSS Program multifamily assisted housing owners income, the proposed rule instructs seeking to implement a voluntary FSS § 984.101 Purpose, Applicability, PHAs and owners to add back any program by notice. See Family Self- Scope disregard of earned income associated Sufficiency Program in Multifamily, with self-sufficiency initiatives that may The purpose and applicability in Housing Notice: H–2016–08, August 26, be applicable in the determination of § 984.101 has minor technical changes. 2016. The notice incorporated many of family income. This will help ensure The scope of the regulations, paragraph the definitions and requirements that that escrow amounts are the result of (c), is amended by removing subsections are found in 24 CFR part 984 and increases in earned income while the (1), (2), (3)(i), and (3)(ii) and by adding applied them to the voluntary FSS family is in the FSS program (as a generic reference to § 984.105, which program for multifamily owners. opposed to credit for progress made On May 24, 2018, the Economic provides that PHAs must continue an before entering the FSS program). Growth, Regulatory Relief, and FSS program if they were required to Additionally, the definitions of Consumer Protection Act (the have one as of May 24, 2018. Therefore, ‘‘baseline monthly rent’’ and ‘‘current ‘‘Economic Growth Act’’) was signed the citation to specific fiscal year (FY) monthly rent’’ take into account the use into law (Pub. L. 115–174), and section funding is removed and replaced by a of flat rents and ceiling rents for Public 306 of title III, Protection for Veterans, general requirement that PHAs receiving Housing families. This ensures that Consumers and Homeowners, amended funding under section 8(o) and section families paying a flat rent or ceiling rent the United States Housing Act of 1937 9 are required to comply with § 984.105. that is less than their income-based rent (42 U.S.C. 1437, et seq.), FSS program. A non-participation paragraph is also will escrow only up to the amount of The changes include updating the added to this section, to clarify that a rent that they are actually paying (flat/ mandatory size of a PHA’s required FSS family’s rental assistance shall not be ceiling rent). A definition for the term program and available exceptions; delayed or terminated by reason of a ‘‘FSS family in good standing’’ has been updating definition of eligible families; family electing not to participate in an added because this term is used in allowing family members other than the FSS program. § 984.305(c)(1) and (f)(2) of the proposed Head of Household to sign the Contract § 984.102 Program Objectives rule. of Participation (CoP) and to meet the Section 306 of the Economic Growth employment obligation; amending the HUD makes a minor amendment to Act changes the requirement that a PHA process for providing supportive this section, including a change directly deliver supportive services, to services; expanding the time period for clarifying that HUD will evaluate the requiring that a PHA or owner must participating in the FSS program; performance of a local FSS program only coordinate the availability of amending the requirements pertaining using a scoring system that measures supportive services but not directly to the management of the escrow graduation from the program, increased deliver. Also, section 306 makes slight account, including the requirements for earned income, program participation, changes to the list of supportive services forfeiture of the escrow funds; amending and similar factors, as provided by HUD that may be coordinated through the the Program Coordinating Committee through a Federal Register notice. FSS program. The proposed rule revises
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the definition of supportive services to provisions concerning how to calculate the PHA’s administrative conform to these statutory changes. the reduction in the total number of responsibilities at the end of the The following terms have been Public Housing units and Section 8 exception? revised to conform to changes described units over time, as used to determine § 984.106 Cooperative Agreements later in this preamble: ‘‘FSS family,’’ the minimum FSS program size, remain ‘‘FSS slots,’’ ‘‘head of the FSS family,’’ the same. Therefore, the proposed rule Section 306 of the Economic Growth and ‘‘Individual Training and Services replaces the complex formula for Act provides that a PHA may enter into Plan’’ (ITSP). In addition, the following determining a PHA’s program size with a Cooperative Agreement with one or terms have been removed because they the language from the statute indicating more owners of multifamily properties refer to obsolete programs that are no that a PHA’s program size must equal to voluntarily make an FSS program longer referenced in the regulation: Job the total number of families required to available to the owner’s assisted tenants. Opportunities and Basic Skills Training be served as of May 24, 2018, as a The PHA would manage the service (JOBS) and Jobs Training and starting point. coordination for eligible families that Partnership Act (JTPA) programs. The PHAs should continue to use the are covered under the Cooperative Economic Growth Act changed the term formula that HUD issued in its final rule Agreement. This new section would of the FSS contract so an FSS family on March 5, 1996, 61 FR 8815, provide that in addition to complying will be required to fulfill their consistent with the statutory with the rest of part 984, the PHA obligations under the CoP no later than requirement that as of October 1, 1992, administering the FSS program must do 5 years after the first recertification of the Secretary shall require PHAs that so in accordance with the requirements income after the execution date of the administer assistance under subsection in this section. Those requirements are contract. HUD is revising the definition (b) or (o) of 42 U.S.C. 1437f or makes as follows: (1) FSS program waiting lists of the effective date of the CoP from the available new public housing dwelling must be open to all eligible families first day of the month following the units, to carry out a local FSS program. residing in the multifamily properties month in which the parties executed the The proposed rule maintains covered by the Cooperative Agreement; contract to the date the parties execute reference to the reduction of the (2) escrow amounts must be managed by (sign) the contract. minimum program size in each owner, including calculating and Question 1: HUD requests feedback on § 984.105(b)(2). Specifically, the tracking of the escrow must be done in how the proposed rule defines the proposed rule revises that paragraph to accordance with § 984.305; (3) an effective date of the CoP. Specifically, allow for a reduction of the minimum owner’s assisted families covered by the are there rent or other implications program size by one slot for each family Cooperative Agreement may be part of which would cause the proposed that graduates from the FSS program, the calculation of the FSS award under definition to be an issue? from either rental assistance program §§ 984.107 and 984.302; (4) FSS funds (Public Housing or Section 8) by awarded to the PHA may be used by the § 984.104 Basic Requirements of the fulfilling its FSS CoP on or after October FSS Program PHA to serve an owner’s assisted 21, 1998. This change conforms to families covered by the Cooperative The proposed rule revises § 984.104 to section 306 and to HUD’s Agreement; and (5) the Cooperative add reference to the regulatory citations implementation of FSS alternative Agreement must clearly specify the for the program. requirements in the Waivers and terms and conditions of such agreement. § 984.105 Minimum Program Size Alternative Requirements for the FSS Question 3: HUD specifically requests Program Federal Register Notice (79 FR comments on whether this list is Some PHAs are statutorily required to 78100, December 29, 2014). comprehensive or if other items should operate an FSS program as a result of The proposed rule also conforms to be required of PHAs and owners accepting increased funding for the list of local circumstances that make entering into a Cooperative Agreement. vouchers and Public Housing between it unfeasible for a PHA to operate an the inception of the FSS program in FSS program and for which the PHA § 984.107 FSS Award Funds Formula 1990 and the Quality Housing and Work may get HUD approval for an exception Section 306 of the Economic Growth Responsibility Act in 1998. Current to program operation or an exception to Act provides the Secretary the authority regulation addresses the minimum operate a smaller program. HUD has to award funds by formula and set forth program size separately for the Public taken this opportunity to change the new procedures and processes. This Housing FSS and the Section 8 FSS duration of any HUD-approved section incorporates the statutory programs; however, FSS funding exception from 3three years to five language providing that the Secretary streams have been combined since the years. HUD proposes that an increase of may establish a formula by which funds Consolidated Appropriations Act, 2014, HUD-approved exceptions to five years for administration of the FSS program Public Law 113–76, 128 Stat. 5, enacted is a more reasonable timeframe and are awarded and indicating any changes January 17, 2014. This unification of the provides for PHAs at the end of such to such formula, as permitted by statute, FSS program is further reflected in period, to restart the exception approval are accomplished by notice in the section 306 of the Economic Growth process (if seeking to continue the Federal Register. Act. The proposed rule revises the exception). Additionally, if provisions concerning the circumstances change within those five § 984.201 Action Plan determination of the minimum program years, PHAs are not required to carry Technical revisions to the list of size to conform to the unified FSS through the exception for the full five parties who should be consulted in program. Specifically, the proposed rule years. developing an action plan and the clarifies that when determining the Question 2: HUD welcomes feedback contents of the plan are included in this minimum program size (i.e., the regarding this change. Specifically, do section of the proposed rule, to conform minimum number of families that a commenters agree that five years is a with the slight changes under section PHA must serve in its FSS program), the more reasonable duration for a HUD- 306 of the Economic Growth Act. relevant figure is the total number of approved exception? Or is there another Additionally, since all PHAs would Public Housing units plus the total timeframe that would more accurately have already submitted an FSS Action number of Section 8 units. The balance changes in circumstances and Plan, HUD has taken this opportunity to
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remove the reference to the initial family in consultation with the PHA or Consistent with the change to submission of an FSS Action Plan for owner, is eligible to execute the paragraph (a), paragraph (b)(4) is PHAs with mandatory programs. The contract. changed to reflect that employment section also indicates that owners Question 4: While HUD has carefully must be maintained by the head of the operating a voluntary FSS program considered all areas of the regulation FSS family, not the Head of Household, would be required to have an approved that are impacted by this change, and consistent with the statutory change FSS Action Plan but distinguishes the revised them accordingly, HUD requests permitting participation in the FSS level of consultation required of PHAs comment on whether there are other program by any adult member of the versus owners. This distinction, on FSS places that such clarification should be family. Also, as required by the requirements for owners in 24 CFR part included. Economic Growth Act, HUD is deleting 887, is discussed further below. The proposed rule revises the amount § 984.303(b)(5)(iii), which currently of time a family must be independent indicates that the PHA could terminate § 984.202 Program Coordinating from welfare assistance prior to or withhold the family’s Section 8 Committee (PCC) expiration of the CoP, in § 984.303 assistance for non-compliance with the HUD takes this opportunity to revise (b)(2). Currently, one of the required COP. Eliminating the ability of a PHA to the provisions concerning required PCC goals for a family is that it must be terminate or withhold assistance is membership to streamline, simplify, and independent from welfare assistance for expected to incentivize greater unify such provisions. Specifically, the 12 months before the expiration of the participation in the FSS program. With proposed rule would continue to require FSS CoP. In this proposed rule, a family respect to 984.303(d), HUD proposes to representatives from the participating must be independent from welfare at the expand the definition of ‘‘good cause’’ PHA to be members of the PCC and time of graduation from FSS but not for a contract extension in paragraph require an FSS Coordinator or independent for a specified time period (d), to include the active pursuit of a Coordinators to be PCC members as prior to graduating from the FSS goal that will further self-sufficiency, well. Additionally, the proposed rule program. This change would ensure that such as a college degree or credit repair would require that at least one resident an FSS family’s successful graduation, program. Additionally, any extension of participant from each HUD-assisted and access to escrow funds, is not the contract must be made pursuant to program served by FSS is a member of jeopardized if they do not meet the 12- a current or additional stated goal for the PCC. PHAs would no longer be month time period, if the family has the FSS family. required to formally solicit such worked successfully towards all the Question 7: HUD requests comments participants from the resident groups other goals. It also provides some on whether this definition should be identified in the regulation. Rather, administrative relief to PHAs and clarified to include additional PHAs may seek such group’s assistance, owners who would no longer have to circumstances, like serious illness or if needed, to identify such participants. ensure that families have met the 12- involuntary loss of employment, which The provisions concerning month time period. HUD welcomes are already causes for extension. recommended membership in feedback regarding this change. Paragraph (g) is amended to remove § 984.202(b)(2) and alternative Specifically: the provision that automatically committees in § 984.202(c) have also Question 5: Would commenters completes the FSS contract when thirty been revised to conform to changes recommend giving PHAs the discretion percent (30%) of the family’s adjusted made in section 306 of the Economic to set a specified time period (up to a monthly income equals or exceeds the Growth Act. Specifically, reference to maximum)? Is 12 months a reasonable Fair Market Rent (FMR). HUD believes the JOBS and JTPA programs have been maximum? What are some of the that the thirty percent (30%) provision replaced with reference to programs benefits and challenges PHAs face with no longer aligns effectively with current under the Workforce Innovation and the current 12-month time period? HCV requirements and creates Opportunity Act. In addition, at least Question 6: How would requiring confusion among FSS coordinators and one participant of each HUD-assisted families to be independent from welfare partners. Removal of this provision program served by FSS must be for a specified time period link with would allow FSS families to use the FSS consulted in determining whether to use Temporary Assistance for Needy program to its full potential. an existing entity as the PCC. Families (TANF) requirements? How Question 8: HUD requests comments would it enhance or obstruct such on the removal of this automatic § 984.302 FSS Funds requirements? completion provision; and, whether This rule adds that a PHA or owner Question X: Would removing the 12- there are circumstances where an FSS may use FSS funds for costs associated month requirement decrease the contract should be automatically with families who are enrolled in an incentive for participants to completed. FSS program under this part, including permanently stay off welfare? The section has a new paragraph (k) through a Cooperative Agreement with HUD adds language in paragraph that discusses the nullification of a CoP. an owner of multifamily assisted (b)(2) that the FSS family goals must Nullification would occur when the housing in accordance with § 984.106. comply with the parameters of the FSS PHA or owner determines that services terms and conditions as prescribed by integral to an FSS family’s advancement § 984.303 Contract of Participation HUD, and the PHA or owner may not towards self-sufficiency are unavailable The Economic Growth Act revises the modify or add additional required or when the head of the FSS family requirement that the Head of Household activities that must be completed by becomes permanently disabled and (for rental assistance purposes) must be every participant. Specifically, HUD unable to work or dies during the period the person to execute the Contract of requires that the CoP represent an of the contract, unless the PHA or owner Participation (CoP). Instead, it allows individualized training and service and the FSS family determine that it is any adult member of the FSS family to plan, and, thus, PHAs and owners possible to modify the contract to execute the CoP. The proposed rule should not require a certain number of designate a new head of the FSS family. revises paragraph (a) to incorporate this hours, rate of pay, or other mandatory The new paragraph describes the change and clarifies that an adult family requirements that apply to all management of the escrow funds in the member, as designated by the FSS participants across the board. case of nullification.
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Question 9: HUD requests comments Question 11: Current regulations do Question 12: While HUD recognizes about the language added regarding the not address whether escrow should be that owners would not have the same handling of escrow funds in the case of credited to a family’s FSS account if the flexibility that PHAs have for this type nullification. family does not pay rent on time. HUD of income recertification, HUD requests requests comments on whether the comments from the public as to whether § 984.304 Amount of Rent Paid by FSS this should be available to multifamily Family and Increases in Family Income family’s FSS account should be credited for late payments. Please provide owners as it is for PHAs. The proposed rule revises the comments both on regulation and on Pursuant to the Economic Growth provision concerning increases in how the regulation could be Act, § 984.305(b) is revised to update family income. Prior to the Economic implemented, especially in the case of the calculation of the escrow amount Growth Act, an FSS family’s increases the voucher programs where rent is paid and to remove any language that does in earned income during their to landlords and not directly to the not conform with the Act. Specifically, participation in FSS could not be PHAs. the statute, and the proposed rule, considered as income or a resource for The proposed rule revises the removes any difference in the eligibility for other benefits, or amount provision concerning reduction of calculation of escrow between very low- of benefits payable to the family, under amounts due by the FSS family under income and low-income families. HUD any HUD program, unless the family paragraph (a)(2)(iii) of this section. has also taken the opportunity to further income equaled or exceeded 80 percent Under current regulation, the balance on update and streamline the escrow of the area median income. The a family’s FSS escrow account must be calculation. The proposed rule no Economic Growth Act removes this last reduced before prorating the interest longer differentiates in how family rent provision and allows an FSS family’s income, by amounts not paid by the is defined for the Public Housing and increases in earned income during their family for rent, or any other amounts the HCV programs. Instead, the participation in FSS to be excluded as due by the family under the applicable proposed rule adds a new set of income or a resource regardless of housing program. Such amounts are also definitions, as described in § 984.103 of whether the family income equals or reduced from a family’s FSS escrow this preamble, to provide further clarity exceeds 80 percent of the area median balance at the time of final escrow to the process of calculating the escrow income. Additionally, HUD streamlines disbursement. The proposed rule no credit. The proposed rule changes the this section by removing a reference to longer requires that the balance on a calculation of escrow to the lower of: (i) the calculation of rent for the rental Thirty (30) percent of one-twelfth (1/12) certificate participants because the family’s escrow account be reduced by certificate program is obsolete and adds these amounts each time interest (i.e., two and a half (2.5) percent) of the the regulatory citations for calculation income is prorated. Instead, the total amount by which the family’s current of rent for the PBV program. balance on a family’s FSS escrow annual earned income exceeds the account (including interest accrued over family’s baseline annual earned income; § 984.305 FSS Account the life of the escrow account) is or (ii) the amount by which the family’s Section 984.305(a)(2)(i) of the current reduced by such amounts only at the rent has increased. This calculation regulation requires that, during the term time of final escrow disbursement in ensures that the FSS escrow credit is of the FSS contract, the PHA credits the accordance with § 984.305(c). HUD limited to increases in the amount of escrow amount to each family’s FSS believes that the regulation rent paid by the family that is account periodically but not less than appropriately addresses amounts due by attributable to increases in earned annually. The proposed rule revises and the family by adjusting the family’s FSS income. In the first part of the clarifies the requirement by escrow balance only at the time of final calculation, one-twelfth is used to differentiating between ‘‘determining escrow disbursement. This change also calculate the growth in monthly, instead the FSS escrow amount’’ and ‘‘crediting streamlines management of the FSS of annual, earned income, and 30 that FSS escrow amount’’ to a family’s escrow account and provides percent is used because that’s the FSS account. Under the proposed administrative relief to FSS PHAs and percentage of adjusted income generally change, during the term of the CoP, the owners. used to determine the family’s monthly PHA must determine the monthly HUD is proposing to address the rent. escrow credit amount at each requirements concerning updating The second part of the calculation, reexamination of income occurring after income information prior to the which looks at increases in the family’s the effective date of the CoP. That execution of an FSS CoP. Current FSS rent, uses the lower of: (A) The amount amount is then deposited (i.e., credited) regulations do not address this by which the family’s current monthly every month into each family’s FSS requirement; however, the FSS CoP rent exceeds the family’s baseline account. This change aligns the (form HUD–52650) requires PHAs to monthly rent; (B) for HCV families, the calculation of the FSS escrow amount conduct an income recertification if difference between the baseline monthly with the timing of the family’s more than 120 days have passed rent and the current gross rent (i.e., rent reexamination of income and provides between the effective date of the last to owner plus any utility allowance) or the ability to report real-time income recertification and the effective the payment standard, whichever is information on a family’s FSS account. date of the CoP. HUD believes this is lower; or (C) for PBV families, the The requirement to provide an FSS best left to PHA/owner discretion and is difference between the baseline monthly escrow account report to the family, at adding language to § 984.305(b)(1) to rent and the current gross rent (i.e., rent least annually, has not changed; explicitly afford PHAs and owners to owner plus any utility allowance). however, a family may inquire about discretion to decide whether to conduct This ensures that families are not their FSS escrow balance at any time. a new income recertification if more escrowing more than the current gross Question 10: Is the proposed time than the period specified by the rent for the unit (i.e., rent to owner plus frequency of depositing escrow amounts PHA or owner has passed between the any utility allowance) or the payment to a family’s FSS account reasonable? effective date of the last income standard (for HCV families). And, it Should HUD consider another recertification and the effective date of more accurately applies HCV and PBV frequency, and why? the CoP. rent rules to the calculation of escrow.
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To put it another way: If a family has for participating families, if those funds continue to participate in the initial no change in earned income, but rent are offset by the increase in the amount PHA’s FSS program, if the FSS family does go up for whatever reason (flat rent of rent paid by the family. Such an demonstrates to the satisfaction of the is recalculated, a non-income-based rent offset would not be possible if the initial PHA that the family will be able increase kicks in, an income disregard family is not under a lease and, to fulfill its responsibilities under the ends, increase in non-earned income, consequently, not paying rent. FSS contract. The proposed rule revises decrease in deductions, etc.), the Section 984.305(f) currently provides this framework, by instead requiring paragraph (i) calculation will be lower. that escrow funds are forfeited when the that the receiving PHA enroll into its Or, a family has a change in earned FSS contract is nullified under FSS program FSS families that port, income, but rent does NOT go up (due § 984.303(e), in cases where supportive unless the receiving PHA and the initial to flat rent, ceiling rent, income services integral to the FSS family are PHA agree to the family’s continued disregard, or some other non-income- unavailable to the FSS family. HUD participation in the initial PHA’s FSS based rent model) then the paragraph proposes to change the policy and allow program. This change facilitates the (ii) calculation will be lower. escrow funds to be disbursed to the FSS continuity of services and case HUD will update the current FSS family in the case of a nullified contract. management to the family, it facilitates escrow calculation worksheet applicable HUD believes that disbursement of the family’s move, and it prevents the to HCV and Public Housing families to escrow funds is justified because potential loss of escrow funds. The conform with the regulatory changes nullification of the CoP under these change also recognizes that each PHA and to provide further clarity. HUD has circumstances is at no fault of the retains responsibility for certain FSS made available a copy of the revised family. Paragraph (c)(3) has been added tasks after a portability move; therefore, worksheet with this proposed rule in to address this change and paragraph (f) receiving PHAs should have input on Appendix A. To review and test the has been modified to remove reference whether the family may continue to proposed Sample FSS Escrow to forfeiture of escrow for nullified participate in the initial PHA’s FSS Calculation Worksheet, please find on contracts. program. Additionally, since this the HUD FSS web page: https:// Paragraph (f) is amended to conform change is only applicable to families www.hud.gov/program_offices/public_ with the statutory change under the that were already enrolled in FSS prior indian_housing/programs/hcv/fss. Economic Growth Act, which provides to the portability move, HUD expects Please submit comments on the that forfeited FSS escrow funds must be that this change will only impact a proposed worksheet using the same used for the benefit of FSS participants small number of families and PHAs. process as commenting on the Proposed in good standing. The section provides The proposed rule addresses a Rule. The Housing office will be the following list of activities for which scenario, not previously addressed in creating a similar calculation worksheet forfeited escrow funds may be used: the regulation, in which a relocating that reflects any differences in escrow Support for FSS participants in good FSS family moves to a receiving PHA calculation in the multifamily program. standing; training for program that does not administer an FSS Question 13: Does the streamlined coordinators; and, other eligible program. Under the proposed rule, escrow calculation, as reflected in the activities as determined by the continued FSS participation under this regulation and the revised escrow Secretary. A list of ineligible uses will scenario is not possible. The proposed calculation form, effectively simplify be included. rule recognizes that there may be several the calculation of escrow? Are there Question 14: HUD requests comment options (for example, modification of elements of the calculation that should on what definition should apply for the FSS contract to graduate the family, be done differently? This includes how ‘‘participants in good standing’’ and termination of the FSS contract and to address alternatives to income-based whether HUD should add items to the forfeiture of escrow, or locating a rents and any other specific situations eligible activities list for which forfeited receiving PHA that administers an FSS you may encounter at your PHA. If so, escrow funds may be used? program) available to the family and why and how? For PBRA Owners— requires that the initial PHA discuss § 984.306 HCV Portability please comment on any sections of the those options with the family for them Requirements escrow calculation worksheet that to make a fully informed decision. should be modified for PBRA FSS HUD has taken this opportunity to Continued FSS participation under participants. Please submit proposed change several provisions concerning these circumstances is not possible edits to the form if needed. FSS families that move with continued because the receiving PHA would be Section 984.305(b)(4) is also revised HCV assistance from the jurisdiction of responsible for certain FSS tasks after to address the impact on escrow for one PHA to the jurisdiction of another the move (even if the family continues HCV families who are in the process of PHA under portability. This section of to participate in the initial PHA’s FSS moving to a new unit, in accordance the proposed rule seeks to carefully program), and it would be burdensome with HCV program requirements, and balance the complexities of a portability to require a receiving PHA to manage that are not under a lease during that move, the shared FSS responsibilities such tasks for a small number of FSS time. Specifically, § 984.305(b)(4) is between PHAs, and giving the FSS families, especially in light of the revised to clarify that escrow credits family that ports the best opportunity to administrative complexity of a cease during the HCV family’s search successfully complete the FSS program. portability move, which would be period if the family is not under a lease. In addition to the changes described in further complicated by the shared FSS Escrow credits resume once the family the following paragraphs, editorial responsibilities between PHAs. finds a unit and enters into a lease. HUD changes have been made to this section Another situation not previously interprets the FSS statute as requiring for clarity. addressed in the regulation is also the payment of rent by a family in Under the current FSS regulation, a addressed in the proposed rule. That is, calculating the amount of the family’s receiving PHA may, at its discretion, when a family who was not enrolled in escrow credit. Similarly, the FSS statute enroll into its FSS program an FSS FSS before the move requests provides that an eligible entity may use family that ports into its jurisdiction. enrollment in the receiving PHA’s FSS funds it controls under section 8 for And, the initial PHA may determine program. The proposed rule states that purposes of making the escrow deposit that an FSS family that ports may if the receiving PHA, at their discretion,
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absorbs the family into its HCV voluntary, and an owner must not delay and the portability requirements at program, the receiving PHA may, also at or terminate assistance under Section 8 § 984.306. All other provisions are their discretion, enroll the family into for a family that elects not to participate adopted either in part or in whole in its its FSS program. Receiving PHAs must in an FSS program. application to multifamily assisted consistently apply their existing FSS housing. § 887.103 Definitions enrollment policies to families who Question 16: HUD specifically asks have ported into their jurisdiction and The definitions for multifamily for comments on whether the exclusion request to enroll in the receiving PHA’s assisted housing are the same as those or inclusion of certain requirements for FSS program. If the receiving PHA will for PHAs in § 984.103, except that the multifamily assisted housing bill the initial PHA for the housing eligible families in 24 CFR part 887 regulation is appropriate. Specifically, assistance payments, the family cannot means tenants of multifamily assisted HUD excluded the family selection enroll in the receiving PHA’s FSS housing. process at § 984.203 because HUD does program. This restriction recognizes, as § 887.105 Basic Requirements for FSS not believe those requirements would be mentioned previously, the Program necessary due to the size of most administrative complexity of a multifamily assisted housing FSS portability move may be further HUD implemented a voluntary FSS programs. Additionally, HUD excluded complicated by the shared FSS program for multifamily assisted the creation of a PCC because it was not responsibilities between PHAs, and the housing through notice H 2016–08; the statutorily required for owners in the potential inefficiencies in the notice incorporated many of the FSS statute, but HUD does believe that administration of the FSS contract. provisions of 24 CFR part 984. For coordination with some of the members Question 15: HUD requests comment consistency among voluntary FSS of a PCC is essential in developing an on these proposed changes and programs, HUD proposes to make the Action Plan and successfully additions to the FSS portability FSS program requirements for implementing an FSS program. multifamily assisted housing consistent provisions and whether there are more § 887.107 Cooperative Agreements effective ways to address the balance with PHA requirements. These between the administrative complexity requirements will apply to both existing Section 306 of the Economic Growth for the PHA and the family’s desire to and new FSS programs. Specifically, an Act provides that owners may enter into participate in FSS. FSS program would be required to Cooperative Agreements with a PHA or operate in conformity with the other owner to offer an FSS program to § 984.401 Reporting regulations of 24 CFR part 887 and other their tenants. An owner entering into a The reporting section is amended to Section 8 regulations, as applicable. Cooperative Agreement with a PHA reflect the statutory requirement that Those 24 CFR part 984 requirements are must follow the requirements provided reports include the number of families as follows: (1) Coordination of in § 984.106. An owner entering into a enrolled and graduated, and the number supportive services as defined in Cooperative Agreement with another of established escrow accounts and § 984.103; (2) creation of an approved owner must do so in accordance with positive escrow balances. Action Plan, as described in § 984.201, the requirements in this section. The before operating an FSS program; (3) requirements are as follows: (1) Waiting Multifamily Housing FSS Program handling FSS funds consistent with lists must be open to all eligible families The Multifamily Housing FSS § 984.302; (4) entering into a CoP with residing in the properties covered by the program’s new subpart has eight eligible families, § 984.303; (5) Cooperative Agreement; (2) provide that sections that mirror the FSS program in management of escrow accounts, as escrow amounts are handled by each 24 CFR part 984. The sections are listed described in § 984.305; reporting owner and the calculating and tracking as the following: information pursuant to § 984.401; and of escrow must be done in accordance (6) operated in compliance with the with § 984.305; and (3) the Cooperative § 887.101 Purpose, Scope, and nondiscrimination and equal Applicability Agreement must clearly specify the opportunity requirements set forth in 24 terms and conditions of such agreement. This section provides for the purpose, CFR part 5. This section provides as Question 17: HUD specifically scope, applicability, and provision on follows: (1) Owners are permitted to requests comments on whether this list tenant nonparticipation. Consistent with make available and utilize onsite is comprehensive or if other items 24 CFR part 984, the purpose of the FSS facilities, as set forth in § 984.204; and should be required of owners entering program for multifamily owners is the (2) owners may employ appropriate into a Cooperative Agreement. same as for PHAs, to promote the staff, including a program coordinator to development of local strategies to administer its FSS program, and may § 887.109 Housing Assistance and coordinate the use of HUD assistance contract with an appropriate Total Tenant Payment and Increases in with public and private resources and to organization to establish and administer Family Income enable families eligible to receive HUD parts of the FSS program as provided by This section mirrors § 984.304 and assistance to achieve economic § 984.305. provides that housing assistance independence and self-sufficiency. The The section requires consultation payments for FSS families are the same new 24 CFR part 887 regulations with a Program Coordinating Committee as those provided to any other tenant provide the requirements that an owner (PCC) in creating an Action Plan, but it living in the property. Paragraph (b) must follow if the owner decides to does not require the creation of a PCC provides the process for determining implement an FSS program under § 984.202. The multifamily total tenant payment. Paragraph (c) independently or by way of a assisted housing regulation does not provides that when an FSS family’s Cooperative Agreement with a PHA or include minimum program size income increases during its another owner. The new 24 CFR part requirements at § 984.105 since FSS participation in an FSS program, the 887 regulations are not applicable to programs are voluntary; the formula increase may not be considered as PHAs that must follow 24 CFR part 984. award section applying only to income or a resource for purposes of Lastly, the section provides that tenant mandatory programs at § 984.107; the eligibility of the FSS family for other participation in an FSS program is family selection process at § 984.203; benefits, or amount of benefits payable
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to the FSS family, under any other determination must be made whether a Agency, unless prohibited by law, to program administered by HUD. For regulatory action is significant and; identify at least two existing regulations multifamily assisted housing, money therefore, subject to review by the Office to be repealed when the Agency that goes into escrow is offset by of Management and Budget (OMB), in publicly proposes for notice and additional housing assistance payment accordance with the requirements of the comment or otherwise promulgates a (HAP) to the owner from HUD as a order. This rule was determined to be a new regulation. In furtherance of this positive adjustment to the monthly ‘‘significant regulatory action’’ as requirement, section 2(c) of Executive voucher. defined in section 3(f) of the Executive Order 13771 requires that the new § 887.111 FSS Award Funds Formula Order, but not an economically incremental costs associated with new significant regulatory action, as regulations shall, to the extent permitted Section 306 of the Economic Growth provided under section 3(f)(1) of by law, be offset by the elimination of Act provides the Secretary the authority Executive Order 12866. Consistent with to award funds by formula and set forth existing costs associated with at least Executive Order 13563, this rule two prior regulations. For the reasons new procedures and processes. This implements the streamlining section incorporates the statutory discussed in the Regulatory Impact requirements of section 306 and Analysis, this proposed rule has been language providing that the Secretary provides additional flexibility for PHAs determined to be an Executive Order may establish a formula by which funds and multifamily owners. HUD has 13771 deregulatory action. for administration of the FSS program prepared an initial Regulatory Impact are awarded and indicating any changes Analysis (RIA) that addresses the costs Paperwork Reduction Act to such formula, as permitted by statute, and benefits of the proposed rule. are accomplished by notice in the HUD’s RIA is part of the docket file for In accordance with the Paperwork Federal Register. This section mirrors this rule. Reduction Act of 1995 (44 U.S.C. 3501– § 984.107. The docket file is available for public 3520), an agency may not conduct or IV. Findings and Certifications inspection in the Regulations Division, sponsor, and a person is not required to Office of General Counsel, Room 10276, respond to, a collection of information Regulatory Review—Executive Orders 451 7th Street SW, Washington, DC unless the collection displays a valid 12866 and 13563 20410–0500. Due to security measures control number. The information Executive Orders 12866 and 13563 at the HUD Headquarters building, collection requirements contained in direct agencies to assess all costs and please schedule an appointment to this proposed rule have been submitted benefits of available regulatory review the docket file by calling the to the Office of Management and Budget alternatives and, if regulation is Regulations Division at 202–402–3055 (OMB) under the Paperwork Reduction necessary, to select regulatory (this is not a toll-free number). Act of 1995 (44 U.S.C. 3501–3520) and approaches that maximize net benefits Individuals with speech or hearing assigned OMB control number 2577– (including potential economic, impairments may access this number 0178. environmental, public health, and safety via TTY by calling the Federal Relay effects; distributive impacts; and Service at toll-free 800–877–8339. The proposed rule would require equity). Executive Order 13563 changes to the existing approved emphasizes the importance of Executive Order 13771 paperwork to include multifamily, quantifying both costs and benefits, Executive Order 13771, entitled addition of a Notice of Funding reducing costs, harmonizing rules, and ‘‘Reducing Regulation and Controlling Availability (NOFA) narrative, and the promoting flexibility. Regulatory Costs,’’ was issued on Cooperative Agreement. The overall Under Executive Order 12866 January 30, 2017. Section 2(a) of reporting and recordkeeping burden are (Regulatory Planning and Review), a Executive Order 13771 requires an estimated as follows:
Number of Responses Total annual Hours per Description of information collection responses per year responses response Total hours
SF–424—Application for Federal Assistance ...... 750 1 750 0.75 563 SF–LLL—Disclosure of Lobbying Activities ...... 40 1 40 0.17 7 Form HUD 2880—Applicant, Recipient, Disclosure, Up- date Form (OMB No. 2510–0011) 3 ...... 800 1 800 0 0 NOFA Narrative ...... 20 1 20 10 200 Cooperative Agreements ...... 15 1 15 2 30 Form HUD–52755—Sample Contract Admin. Partnership Agreement ...... 20 1 20 0.17 3 Form HUD–2994–A You are Our Client (Optional Survey) (OMB No: 2535–0116) ...... 50 1 50 0 0 Form HUD–52651—FSS Application ...... 800 1 800 1.5 1,200 Action Plan ...... 73 1 10 10 730 Form HUD–52650—Contract of Participation ...... 1,000 10 10,000 .25 2,500 Form HUD–52652—Escrow Account Credit Worksheet ..... 600 90 54,000 .85 45,900 Form HUD–1044—Grant Agreement * ...... 700 1 250 N/A N/A Annual Report (Narrative)/Performance Report ...... 775 1 775 1 775 Form HUD–50058—Family Report (OMB No. 2577–0083) 900 50 45,000 0 0
Total ...... 26.69 51,908 *HUD–1044, Award/Amendment is completed by HUD staff, signed by the recipient of the grant, and returned to HUD. This form is a certifi- cation and HUD ascribes no burden to its use.
3 Burden hours for forms showing zero burden approval number cited or do not have a reportable hours in this collection are reflected in the OMB burden.
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In accordance with 5 CFR prepare and submit a comment, ensures multifamily owners. The burden 1320.8(d)(1), HUD is soliciting timely receipt by HUD, and enables reduction anticipated is more fully comments from members of the public HUD to make them immediately discussed in the accompanying and affected agencies concerning the available to the public. Comments Regulatory Impact Assessment (RIA). information collection requirements in submitted electronically through the For these reasons, HUD has determined the proposed rule regarding: http://www.regulations.gov website can that this rule would not have a (1) Whether the proposed collection be viewed by other commenters and significant economic impact on a of information is necessary for the interested members of the public. substantial number of small entities. proper performance of the functions of Commenters should follow the Notwithstanding HUD’s determination the agency, including whether the instructions provided on that site to that this rule will not have a significant information will have practical utility; submit comments electronically. effect on a substantial number of small (2) The accuracy of the agency’s Unfunded Mandates Reform Act entities, HUD specifically invites estimate of the burden of the proposed comments regarding any less collection of information; Title II of the Unfunded Mandates burdensome alternatives to this rule that (3) Whether the proposed collection Reform Act of 1995 (Pub. L. 104–4; will meet HUD’s objectives as described of information enhances the quality, approved March 22, 1995) (UMRA) in this preamble. utility, and clarity of the information to establishes requirements for Federal be collected; and agencies to assess the effects of their Executive Order 13132, Federalism (4) Whether the proposed information regulatory actions on State, local, and Executive Order 13132 (entitled collection minimizes the burden of the tribal governments, and on the private ‘‘Federalism’’) prohibits an agency from collection of information on those who sector. This rule does not impose any publishing any rule that has federalism are to respond; including through the Federal mandates on any State, local, or implications if the rule either: (1) use of appropriate automated collection tribal government, or on the private Imposes substantial direct compliance techniques or other forms of information sector, within the meaning of the costs on State and local governments technology (e.g., permitting electronic UMRA. and is not required by statute, or (2) submission of responses). Environmental Review preempts State law, unless the agency Interested persons are invited to meets the consultation and funding submit comments regarding the A Finding of No Significant Impact requirements of section 6 of the information collection requirements in with respect to the environment has Executive Order. This proposed rule this rule. The proposed information been made in accordance with HUD does not have federalism implications collection requirements in this rule have regulations in 24 CFR part 50 that and does not impose substantial direct been submitted to OMB for review implement section 102(2)(C) of the compliance costs on State and local under section 3507(d) of the Paperwork National Environmental Policy Act of governments nor preempt State law Reduction Act. Under the provisions of 1969 (42 U.S.C. 4332(2)(C)). The within the meaning of the Executive 5 CFR part 1320, OMB is required to Finding is available for public Order. make a decision concerning this inspection during regular business collection of information between 30 hours in the Regulations Division, List of Subjects and 60 days after the publication date. Office of General Counsel, U.S. 24 CFR Part 887 Therefore, a comment on the Department of Housing and Urban Development, 451 Seventh Street SW, Grant programs-housing and information collection requirements is community development, Public best assured of having its full effect if Room 10276, Washington, DC 20410– 0500. Due to security measures at the housing, Rent subsidies, Reporting and OMB receives the comment within 30 recordkeeping requirements. days of the publication. This time frame HUD Headquarters building, please does not affect the deadline for schedule an appointment to review the 24 CFR Part 984 Finding by calling the Regulations comments to the agency on the Grant programs-housing and proposed rule. Comments must refer to Division at 202–402–3055 (this is not a toll-free number). Individuals with community development, Grant the proposed rule by name and docket programs-Indians, Indians, Public number (FR–6085) and must be sent to: speech or hearing impairments may access this number via TTY by calling housing, Rent subsidies, Reporting and HUD Desk Officer, Office of the Federal Information Relay Service at recordkeeping requirements. Management and Budget, New 800–877–8339. Accordingly, for the reasons stated in Executive Office Building, the preamble, HUD proposes to amend Washington, DC 20503, Fax number: Regulatory Flexibility Act 24 CFR chapters VIII and IX as follows: 202–395–6947 The Regulatory Flexibility Act (RFA) ■ 1. Add part 887 to read as follows: and (5 U.S.C. 601 et seq.) generally requires Colette Pollard, HUD Reports Liaison an agency to conduct a regulatory PART 887—SECTION 8 HOUSING Officer, U.S. Department of Housing flexibility analysis of any rule subject to ASSISTANCE PAYMENTS and Urban Development, 451 7th notice and comment rulemaking PROGRAMS—FAMILY SELF- Street SW, Room 2204, Washington, requirements unless the agency certifies SUFFICIENCY PROGRAM DC 20410 that the rule will not have a significant Sec. Interested persons may submit economic impact on a substantial 887.101 Purpose, scope, and applicability. comments regarding the information number of small entities. As has been 887.103 Definitions. collection requirements electronically discussed in this preamble, this rule 887.105 Basic requirements of FSS. through the Federal eRulemaking Portal proposes to make changes to HUD’s 887.107 Cooperative agreements. at http://www.regulations.gov. HUD regulations to implement the Section 887.109 Housing assistance and total tenant strongly encourages commenters to 306 statutory changes and streamline payments and increases in family submit comments electronically. other requirements. HUD believes this income. Electronic submission of comments rule will overall reduce burden, 887.111 FSS Award Funds Formula. allows the commenter maximum time to including for small PHAs and Authority: 42 U.S.C. 1437u, and 3535(d).
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§ 887.101 Purpose, scope, and (6) Shall comply with the FSS funds FSS program may not be considered as applicability. provision, as described in § 984.302; income or a resource for purposes of (a) Purpose. (1) The purpose of the (7) Shall enter into Contracts of eligibility of the FSS family for other Family Self-Sufficiency (FSS) Program Participation with eligible families, as benefits, or amount of benefits payable is to promote the development of local described in § 984.303; to the FSS family, under any other strategies to coordinate the use of HUD (8) Shall establish and manage FSS program administered by HUD. assistance with public and private accounts as described in § 984.305; resources, to enable families eligible to (9) Shall report information to HUD as § 887.111 FSS Award Funds Formula. receive HUD assistance to achieve described in § 984.401; The Secretary may establish a formula economic independence and self- (10) Shall be operated in compliance by which funds for administration of the sufficiency. with the nondiscrimination and equal FSS program are awarded consistent (2) The purpose of this part is to opportunity requirements set forth in 24 with 42 U.S.C. 1437u(i). Notice of, and implement the policies and procedures CFR part 5. changes to, such formula will be applicable to operation of an FSS (b) An owner may employ appropriate published in the Federal Register. program under HUD’s Section 8 staff, including a program coordinator to ■ 2. Revise part 984 to read as follows: Housing assistance payments programs, administer its FSS program, and may as established under section 23 of the contract with an appropriate PART 984—SECTION 8 AND PUBLIC 1937 Act (42 U.S.C. 1437u). organization to establish and administer HOUSING FAMILY SELF-SUFFICIENCY (b) Scope. Each owner may parts of the FSS program. PROGRAM implement an FSS program independently or by way of a § 887.107 Cooperative agreements. Subpart A—General Cooperative Agreement with a Public (a) An owner may enter into a Sec. Housing Agency (PHA) or another Cooperative Agreement with: 984.101 Purpose, applicability, and scope. owner. Each owner that administers an (1) A local PHA that operates an FSS 984.102 Program objectives. FSS program must do so in accordance 984.103 Definitions. program, pursuant to § 984.106; or 984.104 Basic requirements of the FSS with the requirements of this part. (2) Another owner that operates an (c) Applicability. This part applies to Program. FSS program, pursuant to this section. 984.105 Minimum program size. owners of multifamily rental housing (b) Owners that enter into a 984.106 Cooperative agreements. properties assisted by Section 8 Housing Cooperative Agreement pursuant to this 984.107 FSS Award Funds Formula. assistance payments programs. See part subpart, must: 984 of this title for program regulations Subpart B—Program Development and (1) Open any FSS waiting lists to all Approval Procedures applicable to PHAs. eligible families residing in the (d) Nonparticipation. Tenant properties covered by the Cooperative 984.201 Action Plan. participation in an FSS program is 984.202 Program Coordinating Committee Agreement. (PCC). voluntary. Assistance under Section 8 (2) Provide periodic escrow amounts Housing assistance payments programs 984.203 FSS family selection procedures. to the program coordinator for FSS 984.204 On-site facilities. for a family that elects not to participate families covered by the Cooperative Subpart C—Program Operations in an FSS program shall not be delayed Agreement under this subpart. The or terminated by reason of such Cooperative Agreement must provide 984.301 Program implementation. election. that each owner is responsible for 984.302 FSS funds. managing the escrow accounts of their 984.303 Contract of Participation (CoP). § 887.103 Definitions. 984.304 Amount of rent paid by FSS family The definitions in 24 CFR 984.103 participating families, including and increases in family income. apply to this part, except that eligible calculating and tracking of escrow in 984.305 FSS account. families means tenant families living in accordance with § 984.305, and set forth 984.306 HCV portability requirements. multifamily assisted housing. the procedures for the sharing of escrow information between the PHA and the Subpart D—Reporting § 887.105 Basic requirements of FSS. owner. 984.401 Reporting. (a) An FSS program that is voluntarily (3) The Cooperative Agreement must Authority: 42 U.S.C. 1437f, 1437u, and established under this part by an owner clearly specify the terms and conditions 3535(d). must comply with the following of such agreement, including the requirements: requirements of this subsection. Subpart A—General (1) Shall be operated in conformity § 887.109 Housing assistance and total § 984.101 Purpose, applicability, and with the regulations of this part and scope. other Section 8 regulations, codified in tenant payments and increases in family income. 24 CFR parts 5, 402, 880, 881, 883, and (a) Purpose. (1) The purpose of the 884, respectively, and with FSS program (a) Housing assistance payment. The Family Self-Sufficiency (FSS) Program objectives, as described in § 984.102; housing assistance payment for an is to promote the development of local (2) Shall coordinate supportive eligible family participating in the FSS strategies to coordinate the use of HUD services as defined in § 984.103; program under this part is determined assistance with public and private (3) Shall have an Action Plan in accordance with the regulations set resources, to enable families eligible to approved by HUD, as described in forth in § 5.661(e). receive HUD assistance to achieve § 984.201, before operating an FSS (b) Total tenant payment. The total economic independence and self- program; tenant payment for an FSS family sufficiency. (4) Shall work with a Program participating in the FSS program is (2) The purpose of this part is to Coordinating Committee (PCC), as determined in accordance with § 5.628 implement the policies and procedures described in § 984.202, when available; of this title. applicable to operation of an FSS (5) May make available and utilize (c) Increases in FSS family income. program, as established under section onsite facilities, as described in Any increase in the earned income of an 23 of the 1937 Act (42 U.S.C. 1437u), § 984.204; FSS family during its participation in an under HUD’s public housing assistance
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and housing assistance under Section (i) The FSS family’s total tenant Current monthly rent means, for 8(o) programs. payment (TTP), as of the effective date purposes of determining the FSS credit (b) Applicability. This part applies to of the FSS contract, for families paying under § 984.305(b): PHAs administering either or both a an income-based rent as of the effective (i) The FSS family’s TTP as of the public housing program under section 9 date of the FSS contract; or most recent reexamination of income, and a project-based and/or tenant-based (ii) The amount of the flat or ceiling which occurs after the effective date of assistance program under section 8(o) of rent (which includes the applicable the FSS contract, for families paying an the U.S. Housing Act of 1937. See 24 utility allowance), and including any income-based rent as of the most recent CFR part 887 for program regulations hardship discounts, as of the effective reexamination of income; or applicable to owners of multifamily date of the FSS contract, for families (ii) The amount of the flat rent, assisted housing. paying a flat or ceiling rent as of the (which includes the applicable utility (c) Scope. Each PHA that administers effective date of the FSS contract. allowance), or ceiling rent and an FSS program must do so in Certification means a written including any hardship discounts, as of accordance with the requirements of assertion based on supporting evidence, the most recent reexamination of this part. See § 984.105 for more provided by the FSS family or the PHA income which occurs after the effective information concerning PHAs that are or owner, as may be required under this date of the FSS contract, for families required to administer an FSS program. part, and which: paying a flat rent or ceiling rent as of the (d) Nonparticipation. Participation in most recent reexamination of income. an FSS program is voluntary. A family’s (i) Shall be maintained by the PHA or owner in the case of the family’s Earned income means income or admission to the public housing or earnings included in annual income Section 8 programs cannot be certification, or by HUD in the case of the PHA’s or owner’s certification; from wages, tips, salaries, other conditioned on participation in FSS. A employee compensation, and self- (ii) Shall be made available for family’s housing assistance cannot be employment. Earned income does not inspection by HUD, the PHA or owner, terminated by reason of such election. include any pension or annuity, transfer and the public, as appropriate; and, § 984.102 Program objectives. payments, any cash or in-kind benefits, (iii) Shall be deemed to be accurate or funds deposited in or accrued interest The objective of the FSS program is to for purposes of this part, unless the on the FSS escrow account established reduce the dependency of low-income Secretary or the PHA or owner, as by a PHA or owner on behalf of a FSS families on welfare assistance and applicable, determines otherwise after family. housing subsidies. Under the FSS inspecting the evidence and providing Effective date of Contract of program, HUD assisted families are due notice and opportunity for Participation (CoP)—the day in which provided opportunities for education, comment. the FSS family and the PHA or owner job training, counseling, and other forms Chief Executive Officer (CEO). The execute the CoP. of social service assistance, while living CEO of a unit of general local Eligible families means current in assisted housing, so that they may government means the elected official or residents of Public Housing (section 9) obtain the education, employment, and the legally designated official, who has and current Section 8(o) program business and social skills necessary to the primary responsibility for the participants, as defined in this section, achieve self-sufficiency, as defined in conduct of that entity’s governmental including those participating in other § 984.103. The Department will evaluate affairs. local self-sufficiency programs. the performance of a local FSS program Contract of Participation (CoP) Enrollment means the date that the using a scoring system that measures means—a contract, in a form approved FSS family entered into the CoP with criteria such as graduation from the by HUD, entered into between an FSS the PHA or owner. program, increased earned income and family and a PHA or owner operating an Family Self-Sufficiency (FSS) Program program participation, as provided by FSS program that sets forth the terms means the program established by a HUD through a Federal Register notice. and conditions governing participation PHA or owner within its jurisdiction to § 984.103 Definitions. in the FSS program. The CoP includes promote self-sufficiency among (a) The terms 1937 Act, Fair Market all Individual Training and Services participating families, including the Rent, HUD, Low income family, Public Plans (ITSPs) entered into between the coordination of supportive services to Housing, Public Housing Agency (PHA), PHA or owner and all members of the these families, as authorized by section Secretary, and Section 8, as used in this family who will participate in the FSS 23 of the 1937 Act. part, are defined in Part 5 of this title. program, and which plans are attached FSS account means the FSS escrow (b) As used in this part: to the CoP as exhibits. For additional account authorized by section 23 of the Baseline annual earned income detail, see § 984.303. 1937 Act, and as provided by § 984.305. means, for purposes of determining the Current annual earned income means, FSS credit means the amount credited FSS credit under § 984.305(b), the FSS for purposes of determining the FSS by the PHA or owner to the FSS family’s family’s total annual earned income credit under § 984.305(b), the FSS FSS account. from wages and business income (if any) family’s total annual earned income FSS family means a family that as of the effective date of the FSS from wages and business income (if any) resides in Public Housing (section 9) or contract. In calculating baseline annual as of the most recent reexamination of receives Section 8(o) assistance, as earned income, all applicable income which occurs after the effective defined in this section, and that elects exclusions of income must be applied, date of the FSS contract. In calculating to participate in the FSS program, and except for any disregard of earnings current annual earnings, all applicable whose designated adult member, as associated with self-sufficiency exclusions of income will apply, determined in accordance with incentives that may be applicable to the including any disregard of earnings § 984.303(a), has signed the CoP. determination of annual income. associated with self-sufficiency FSS family in good standing means, Baseline monthly rent means, for incentives or other alternative rent for purposes of this part, an FSS family purposes of determining the FSS credit structures that may be applicable to the that is not in current eviction under § 984.305(b): determination of annual income. proceedings and is otherwise in
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compliance with any repayment assistance. Achievement of self- (B) Are not intended to meet recurrent agreement and the FSS CoP. sufficiency, although an FSS program or ongoing needs; and, FSS related service program means objective, is not a condition for receipt (C) Will not extend beyond four any program, publicly or privately of the FSS account funds. months. sponsored, that offers the kinds of Supportive services means those (ii) Work subsidies (i.e., payments to supportive services described in the appropriate services that a PHA or employers or third parties to help cover definition of ‘‘supportive services’’ set owner will coordinate on behalf of an the costs of employee wages, benefits, forth in this § 984.103. FSS family under a CoP, which may supervision, and training); FSS slots refers to the total number of include, but are not limited to: (iii) Supportive services such as child families (as determined in the Action (i) Child care—child care (on an as- care and transportation provided to Plan and, for mandatory programs, in needed or ongoing basis) of a type that families who are employed; section 105 of this part) that the PHA provides sufficient hours of operation (iv) Refundable earned income tax will serve in its FSS program. and serves an appropriate range of ages; credits; FY means Federal Fiscal Year (ii) Transportation—transportation (v) Contributions to, and distributions (starting October 1 and ending necessary to enable a participating FSS from, Individual Development Accounts September 30, and year designated by family member to receive available under Temporary Assistance for Needy the calendar year in which it ends). services, or to commute to their places Families (TANF); Head of FSS family means the adult of employment; (vi) Services such as counseling, case family member of the FSS family who (iii) Education—remedial education; management, peer support, child care has signed the CoP. The head of the FSS education for completion of high school information and referral, financial family may, but is not required to, be or attainment of a high school empowerment, transitional services, job the head of the household for purposes equivalency certificate; education in retention, job advancement, and other of determining income eligibility and pursuit of a post-secondary degree or employment-related services that do not rent. certification; provide basic income support; Individual Training and Services Plan (iv) Employment Supports—job (vii) Amounts solely directed to (ITSP) means: training, preparation, and counseling; meeting housing expenses; (i) A written plan that is prepared by job development and placement; and (viii) Amounts for health care; the PHA or owner in consultation with follow-up assistance after job placement (ix) Supplemental Nutrition the family member, and which sets and completion of the CoP; Assistance Program and emergency forth: (v) Personal welfare—substance/ rental and utilities assistance; (A) The final and interim goals for the alcohol abuse treatment and counseling; (x) Supplemental Security Income, participating FSS family member; (vi) Household management—training Social Security Disability Income, or (B) The supportive services to be in household management; Social Security; and provided to the participating FSS family (vii) Homeownership and housing (xi) Child-only or non-needy TANF member; counseling—homeownership education grants made to or on behalf of a (C) The activities to be completed by and assistance and housing counseling; dependent child solely on the basis of that family member; and, (viii) Financial Empowerment— the child’s need and not on the need of (D) The agreed upon completion dates training in financial literacy, such as the child’s current non-parental for the goals, services, and activities. financial coaching, training in financial caretaker. (ii) Each ITSP must be signed by the management, asset building, and money § 984.104 Basic requirements of the FSS PHA or owner and the participating FSS management, including engaging in Program. family member, and is attached to, and mainstream banking, reviewing and (a) An FSS Program established under incorporated as part of the CoP. An ITSP improving credit scores, etc.; this part shall be operated in conformity must be prepared for each adult member (ix) Other services—any other services with the requirements of this part, who elects to participate in the FSS and resources, including case including the action plan at § 984.201; program, including the adult family management, reasonable and: member who has signed the CoP. accommodations for individuals with (1) As applicable to Section 8(o) Multifamily assisted housing means disabilities, that are determined to be program participants: rental housing assisted by a Section 8 appropriate in assisting FSS families to (i) HCV regulations at 24 CFR part Housing Payments Program, pursuant to achieve economic independence and 982, for HCV program participants; and 24 CFR parts 880, 881, 883, 884, and self-sufficiency. (ii) PBV regulations at 24 CFR part 886. Unit size or size of unit refers to the 983, for PBV program participants. Owner means the owner of number of bedrooms in a dwelling unit. (2) As applicable to Public Housing multifamily assisted housing. Very low-income family. See program participants, the applicable Program Coordinating Committee definitions in § 813.102. Public Housing regulations, including (PCC) is the committee described in Welfare assistance means (for the regulations in 24 CFR parts 5, § 984.202. purposes of the FSS program only) subpart F, 960, and 966; and, Section 8(o) means assistance income assistance from Federal, (i.e., (3) The nondiscrimination and equal provided under section 8(o) of the 1937 Temporary Assistance for Needy opportunity requirements set forth in 24 Act (42 U.S.C. 1437f). Specifically, Families (TANF) or subsequent CFR part 5. housing assisted under the Housing program) State, or local welfare (b) [Reserved] Choice Voucher (HCV) Program, programs and includes only cash including Project-Based Vouchers maintenance payments designed to meet § 984.105 Minimum program size. (PBV). a family’s ongoing basic needs. Welfare (a) FSS program size—(1) Minimum Self-sufficiency means that an FSS assistance does not include: program size requirement. A PHA must family is no longer receiving Section 8, (i) Nonrecurrent, short-term benefits operate an FSS program of the Public Housing assistance, or any that: minimum program size determined in Federal, State, or local rent, (A) Are designed to deal with a accordance with paragraph (b) of this homeownership subsidies, or welfare specific crisis or episode of need; section.
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(2) Exception to program operation or program that is smaller than the (2) The owner must provide, at the to operate a smaller mandatory minimum program size. request of the PHA, information on program. Paragraph (c) of this section (d) Exception to operate a smaller escrow amounts for participating states when HUD may grant an mandatory program. Upon approval by multifamily assisted housing tenants. exception to the program operation HUD, a PHA may be permitted to The Cooperative Agreement must requirement, and paragraph (d) states operate an FSS program that is smaller provide that the owner is responsible for when an exception may be granted to than the minimum program size if the managing the escrow account, including operate a program that is smaller than PHA provides to HUD a certification, as calculating and tracking of escrow in the minimum program size. defined in § 984.103, that the operation accordance with § 984.305, and set forth (3) Option to operate larger FSS of an FSS program of the minimum the procedures that will be in place for program. A PHA may choose to operate program size is not feasible because of the exchange of escrow information an FSS program of a larger size than the local circumstances, which may between the PHA and the owner. minimum. include, but are not limited to: (3) The PHA may count multifamily (b) How to determine FSS minimum (1) Decrease in or lack of supportive assisted housing families served by a program size—(1) In general. Each PHA services accessible to eligible families, Cooperative Agreement under this that was required to administer an FSS including insufficient availability of subpart as part of the calculation of the program, shall continue to operate such resources for programs under title I of FSS award under §§ 984.107 and program for, at a minimum, the total the Workforce Innovation and 984.302. number of families the PHA was Opportunity Act (29 U.S.C. 3111 et (4) The PHA may use FSS funds to required by statute to serve as of May seq.); serve multifamily assisted housing (2) Decrease in or lack of funding for 24, 2018, subject only to the availability tenants subject to a Cooperative reasonable administrative costs; of sufficient amounts for housing Agreement under this section. assistance under appropriations acts (3) Decrease in or lack of cooperation by other units of State or local (5) The Cooperative Agreement must and the provisions of paragraph (b)(2) of clearly specify the terms and conditions this section. government; (4) Decrease in or lack of interest in of such agreement, including the (2) Reduction of minimum program requirements of this subsection. size. The minimum program size for a participating in the FSS program on the PHA’s FSS program is reduced by one part of eligible families. § 984.107 FSS Award Funds Formula. (e) Expiration of exception. A full or slot for each family from any rental partial exception to the FSS minimum The Secretary may establish a formula assistance program (Public Housing or program size requirement (approved by by which funds for administration of the Section 8, including multifamily HUD in accordance with paragraph (c) FSS program are awarded consistent assisted housing) for which the PHA or (d) of this section) expires five (5) with 42 U.S.C. 1437u(i). Notice of, and administers FSS under this section and years from the date of HUD approval of changes to, such formula will be that graduates from the FSS program by the exception. If circumstances change published in the Federal Register. fulfilling its FSS CoP on or after October and a HUD-approved exception is no 21, 1998. If an FSS slot is vacated by a Subpart B—Program Development and longer needed, the PHA is not required family that has not completed its FSS Approval Procedures to effectuate the exception for the full CoP obligations, the slot must be filled term of the exception. If a PHA seeks to by a replacement family which has been § 984.201 Action Plan. continue an exception after its selected in accordance with the FSS (a) Requirement for Action Plan. A expiration, the PHA must submit a new family selection procedures set forth in PHA or owner must have a HUD- request and certification to HUD for § 984.203. approved Action Plan that complies consideration. (c) Exception to program operation. with the requirements of this section (f) Review of Certification Records. (1) Upon approval by HUD, a PHA will before the PHA or owner operates an HUD reserves the right to examine, not be required to carry out an FSS FSS program, whether the FSS program during its management review of the program if the PHA provides to HUD a is a mandatory or voluntary program. PHA, or at any time, the documentation certification, as defined in § 984.103, and data that a PHA relied on in (b) Development of Action Plan. The that the operation of such an FSS certifying to the unfeasibility of its Action Plan shall be developed by the program is not feasible because of local establishing and operating an FSS PHA in consultation with the chief circumstances, which may include, but program, or of operating one of less than executive officer of the applicable unit are not limited to, the following: minimum program size. of general local government and the (i) Lack of supportive services Program Coordinating Committee. accessible to eligible families, including § 984.106 Cooperative agreements. Consultation for the Action Plan by the insufficient availability of resources for (a) A PHA may enter into a PHA or owner shall also include programs under title I of the Workforce Cooperative Agreement with one or representatives of current and Innovation and Opportunity Act (29 more owners to voluntarily make an prospective FSS program participants, U.S.C. 3111 et seq.); FSS program available to the owner’s any local agencies responsible for (ii) Lack of funding for reasonable multifamily assisted housing tenants. programs under title I of the Workforce administrative costs; (b) A PHA and owner that enter into Innovation and Opportunity Act (29 (iii) Lack of cooperation by other units a Cooperative Agreement to make an U.S.C. 3111 et seq.), other appropriate of State or local government; or, FSS program available, are subject to organizations (such as other local (iv) Lack of interest in participating in this part and the following welfare and employment or training the FSS program on the part of eligible requirements: institutions, child care providers, families. (1) The PHA must open its FSS financial empowerment providers, (2) An exception will not be granted waiting list to any eligible family nonprofit service providers, and private if HUD determines that local residing in the multifamily assisted businesses), and any other public and circumstances do not preclude the PHA housing covered by the Cooperative private service providers affected by the from effectively operating an FSS Agreement. operation of the local program.
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(c) Plan submission—(1) Voluntary (i) The efforts, including notification a joint FSS program with a PHA or program. The PHA or owner must and outreach efforts, to recruit FSS owner may combine its resources with submit its Action Plan and obtain HUD participants from among eligible one or more PHAs or owners to deliver approval of the plan before the PHA or families; and, supportive services under a joint Action owner carries out a voluntary FSS (ii) The actions to be taken to assure Plan that will provide for the program, including a program that that both minority and non-minority coordination of a combined FSS exceeds the minimum size for a groups are informed about the FSS program that meets the requirements of mandatory program, regardless of program, and how this information will this part. whether the voluntary program receives be made available. (f) Single action plan. A PHA or HUD funding. (7) FSS activities and supportive owner may submit one Action Plan that (2) Revision. Following HUD’s initial services. A description of the activities covers all applicable rental assistance approval of the Action Plan, no further and supportive services to be programs (Section 8 vouchers, PBRA approval of the Action Plan is required coordinated on behalf of participating and public housing) served by the FSS unless the PHA or owner proposes to FSS families and identification of the program. make policy changes to the Action Plan public and private resources which are or increase the size of a voluntary expected to provide the supportive § 984.202 Program Coordinating program; or HUD requires other services. Committee (PCC). changes. In such cases, the PHA or (8) Method for identification of family (a) General. Each participating PHA owner must submit such changes to the support needs. A description of how the must establish a PCC whose functions Action Plan to HUD for approval. FSS program will identify the needs and will be to assist the PHA in securing (d) Contents of Action Plan. The coordinate the services and activities commitments of public and private Action Plan shall describe the policies according to the needs of the FSS resources for the operation of the FSS and procedures for the operation of a families; program within the PHA’s jurisdiction, local FSS program, and shall contain, at (9) Program termination; withholding including assistance in developing the a minimum, the following information: of services; and available grievance Action Plan and in operating the (1) Family demographics. A procedures. A description of all policies program. description of the number, size, concerning termination of participation (b) Membership—(1) Required characteristics, and other demographics in the FSS program, or withholding of membership. The PCC must include (including racial and ethnic data), and coordination of supportive services, on representatives of the PHA, including the supportive service needs of the the basis of a family’s failure to comply one or more FSS coordinators, and one families expected to participate in the with the requirements of the CoP; and or more participants from each HUD- FSS program; the grievance and hearing procedures assisted program served by the PHA’s (2) Estimate of participating families. available for FSS families. FSS program. The PHA may seek A description of the number of eligible (10) Assurances of non-interference assistance from the following groups in FSS families who can reasonably be with rights of non-participating families. identifying potential PCC members: expected to receive supportive services An assurance that a family’s election not (i) An area-wide or city-wide resident under the FSS program, based on to participate in the FSS program will council, if one exists; available and anticipated Federal, tribal, not affect the family’s admission to (ii) If the PHA operates in a specific State, local, and private resources; public housing or to the Section 8 public housing development, the (3) Eligible families from other self- program or the family’s right to resident council or resident sufficiency programs. If applicable, the occupancy in accordance with its lease. number of families, by program type, (11) Timetable for program management corporation, if one exists, who are participating in other local self- implementation. A timetable for of the public housing development sufficiency programs and are expected implementation of the FSS program, as where the public housing FSS program to agree to execute an FSS CoP. provided in § 984.301(a)(1), including is to be carried out; (4) FSS family selection procedures. A the schedule for filling FSS slots with (iii) Any other resident group, which statement indicating the procedures to eligible FSS families, as provided in the PHA believes is interested in the be utilized to select families for § 984.301; FSS program and would contribute to participation in the FSS program, (12) Certification of coordination. A the development and coordination of subject to the requirements governing certification that development of the the FSS program (such as the Resident the selection of FSS families, set forth services and activities under the FSS Advisory Board or tenant association, as in § 984.203. This statement must program has been coordinated with applicable.). include a description of how the programs under title I of the Workforce (2) Recommended membership. selection procedures ensure that Innovation and Opportunity Act (29 Membership on the PCC may include families will be selected without regard U.S.C. 3111 et seq.); and any other representatives of the unit of general to race, color, religion, sex, disability, relevant employment, child care, local government served by the PHA, familial status, or national origin. transportation, training, and education local agencies (if any) responsible for (5) Incentives to encourage programs, and financial empowerment carrying out programs under title I of participation. A description of the in the applicable area, and that the Workforce Innovation and incentives that will be offered to eligible implementation will continue to be Opportunity Act (29 U.S.C. 3111 et families to encourage their participation coordinated, in order to avoid seq.), and other organizations, such as in the FSS program (incentives plan). duplication of services and activities; other State, local or tribal welfare and The incentives plan shall provide for and, employment agencies, public and the establishment of the FSS account in (13) Optional additional information. private primary, secondary, and post- accordance with the requirements set Such other information that would help secondary education or training forth in § 984.305, and other incentives, HUD determine the soundness of the institutions, child care providers, if any. The incentives plan shall be part proposed FSS program. financial empowerment organizations, of the Action Plan. (e) Eligibility of a combined program. nonprofit service providers, private (6) Outreach efforts. A description of: A PHA or owner that wishes to operate businesses, and any other public and
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private service providers with resources (d) Motivation as a selection factor— § 984.302 FSS funds. to assist the FSS program. (1) General. A PHA may screen families (a) Public housing program. Subject to (c) Alternative committee. The PHA for interest, and motivation to appropriations by Congress, PHAs may may, in consultation with the chief participate in the FSS program, use funds provided under section 9 of executive officer of the unit of general provided that the factors utilized by the the 1937 Act to cover reasonable and local government served by the PHA PHA are those which solely measure the eligible administrative costs incurred by and one or more residents of each HUD- family’s interest, and motivation to PHAs in carrying out the FSS program. assisted program served by the FSS participate in the FSS program. (b) Section 8(o) program. Subject to program, utilize an existing entity as the (2) Permissible motivational screening appropriations by Congress, PHAs may PCC if the membership of the existing factors. Permitted motivational factors use the administrative fees paid to PHAs entity consists, or will consist of, the include requiring attendance at FSS for costs associated with operation of an individuals identified in paragraph orientation sessions or preselection FSS program. (b)(1) of this section, and also includes interviews and assigning certain tasks (c) FSS funds. FSS funds associated individuals from the same or similar which indicate the family’s willingness with operation of an FSS program are organizations identified in paragraph to undertake the obligations which may established by the Congress and subject (b)(2) of this section. be imposed by the FSS CoP. Any tasks to appropriations. FSS funds may be assigned shall be those which may be used by PHAs or owners for costs § 984.203 FSS family selection readily accomplishable by the family, associated with families who are procedures. based on the family members’ enrolled in an FSS program under this (a) Preference in the FSS selection educational level, and disabilities, if part, including through a Cooperative process. A PHA has the option of giving any. Reasonable accommodations must Agreement in accordance with a selection preference for up to fifty (50) be made for individuals with § 984.106. percent of its FSS slots to eligible disabilities, including, e.g., mobility, families, as defined in § 984.103, who § 984.303 Contract of Participation (CoP). manual, sensory, speech, mental, (a) General. Each eligible family that have one or more family members intellectual, or developmental currently enrolled in an FSS related is selected to participate in an FSS disabilities; program must enter into a CoP with the service program or on the waiting list (3) Prohibited motivational screening for such a program. The PHA may limit PHA or owner that operates the FSS factors. Prohibited motivational program in which the family will the selection preference given to screening factors include the family’s participants in, and applicants for, FSS participate. The CoP shall be signed by educational level, educational or a representative of the PHA or the related service programs to one or more standardized motivational test results, eligible FSS related service programs. A owner and the head of the FSS family, previous job history or job performance, as designated by the family in PHA that chooses to exercise the credit rating, marital status, number of selection preference option must consultation with the PHA or the owner. children, or other factors, such as This head of FSS family does not have include the following information in its sensory or manual skills, and any Action Plan: to be the same as the official Head of factors which may result in Household for rental assistance (1) The percentage of FSS slots, not to discriminatory practices or treatment exceed fifty (50) percent of the total purposes. toward individuals with disabilities or (b) Form and content of contract—(1) number of FSS slots, for which it will minority or non-minority groups. give a selection preference; General. The CoP, which incorporates (2) The FSS related service programs § 984.204 On-site facilities. the ITSP(s), shall set forth the principal to which it will give a selection Each PHA or owner may, subject to terms and conditions governing preference to the programs’ participants the approval of HUD, make available participation in the FSS program. These and applicants; and and utilize common areas or include the rights and responsibilities of (3) The method of outreach to, and unoccupied dwelling units in properties the FSS family and of the PHA or selection of, families with one or more owned by the entity to provide or owner, the services to be provided to, members participating in the identified coordinate supportive services under and the activities to be completed by, programs. any FSS program. each adult member of the FSS family (b) Selection among families with who elects to participate in the program. preference. The PHA may use either of Subpart C—Program Operations (2) FSS Family goals. The ITSP the following to select among applicants incorporated in the CoP, shall establish on the FSS waiting list with the same § 984.301 Program implementation. specific interim and final goals by preference status: (a) Voluntary program which the PHA or owner, and the (1) Date and time of application to the implementation. Unless otherwise family, may measure the FSS family’s FSS program; or, required under a funding notice, there is progress towards fulfilling its (2) A drawing or other random choice no deadline for implementation of a obligations under the CoP, and technique. voluntary program. A voluntary becoming self-sufficient. For any FSS (c) FSS selection without preference. program, however, may not be family that is a recipient of welfare For those FSS slots for which a selection implemented before the requirements of assistance, the PHA or owner must preference is not applicable, the FSS § 984.201 have been satisfied. establish as an interim goal for each FSS slots must be filled with eligible (b) Program administration. A PHA participant that every member of the families in accordance with an objective may employ appropriate staff, including family become independent from selection system, such as a lottery, the a service coordinator or program welfare assistance before the expiration length of time living in subsidized coordinator to administer its FSS of the term of the CoP, including any housing, or the date the family program, and may contract with an extension thereof. Also, see the expressed an interest in participating in appropriate organization to establish employment obligation described in the FSS program. The objective system and administer all or part of the FSS § 984.303(b)(4) below. Aside from the to be used by the PHA must be program, including the FSS account, as goals specifically required in this described in the PHA’s Action Plan. provided by § 984.305. section, PHAs or owners must work
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with each participant to establish extension. As used in this paragraph (d) its obligations under the CoP, on or realistic and individualized goals and of this section, ‘‘good cause’’ means before the expiration of the contract may not include additional mandatory circumstances beyond the control of the term, including any extension thereof. goals that are applicable to every FSS FSS family, as determined by the PHA (h) Termination of the contract. The program participant. or owner, such as a serious illness or CoP is automatically terminated if the (3) Compliance with lease terms. The involuntary loss of employment, or family’s housing assistance is CoP shall provide that one of the active pursuit of a current or additional terminated in accordance with HUD obligations of the FSS family is to goal that will result in furtherance of requirements. The CoP may be comply with the terms and conditions self-sufficiency during the period of the terminated before the expiration of the of the respective public housing or extension (e.g., completion of a college contract term, and any extension Section 8 lease. All considerations degree during which the participant is thereof, by: allowed for other assisted residents for unemployed or under-employed, credit (1) Mutual consent of the parties; repayment agreements, etc., shall not be repair towards being homeownership (2) The failure of the FSS family to limited for FSS participants due to their ready, etc.). Extension of the CoP will meet its obligations under the CoP participation in FSS. entitle the FSS family to continue to without good cause, including, for (4) Employment obligation. (i) have amounts credited to the family’s Section 8(o) participants, failure to Although all members of the FSS family FSS account in accordance with comply with the contract requirements may seek and maintain suitable § 984.304. because the family has moved outside employment during the term of the (e) Unavailability of supportive the jurisdiction of the PHA or out of contract, only one adult family member services—(1) Good-faith effort to replace multifamily assisted housing; with an ITSP shall be required under unavailable services. If a social service (3) The family’s withdrawal from the the CoP to seek and maintain suitable agency fails to deliver the supportive FSS program; employment during the term of the services pledged under an FSS family (4) Such other act as is deemed contract and any extension thereof. member’s ITSP, the PHA or owner shall inconsistent with the purpose of the (ii) Seek employment. The obligation make a good faith effort to obtain these FSS program; or to seek employment means searching for services from another agency. (5) Operation of law. (2) Assessment of necessity of jobs, applying for employment, (i) Option to terminate FSS services. If the PHA or owner is unable attending job interviews, and otherwise participation and supportive service following through on employment to obtain the services from another agency, the PHA or owner shall reassess assistance. The PHA or owner may opportunities. terminate or withhold the coordination (iii) Determination of suitable the family member’s needs and of supportive services, and the FSS employment. A determination of determine whether other available family’s participation in the FSS suitable employment shall be made by services would achieve the same program, if the PHA or owner the PHA or owner based on the skills, purpose. If other available services determines, in accordance with the FSS education, and job training of the would not achieve the same purpose, Action Plan hearing procedures, that the household member, and based on the the PHA or owner shall determine FSS family has failed to comply without available job opportunities within the whether the unavailable services are good cause with the requirements of the jurisdiction served by the PHA or integral to the FSS family’s CoP as provided in paragraph (b)(5) of owner. advancement or progress toward self- (5) Consequences of noncompliance sufficiency. If the unavailable services this section. with the contract. The CoP shall specify are: (j) Transitional supportive service that if the FSS family fails to comply, (i) Determined not to be integral to the assistance. A PHA or owner may without good cause, with the terms and FSS family’s advancement toward self- continue to offer to a former FSS family conditions of the CoP, including sufficiency, the PHA or owner shall that has completed its CoP, appropriate compliance with the public housing revise the ITSP to delete these services, coordination of those FSS supportive lease or the Section 8 lease, the PHA or and modify the CoP to remove any services needed to become self- owner may: obligation on the part of the FSS family sufficient (if the family still resides in (i) Withhold the coordination of to accept the unavailable services, in public housing or Section 8 housing), or supportive services; or, accordance with paragraph (f) of this in remaining self-sufficient (if the family (ii) Terminate the family’s section; or, no longer resides in public, Section 8, participation in the FSS program. (ii) Determined to be integral to the or other assisted housing). (c) Contract term. The CoP shall FSS family’s advancement toward self- (k) Nullification. (1) The CoP is provide that each FSS family will be sufficiency, the PHA or owner shall considered null and void when: required to fulfill those obligations to declare the CoP null and void and (i) Services that the PHA or owner has which the FSS family has committed follow the requirements in paragraph (k) determined are integral to the FSS itself under the CoP no later than 5 of this section. family’s advancement towards self- years after the first recertification of (f) Modification. The PHA or owner sufficiency are unavailable, as described income after the execution date of the and the FSS family may mutually agree in paragraph (e) of this section. CoP. to modify the CoP with respect to the (ii) The head of the FSS family (d) Contract extension. The PHA or ITSP and/or the contract term in becomes permanently disabled and owner shall, in writing, extend the term accordance with paragraph (d) of this unable to work or dies during the period of the CoP for a period not to exceed section, and/or designation of the head of the contract, unless the PHA or owner two (2) years for any FSS family that of the FSS family. Modifications must and the FSS family determine that it is requests, in writing, an extension of the be in writing. possible to modify the contract to contract, provided that the PHA or (g) Completion of the contract. The designate a new head of the FSS family. owner finds that good cause exists for CoP is considered to be completed, and (2) Upon nullification of a CoP, granting the extension. The family’s a family’s participation in the FSS escrow funds must be handled written request for an extension must program is considered to be concluded consistent with § 984.305(b)(3) and include a description of the need for the when the FSS family has fulfilled all of (c)(3).
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§ 984.304 Amount of rent paid by FSS (iii) Reduction of amounts due by FSS family’s monthly rent shall be the lower family and increases in family income. family. If the FSS family has not paid of: (a) The amount of rent paid by an FSS the family contribution towards rent, or (A) The amount by which the family’s family is determined in accordance with other amounts, if any, due under the current monthly rent exceeds the the requirements of the applicable public housing or Section 8-assisted family’s baseline monthly rent; housing assistance program as specified lease, the balance in the family’s FSS (B) For HCV families, the difference in paragraphs (a)(1) and (2) of this account shall be reduced by that amount between the baseline monthly rent and section. (as determined by the owner or reported the current gross rent (i.e., rent to owner (1) Public housing program: by the owner to the PHA in the Section plus any utility allowance) or the Calculation of total tenant payment. 8(o) programs) at the time of final payment standard, whichever is lower; Total tenant payment for an FSS family disbursement of FSS escrow funds in or participating in the FSS program is accordance with paragraph (c) of this (C) For PBV families, the difference determined in accordance with the section. If the FSS family has been between the baseline monthly rent and regulations set forth in 24 CFR part 5, found to have fraudulently under- the current gross rent (i.e., rent to owner subpart F. reported income after the escrow plus any utility allowance). (3) Ineligibility for FSS credit. FSS (2) Section 8(o) programs: Calculation calculation baseline was set, the amount families who are not low-income of total tenant payment. (i) For the HCV credited to the FSS account will be families (i.e., whose adjusted annual program, rent is determined in based on the income amounts originally income exceeds eighty (80) percent of accordance with 24 CFR part 982, reported by the FSS family. If the FSS the area median income) shall not be subpart K; and family is found to have fraudulently entitled to any FSS credit. (ii) For the PBV program, rent is under-reported income in the certification used to set the baseline, the (4) Cessation of FSS credit. The PHA determined in accordance with 24 CFR or owner shall not make additional part 983, subpart G. escrow for the entire period of the CoP will be re-calculated using the correct credits to the FSS family’s FSS account: (b) Increases in FSS family income. (i) When the FSS family has income to set the baseline and then Any increase in the earned income of an completed the CoP, as defined in subsequent escrow amounts. FSS family during its participation in an § 984.303(g); FSS program may not be considered as (3) Reporting on FSS account. Each (ii) When the CoP is terminated or income or a resource for purposes of PHA or owner will be required to make otherwise nullified; or eligibility of the FSS family for other a report, at least once annually, to each (iii) During the time a HCV family is benefits, or amount of benefits payable FSS family on the status of the family’s in the process of moving to a new unit, to the FSS family, under any other FSS account. At a minimum, the report in accordance with HCV program program administered by HUD. will include: requirements, and is not under a lease. (i) The balance at the beginning of the (c) Disbursement of FSS account § 984.305 FSS account. reporting period; funds—(1) General. The amount in an (a) Establishment of FSS account—(1) (ii) The amount of the family’s rent FSS account, in excess of any amount General. The PHA or owner shall payment that was credited to the FSS owed to the PHA or owner by the FSS deposit the FSS account funds of all account, during the reporting period; family, as provided in paragraph families participating in an FSS program (iii) Any deductions made from the (a)(2)(iii) of this section, shall be paid to into a single interest-bearing depository account at the time of final the head of the FSS family when the account. The PHA or owner must disbursement of FSS escrow funds (see CoP has been completed as provided in deposit the FSS account funds in one or paragraphs (a)(2)(iii) and (c) of this § 984.303(g), and if, at the time of more of the HUD-approved investments. section) for amounts due the PHA or contract completion, the head of the This account may be part of the PHA’s owner; FSS family submits to the PHA or owner or owner’s overall accounts, as long as (iv) The amount of interest earned on a certification, as defined in § 984.103, it is in compliance with paragraph (a)(2) the account during the year; and that to the best of his or her knowledge of this section. During the term of the (v) The total in the account at the end and belief, no member of the FSS family CoP, the escrow credit amount shall be of the reporting period. is a recipient of welfare assistance. determined in accordance with (b) FSS credit—(1) Determining the (2) Disbursement before expiration of paragraph (b) of this section at each family’s baseline information. When contract term. (i) If the PHA or owner reexamination of income, which occurs determining the family’s baseline determines that the FSS family has after the effective date of the CoP. Such annual earned income and the baseline fulfilled its obligations under the CoP escrow credit amount must be deposited monthly rent amounts for purposes of before the expiration of the contract each month by the PHA or owner to computing the FSS credit, the PHA or term, and the head of the FSS family each family’s FSS account. owner must set a policy to either submits a certification that, to the best (2) Accounting for FSS account conduct a new re-examination of of his or her knowledge, no member of funds—(i) Accounting records. The total income before the effective date of the the FSS family is a recipient of welfare of the combined FSS account funds will FSS contract, or to use the amounts on assistance, the amount in the family’s be supported in the accounting records the family’s last income reexamination. FSS account, in excess of any amount by a subsidiary ledger showing the (2) Computation of amount. The FSS owed to the PHA or owner by the FSS balance applicable to each FSS family. credit amount shall be the lower of: family, as provided in paragraph (ii) Proration of investment income. (i) Thirty (30) percent of one-twelfth (a)(2)(iii) of this section, shall be paid to The investment income for funds in the (1/12) (i.e., two and a half (2.5) percent) the head of the FSS family. FSS account will be prorated and of the amount by which the family’s (ii) If the PHA or owner determines credited to each family’s FSS account current annual earned income exceeds that the FSS family has fulfilled certain based on the balance in each family’s the family’s baseline annual earned interim goals established in the CoP and FSS account at the end of the period for income; or needs a portion of the FSS account which the investment income is (ii) The increase in the family’s funds for purposes consistent with the credited. monthly rent. The increase in the CoP, such as completion of higher
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education (i.e., college, graduate (i) Specifically, such funds may be to, modification of the FSS contract, school), job training, or to meet start-up used on the following eligible activities: termination of the FSS contract and expenses involved in creation of a small (A) Support for FSS participants in forfeiture of escrow, or locating a business, the PHA or owner may, at the good standing, including, but not receiving PHA that administers an FSS PHA’s or owner’s sole discretion, limited to, transportation, child care, program. disburse a portion of the funds from the training, testing fees, and employment (d) Single FSS account. Regardless of family’s FSS account to assist the family preparation costs. whether the FSS family remains in the in paying those expenses. Unless the (B) Training for Program FSS program of the initial PHA or is interim disbursement was made based Coordinator(s), enrolled in the FSS program of the on fraudulent information from the (C) Other eligible activities as receiving PHA, there will be a single family, the family is not required to determined by the Secretary. FSS account which will be maintained repay such interim amounts if the (ii) Such funds may not be used for by the initial PHA if the receiving PHA family does not complete the CoP. salary and fringe benefits of FSS is billing the initial PHA. If an FSS (3) Disbursement under nullified program coordinators; for HAP expenses family will be absorbed by the receiving contracts. If the CoP is nullified in or public housing operating funds; or PHA, the initial PHA will transfer the accordance with § 984.303(k), the PHA any other activity determined ineligible family’s FSS account to the receiving or owner must disburse to the family, in by the Secretary. PHA and the receiving PHA will excess of any amount owed to the PHA maintain the FSS account. § 984.306 HCV portability requirements. or owner by the FSS family, as provided (e) FSS program termination; loss of in paragraph (a)(2)(iii) of this section, (a) Initial occupancy—(1) First 12 FSS account. (1) If an FSS family the amount of escrow funds months. An HCV family participating in relocates to another jurisdiction, as accumulated by the family before the the FSS program must lease an HCV- provided under this section, and is effective date of the nullification of the assisted unit, for a minimum period of unable to fulfill its obligations under the contract. 12 months after the effective date of the CoP (or any modifications thereto), the (4) Verification of family certification. CoP, in the jurisdiction of the PHA that PHA, which is a party to the CoP, must Before disbursement of the FSS account selected the family for the FSS program. terminate the FSS family from the FSS funds to the family, the PHA or owner However, the initial PHA may approve program, and the family’s FSS account may verify that the FSS family is no a family’s request to move outside of its will be forfeited. Termination of FSS longer a recipient of welfare assistance jurisdiction under portability (in program participation must be used by requesting copies of any documents accordance with § 982.353 of this only as a last resort, after the PHA which may indicate whether the family chapter) during this period. determines, in consultation with the is receiving any welfare assistance and (2) After the first 12 months. After the family, that the family would be unable contacting welfare agencies. first 12 months of the FSS CoP, the FSS to fulfill its obligations under the CoP (d) Succession of FSS account. If the family may move outside the initial after the move and that the current CoP head of the FSS family ceases to reside PHA jurisdiction under portability cannot be modified to allow for with other family members in the public procedures (in accordance with graduation prior to porting. When housing or the Section 8-assisted unit, § 982.353 of this chapter). termination is the only option, the PHA the remaining members of the FSS (b) An FSS family moves to the must clearly notify the family that the family, after consultation with the PHA jurisdiction of a receiving PHA that move will result in the loss of escrow or owner, shall have the right to administers an FSS program. Whether funds. designate another family member to the receiving PHA bills the initial PHA (2) In the event of forfeiture of the receive the funds in accordance with or absorbs the FSS family into its HCV family’s FSS account, the funds in the paragraph (c) of this section. program, the receiving PHA must enroll family’s FSS account will revert to the (e) Use of FSS account funds for an FSS family in good standing in its PHA maintaining the FSS account for homeownership. An FSS family may use FSS program, unless the receiving PHA the family. its FSS account funds for the purchase and the initial PHA agree to the FSS (f) Contract of Participation (CoP). (1) of a home, including the purchase of a family’s continued participation in the If the FSS family enrolls in the receiving home under one of HUD’s initial PHA’s FSS program if the initial PHA’s FSS program pursuant to this homeownership programs, or other PHA determines that the relocating FSS section, the receiving PHA will enter Federal, State, or local homeownership family has demonstrated that, into a new CoP with the FSS family for programs, unless such use is prohibited notwithstanding the move, it will be the term remaining on the contract with by the statute or regulations governing able to fulfill its responsibilities under the initial PHA. The initial PHA will the particular homeownership program. the initial or modified CoP at its new terminate its CoP with the family; (f) Forfeiture of FSS account funds— place of residence. For example, the FSS (2) If the FSS family remains in the (1) Conditions for forfeiture. Amounts in family may be able to commute to the FSS program of the initial PHA, the FSS account shall be forfeited upon supportive services specified in the CoP, pursuant to this section, the original the occurrence of the following: or the family may move to obtain CoP, executed by the initial PHA, will (i) The CoP is terminated, as provided employment as specified in the contract. remain as the contract in place. in § 984.303(h); or, (c) An FSS family moves to the (g) Enrollment of a non-participant in (ii) The CoP is completed by the jurisdiction of a receiving PHA that does the receiving PHA’s FSS program—(1) family, as provided in § 984.303(g), but not administer an FSS program. If the Billing. If the receiving PHA bills the the FSS family is receiving welfare receiving PHA does not administer an initial PHA, a family that was not an assistance at the time the CoP expires, FSS program, the FSS family may not FSS participant at the initial PHA may including any extension thereof. continue participation in the FSS not enroll in the receiving PHA’s FSS (2) Treatment of forfeited FSS account program. The initial PHA must clearly program. funds. FSS account funds forfeited by discuss the options that may be (2) Absorption. If the receiving PHA the FSS family must be used by the PHA available to the family, depending on absorbs the family into its HCV or owner for the benefit of the FSS the family’s specific circumstances, program, the receiving PHA may, program and its participants. which may include, but are not limited consistent with the receiving PHA’s FSS
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enrollment policies, enroll a family that (b) A description of the effectiveness (d) Any recommendations by the PHA was not an FSS participant at the initial of the program in assisting families to or owner or the appropriate local PHA into its FSS program. achieve economic independence and Program Coordinating Committee for self-sufficiency, including the number legislative or administrative action that Subpart D—Reporting of families enrolled and graduated and would improve the FSS program and § 984.401 Reporting. the number of established escrow ensure the effectiveness of the program. accounts and positive escrow balances; Each PHA or owner that carries out an R. Hunter Kurtz, FSS program shall submit to HUD, in (c) A description of the effectiveness Assistant Secretary for Public and Indian the form prescribed by HUD, a report of the program in coordinating resources Housing. regarding its FSS program. The report of communities to assist families to Dana T. Wade, shall include the following information: achieve economic independence and Assistant Secretary for Housing—Federal (a) A description of the activities self-sufficiency; and Housing Commissioner. carried out under the program; BILLING CODE 4210–01–P
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[FR Doc. 2020–18896 Filed 9–18–20; 8:45 am] conducting a fireworks display from 9 pursuant to OMB guidance it is exempt BILLING CODE 4210–67–C p.m. to 10 p.m. on November 28, 2020, from the requirements of Executive to commemorate the 250th anniversary Order 13771. of Cohasset. The fireworks are to be This regulatory action determination DEPARTMENT OF HOMELAND launched from a barge in the Atlantic is based on this regulatory action SECURITY Ocean approximately 1000 feet north of determination is based on the size, the Sandy Beach in Cohasset, MA. location, duration, and time-of-day of Coast Guard Hazards from firework displays include the safety zone. Vessel traffic would be accidental discharge of fireworks, able to safely transit around this safety 33 CFR Part 165 dangerous projectiles, and falling hot zone which would impact a small embers or other debris. The Captain of [Docket Number USCG–2020–0328] designated area of the Atlantic Ocean the Port Boston (COTP) has determined for one hour during the evening when RIN 1625–AA00 that potential hazards associated with vessel traffic is normally low. Moreover, the fireworks to be used in this display the Coast Guard would issue a Safety Zones; Marine Events Held in would be a safety concern for anyone the Sector Boston Captain of the Port Broadcast Notice to Mariners via VHF– within a 420-foot radius of the barge. FM marine channel 16 about the zone, Zone The purpose of this rulemaking is to and the rule would allow vessels to seek ensure the safety of vessels and the AGENCY: Coast Guard, DHS. permission to enter the zone. navigable waters within a 420-foot ACTION: Notice of proposed rulemaking. radius of the fireworks barge before, B. Impact on Small Entities SUMMARY: The Coast Guard is proposing during, and after the scheduled event. The Coast Guard is proposing this The Regulatory Flexibility Act of to establish a temporary safety zone for 1980, 5 U.S.C. 601–612, as amended, certain waters of the Atlantic Ocean. rulemaking under authority in 46 U.S.C. 70034 (previously 33 U.S.C. 1231). requires Federal agencies to consider This action is necessary to provide for the potential impact of regulations on the safety of life on these navigable III. Discussion of Proposed Rule small entities during rulemaking. The waters near Sandy Beach, Cohasset, MA, The COTP is proposing to establish a term ‘‘small entities’’ comprises small during a fireworks display on November safety zone from 9 p.m. to 10 p.m. on businesses, not-for-profit organizations 28, 2020. This proposed rulemaking November 28, 2020. The safety zone that are independently owned and would prohibit persons and vessels would cover all navigable waters within operated and are not dominant in their from being in the safety zone unless 420 feet of a barge in the Atlantic Ocean fields, and governmental jurisdictions authorized by the Captain of the Port located approximately 1000 feet north of with populations of less than 50,000. Boston or a designated representative. Sandy Beach, Cohasset, MA. The The Coast Guard certifies under 5 U.S.C. We invite your comments on this duration of the zone is intended to 605(b) that this proposed rule would not proposed rulemaking. ensure the safety of vessels and these have a significant economic impact on DATES: Comments and related material navigable waters before, during, and a substantial number of small entities. must be received by the Coast Guard on after the scheduled 9 p.m. to 10 p.m. While some owners or operators of or before October 21, 2020. fireworks display. No vessel or person vessels intending to transit the safety ADDRESSES: You may submit comments would be permitted to enter the safety zone may be small entities, for the identified by docket number USCG– zone without obtaining permission from reasons stated in section IV.A above, 2020–0328 using the Federal the COTP or a designated this proposed rule would not have a eRulemaking Portal at https:// representative. The regulatory text we significant economic impact on any www.regulations.gov. See the ‘‘Public are proposing appears at the end of this vessel owner or operator. Participation and Request for document. If you think that your business, Comments’’ portion of the organization, or governmental SUPPLEMENTARY INFORMATION section for IV. Regulatory Analyses jurisdiction qualifies as a small entity further instructions on submitting We developed this proposed rule after and that this rule would have a comments. considering numerous statutes and significant economic impact on it, Executive orders related to rulemaking. FOR FURTHER INFORMATION CONTACT: If please submit a comment (see Below we summarize our analyses you have questions about this proposed ADDRESSES) explaining why you think it based on a number of these statutes and rulemaking, call or email MSTC Jae L. qualifies and how and to what degree Executive orders, and we discuss First Ramirez, Waterways Management this rule would economically affect it. Amendment rights of protestors. Representative; telephone 617–447– Under section 213(a) of the Small 6120 or [email protected]. A. Regulatory Planning and Review Business Regulatory Enforcement SUPPLEMENTARY INFORMATION: Executive Orders 12866 and 13563 Fairness Act of 1996 (Pub. L. 104–121), I. Table of Abbreviations direct agencies to assess the costs and we want to assist small entities in benefits of available regulatory understanding this proposed rule. If the CFR Code of Federal Regulations alternatives and, if regulation is rule would affect your small business, DHS Department of Homeland Security necessary, to select regulatory organization, or governmental FR Federal Register NPRM Notice of proposed rulemaking approaches that maximize net benefits. jurisdiction and you have questions § Section Executive Order 13771 directs agencies concerning its provisions or options for U.S.C. United States Code to control regulatory costs through a compliance, please call or email the budgeting process. This NPRM has not person listed in the FOR FURTHER II. Background, Purpose, and Legal been designated a ‘‘significant INFORMATION CONTACT section. The Coast Basis regulatory action,’’ under Executive Guard will not retaliate against small On May 26, 2020, the Cohasset 250th Order 12866. Accordingly, the NPRM entities that question or complain about Anniversary 2020 Committee notified has not been reviewed by the Office of this proposed rule or any policy or the Coast Guard that it will be Management and Budget (OMB), and action of the Coast Guard.
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C. Collection of Information the human environment. This proposed you go to the online docket and sign up This proposed rule would not call for rule involves a safety zone lasting one for email alerts, you will be notified a new collection of information under hour that would prohibit entry within when comments are posted or a final the Paperwork Reduction Act of 1995 420 feet of a fireworks barge. Normally rule is published. such actions are categorically excluded (44 U.S.C. 3501–3520). List of Subjects in 33 CFR Part 165 from further review under paragraph D. Federalism and Indian Tribal L60(a) of Appendix A, Table 1 of DHS Harbors, Marine safety, Navigation Governments Instruction Manual 023–01–001–01, (water), Reporting and recordkeeping A rule has implications for federalism Rev. 1. A preliminary Record of requirements, Security measures, under Executive Order 13132 Environmental Consideration Waterways. (Federalism), if it has a substantial supporting this determination is For the reasons discussed in the direct effect on the States, on the available in the docket. For instructions preamble, the Coast Guard is proposing relationship between the National on locating the docket, see the to amend 33 CFR part 165 as follows: Government and the States, or on the ADDRESSES section of this preamble. We distribution of power and seek any comments or information that PART 165—SAFETY ZONE FOR responsibilities among the various may lead to the discovery of a COHASSET FIREWORKS DISPLAY significant environmental impact from levels of government. We have analyzed ■ this proposed rule under that Order and this proposed rule. 1. The authority citation for part 165 continues to read as follows: have determined that it is consistent G. Protest Activities with the fundamental federalism Authority: 46 U.S.C. 70034, 70051; 33 CFR principles and preemption requirements The Coast Guard respects the First 1.05–1, 6.04–1, 6.04–6, and 160.5; described in Executive Order 13132. Amendment rights of protesters. Department of Homeland Security Delegation Also, this proposed rule does not have Protesters are asked to call or email the No. 0170.1. tribal implications under Executive person listed in the FOR FURTHER ■ 2. Add a new § 165.T01–0328 to read Order 13175 (Consultation and INFORMATION CONTACT section to as follows: Coordination with Indian Tribal coordinate protest activities so that your Governments) because it would not message can be received without § 165.T01–0328 Safety Zone—Cohasset have a substantial direct effect on one or jeopardizing the safety or security of Fireworks—Atlantic Ocean, Cohasset, Massachusetts. more Indian tribes, on the relationship people, places, or vessels. between the Federal Government and (a) Location. The following area is a V. Public Participation and Request for safety zone: All navigable waters within Indian tribes, or on the distribution of Comments power and responsibilities between the a 420-foot radius of the fireworks barge Federal Government and Indian tribes. We view public participation as positioned in the Atlantic Ocean If you believe this proposed rule has essential to effective rulemaking, and approximately 1000 feet north of the implications for federalism or Indian will consider all comments and material Sandy Beach in Cohasset, MA, before, tribes, please call or email the person received during the comment period. during, and after the fireworks display. listed in the FOR FURTHER INFORMATION Your comment can help shape the (b) Effective and enforcement period. CONTACT section. outcome of this rulemaking. If you This rule will be effective on November submit a comment, please include the 28, 2020, from 9 p.m. to 10 p.m. E. Unfunded Mandates Reform Act docket number for this rulemaking, (c) Regulations. While this safety zone The Unfunded Mandates Reform Act indicate the specific section of this is being enforced, the following of 1995 (2 U.S.C. 1531–1538) requires document to which each comment regulations, along with those contained Federal agencies to assess the effects of applies, and provide a reason for each in § 165.23 apply: their discretionary regulatory actions. In suggestion or recommendation. (1) No person or vessel may enter or particular, the Act addresses actions We encourage you to submit remain in this safety zone without the that may result in the expenditure by a comments through the Federal permission of the Captain of the Port State, local, or tribal government, in the eRulemaking Portal at https:// (COTP) or the COTP’s representatives. aggregate, or by the private sector of www.regulations.gov. If your material However, any vessel that is granted $100,000,000 (adjusted for inflation) or cannot be submitted using https:// permission by the COTP or the COTP’s more in any one year. Though this www.regulations.gov, call or email the representatives must proceed through proposed rule would not result in such person in the FOR FURTHER INFORMATION the area with caution and operate at a an expenditure, we do discuss the CONTACT section of this document for speed no faster than that speed effects of this rule elsewhere in this alternate instructions. necessary to maintain a safe course, preamble. We accept anonymous comments. All unless otherwise required by the comments received will be posted Navigation Rules. F. Environment without change to https:// (2) Any person or vessel permitted to We have analyzed this proposed rule www.regulations.gov and will include enter the safety zone shall comply with under Department of Homeland any personal information you have the directions and orders of the COTP Security Directive 023–01, Rev. 1, provided. For more about privacy and or the COTP’s representatives. Upon associated implementing instructions, submissions in response to this being hailed by a U.S. Coast Guard and Environmental Planning document, see DHS’s eRulemaking vessel by siren, radio, flashing lights, or COMDTINST 5090.1 (series), which System of Records notice (85 FR 14226, other means, the operator of a vessel guide the Coast Guard in complying March 11, 2020). within the zone shall proceed as with the National Environmental Policy Documents mentioned in this NPRM directed. Any person or vessel within Act of 1969 (42 U.S.C. 4321–4370f), and as being available in the docket, and all the safety zone shall exit the zone when have made a preliminary determination public comments, will be in our online directed by the COTP or the COTP’s that this action is one of a category of docket at https://www.regulations.gov representatives. actions that do not individually or and can be viewed by following that (3) To obtain permissions required by cumulatively have a significant effect on website’s instructions. Additionally, if this regulation, individuals may reach
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the COTP or a COTP representative via VOCs because the changes are related to this action on March 23, 2018, VHF channel 16 or 617–223–5757 consistent with the Clean Air Act (CAA which included changes to APCD (Sector Boston Command Center). or Act). Regulations 6.13 and 7.12. Those SIP (d) Penalties. Those who violate this DATES: Comments must be received on revisions were approved by EPA on section are subject to the penalties set or before October 21, 2020. October 1, 2019. See 84 FR 51983. In the forth in 46 U.S.C. 70036 and 46 U.S.C. ADDRESSES: Submit your comments, District’s March 23, 2018, submittals, 70053. identified by Docket ID No. EPA–R04– Section 1 (Applicability) of APCD (e) Notification. Coast Guard Sector OAR–2020–0092 at Regulation 6.13 and Regulation 7.12 Boston will give notice through the www.regulations.gov. Follow the online were revised to include an additional Local Notice to Mariners and Broadcast instructions for submitting comments. criteria of ‘‘true vapor pressure of the Notice to Mariners for the purpose of Once submitted, comments cannot be VOCs as stored equal to or greater than enforcement of this temporary safety edited or removed from Regulations.gov. 78 mm Hg [millimeters of mercury] (1.5 zone. Sector Boston will also notify the EPA may publish any comment received psia [pounds per square inch public to the greatest extent possible of to its public docket. Do not submit absolute]).’’ This change was consistent any period in which the Coast Guard electronically any information you with the minimum true vapor pressure will suspend enforcement of this safety consider to be Confidential Business of VOCs subject to the emission control zone. Information (CBI) or other information standards provided in Section 3 (f) COTP representative. The COTP’s whose disclosure is restricted by statute. (Standard for Volatile Organic representative may be any Coast Guard Multimedia submissions (audio, video, Compounds) of these regulations. commissioned, or petty officer or any etc.) must be accompanied by a written Section 5 (Monitoring of Operations), federal, state, or local law enforcement comment. The written comment is however, continued to contain officer who has been designated by the considered the official comment and monitoring requirements under COTP to act on the COTP’s behalf. The should include discussion of all points subsection 5.1 that applied to certain COTP’s representative may be on a you wish to make. EPA will generally vessels ‘‘having a true vapor pressure Coast Guard vessel, a Coast Guard not consider comments or comment greater than 7.0 kPa [kilopascal] (1.0 Auxiliary vessel, a state or local law contents located outside of the primary psia).’’ As noted in EPA’s June 5, 2019, enforcement vessel, or a location on submission (i.e., on the web, cloud, or proposed action, the District explained shore. other file sharing system). For that the monitoring requirements in additional submission methods, the full subsections 5.1 and 5.2 would continue Dated: September 8, 2020. to apply to sources that store a liquid EPA public comment policy, E.J. Doucette, having a true vapor pressure greater information about CBI or multimedia Captain, U.S. Coast Guard, Captain of the than 1.0 psia despite the addition of the submissions, and general guidance on Port Boston. 1.5 psia criteria to Section 1. making effective comments, please visit [FR Doc. 2020–20097 Filed 9–18–20; 8:45 am] In their September 9, 2019, www2.epa.gov/dockets/commenting- BILLING CODE 9110–04–P submittals, the District includes a epa-dockets. modification that changes the true vapor FOR FURTHER INFORMATION CONTACT: pressure criteria of subsection 5.1 from ENVIRONMENTAL PROTECTION Sarah LaRocca, Air Regulatory 1.0 psia to 1.5 psia to better align with AGENCY Management Section, Air Planning and the general applicability provision of Implementation Branch, Air and Section 1 of Regulations 6.13 and 7.12. 40 CFR Part 52 Radiation Division, U.S. Environmental Subsection 5.1 is a monitoring Protection Agency, Region 4, 61 Forsyth requirement which applies only to [EPA–R04–OAR–2020–0092; FRL–10014– Street SW, Atlanta, Georgia 30303–8960. 12–Region 4] storage vessels that (1) have an external The telephone number is (404) 562– floating roof, (2) have a capacity of Air Plan Approval; KY; Jefferson 8994. Ms. LaRocca can also be reached greater than 40,000 gallons, and (3) are County; Existing and New VOC via electronic mail at larocca.sarah@ not equipped with a secondary seal or Storage Vessels Rule Changes epa.gov. approved alternative control technology. SUPPLEMENTARY INFORMATION: The District notes that because AGENCY: Environmental Protection subsection 3.4 of Regulations 6.13 and Agency (EPA). I. EPA’s Proposed Action 7.12 explicitly requires secondary seals ACTION: Proposed rule. In this rulemaking, EPA is proposing for nearly all storage tanks with capacity to approve changes to Regulation 6.13, of greater than 40,000 gallons, there are SUMMARY: The Environmental Protection Standards of Performance for Existing very few tanks which could be subject Agency (EPA) is proposing to approve Storage Vessels for Volatile Organic to subsection 5.1. The only exceptions revisions to the Jefferson County portion Compounds, and Regulation 7.12, to the subsection 3.4 requirement for of the Kentucky State Implementation Standards of Performance for New installing secondary seals would be, as Plan (SIP), submitted by the Storage Vessels for Volatile Organic described in subsections 3.4.1 through Commonwealth of Kentucky, through Compounds, of the Louisville Metro Air 3.4.3, for welded tanks storing liquids the Energy and Environment Cabinet Pollution Control District portion of the with a true vapor pressure of less than (Cabinet) on September 5, 2019. The Kentucky SIP, submitted by the 4.0 psia and for certain types of primary revisions were submitted by the Cabinet Commonwealth on September 5, 2019. seals, which the District states are ‘‘a on behalf of the Louisville Metro Air These modifications update the current very small portion of the hundreds of Pollution Control District (District or SIP-approved version of Regulation 6.13 facilities to which [Regulations 6.13 and APCD) and make changes to the (Version 7) and Regulation 7.12 (Version 7.12] are applicable.’’ 1 In addition, the regulations for new and existing storage 7) to Version 8 of each. District states that they currently permit vessels for volatile organic compounds no external floating roof tanks without (VOCs). EPA is proposing to approve the II. EPA’s Analysis of the Revisions portions of the revisions that regulate The Commonwealth of Kentucky 1 District SIP submission, September 5, 2019, p. new and existing storage vessels for previously submitted SIP revisions 72.
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secondary seals or approved alternative text that includes incorporation by are exempted under Executive Order technologies, so the monitoring reference. In accordance with 12866; requirement in subsection 5.1 does not requirements of 1 CFR 51.5, EPA is • Do not impose an information currently apply to any facilities under proposing to incorporate by reference 2 collection burden under the provisions their jurisdiction. EPA also notes that APCD Regulation 6.13, Standards of of the Paperwork Reduction Act (44 this change does not alter the number of Performance for Existing Storage U.S.C. 3501 et seq.); tanks subject to emission controls and Vessels for Volatile Organic • that subsection 5.1 does not apply to Compounds, Version 8, and Regulation Are certified as not having a any storage vessels that are newly 7.12, Standards of Performance for New significant economic impact on a constructed or modified after July 23, Storage Vessels for Volatile Organic substantial number of small entities 1984, because such vessels would be Compounds, Version 8, effective June under the Regulatory Flexibility Act (5 subject to EPA’s New Source 19, 2019, which make minor U.S.C. 601 et seq.); Performance Standards subpart Kb amendments to units of measurement • Do not contain any unfunded which requires that a secondary seal be and the applicability of standards for mandate or significantly or uniquely installed. See 40 CFR 60.112b(a)(2). For both existing and new storage vessels affect small governments, as described these reasons, EPA proposes to for volatile organic compounds. EPA in the Unfunded Mandates Reform Act determine that, in accordance with CAA has made, and will continue to make, of 1995 (Pub. L. 104–4); section 110(l), the changes will not these materials generally available • Do not have Federalism interfere with attainment or through www.regulations.gov and at the implications as specified in Executive maintenance of a NAAQS, reasonable EPA Region 4 office (please contact the Order 13132 (64 FR 43255, August 10, further progress toward attainment of a person identified in the FOR FURTHER 1999); NAAQS, or any other applicable INFORMATION CONTACT section of this requirement of the CAA. preamble for more information). • Are not an economically significant The September 9, 2019, SIP revisions regulatory action based on health or also contain the following changes: IV. Proposed Action safety risks subject to Executive Order necessary renumbering of Regulation EPA is proposing to approve the 13045 (62 FR 19885, April 23, 1997); 6.13, Section 2; revising units of changes to Regulation 6.13, Standards • pressure measurement from mm Hg to Are not a significant regulatory of Performance for Existing Storage action subject to Executive Order 13211 the International System of Units Vessels for Volatile Organic standard kPa in Regulations 6.13 and (66 FR 28355, May 22, 2001); Compounds, and Regulation 7.12, • 7.12, Sections 1 and 3; correcting 11.1 Standards of Performance for New Are not subject to requirements of psia to 11.0 psia as this is equivalent to Storage Vessels for Volatile Organic Section 12(d) of the National the pressure of 570 mm Hg in Compounds, of the Jefferson County Technology Transfer and Advancement Regulations 6.13 and 7.12, Section 3; portion of the Kentucky SIP, submitted Act of 1995 (15 U.S.C. 272 note) because changing 10.3 kPa to 10.4 kPa for by the Commonwealth on September 5, application of those requirements would consistency within Section 3 of 2019. The September 5, 2019, SIP be inconsistent with the CAA; and Regulation 7.12, Section 3.4.3; clarifying revisions update the current SIP- • Do not provide EPA with the that subsection 3.3 applies only to approved version of Regulation 6.13 discretionary authority to address, as vessels with a storage capacity of less (Version 7) and Regulation 7.12 (Version appropriate, disproportionate human than 40,000 gallons in Regulations 6.13 7) to Version 8 for each. EPA is health or environmental effects, using and 7.12, Section 3; 3 changing the word proposing to approve these changes for practicable and legally permissible ‘‘section’’ to ‘‘subsection’’ in Regulation the reasons discussed above. methods, under Executive Order 12898 6.13, Section 3; and replacing the term (59 FR 7629, February 16, 1994). ‘‘VOCs’’ with the phrase ‘‘volatile V. Statutory and Executive Order organic compounds’’ in Regulation 7.12, Reviews The SIP is not approved to apply on Sections 2 and 3. EPA is proposing to any Indian reservation land or in any Under the CAA, the Administrator is determine that these changes will not other area where EPA or an Indian tribe required to approve a SIP submission interfere with attainment or has demonstrated that a tribe has that complies with the provisions of the maintenance of a NAAQS, reasonable jurisdiction. In those areas of Indian further progress, or any other applicable Act and applicable Federal regulations. country, the rule does not have tribal requirement of the CAA because they See 42 U.S.C. 7410(k); 40 CFR 52.02(a). implications as specified by Executive are minor in nature and do not change Thus, in reviewing SIP submissions, Order 13175 (65 FR 67249, November 9, the number of tanks that are subject to EPA’s role is to approve state choices, 2000), nor will it impose substantial provided that they meet the criteria of emission controls under these direct costs on tribal governments or the CAA. These actions merely propose regulations. preempt tribal law. to approve state law as meeting Federal III. Incorporation by Reference requirements and does not impose List of Subjects in 40 CFR Part 52 In this document, EPA is proposing to additional requirements beyond those include in a final EPA rule regulatory imposed by state law. For that reason, Environmental protection, Air these proposed actions: pollution control, Incorporation by 2 Id. • Are not a significant regulatory reference, Ozone, Volatile organic 3 Although storage vessels with a capacity greater action subject to review by the Office of compounds. than 40,000 gallons and vapor pressure equal to or Management and Budget under Authority: 42 U.S.C. 7401 et seq. greater than 1.5 psia but not greater than 11.0 psia Executive Orders 12866 (58 FR 51735, would no longer be required to install a permanent Dated: August 26, 2020. submerged fill pipe, these sources would still be October 4, 1993) and 13563 (76 FR 3821, required to install a floating roof and a vapor January 21, 2011); Mary Walker, recovery system, or their equivalent in accordance • Regional Administrator, Region 4. with subsection 3.1. The technology requirements Are not an Executive Order 13771 [FR Doc. 2020–19340 Filed 9–18–20; 8:45 am] in subsection 3.1 are more effective control (82 FR 9339, February 2, 2017) technologies than a permanent submerged fill pipe. regulatory action because SIP approvals BILLING CODE 6560–50–P
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DEPARTMENT OF DEFENSE DEPARTMENT OF COMMERCE confidential business information, or otherwise sensitive information Defense Acquisition Regulations National Oceanic and Atmospheric submitted voluntarily by the sender will System Administration be publicly accessible. NMFS will accept anonymous comments (enter N/ 48 CFR Parts 227 and 252 50 CFR Part 229 A in the required fields if you wish to [Docket No. 200915–0244] remain anonymous). [Docket DARS–2020–0033] FOR FURTHER INFORMATION CONTACT: RIN 0648–BJ72 Jaclyn Taylor, Office of Protected Resources, 301–427–8402; Allison RIN 0750–AK84 List of Fisheries for 2021 Rosner, Greater Atlantic Region, 978– Defense Federal Acquisition AGENCY: National Marine Fisheries 281–9328; Jessica Powell, Southeast Regulation Supplement: Small Service (NMFS), National Oceanic and Region, 727–824–5312; Dan Lawson, West Coast Region, 206–526–4740; Business Innovation Research Atmospheric Administration (NOAA), Commerce. Suzie Teerlink, Alaska Region, 907– Program Data Rights (DFARS Case 586–7240; Diana Kramer, Pacific Islands 2019–D043) ACTION: Proposed rule, request for comment. Region, 808–725–5167. Individuals who use a telecommunications device for the AGENCY: Defense Acquisition SUMMARY: The National Marine hearing impaired may call the Federal Regulations System, Department of Fisheries Service (NMFS) publishes its Information Relay Service at 1–800– Defense (DoD). proposed List of Fisheries (LOF) for 877–8339 between 8 a.m. and 4 p.m. ACTION: Advance notice of proposed 2021, as required by the Marine Eastern time, Monday through Friday, rulemaking; correction. Mammal Protection Act (MMPA). The excluding Federal holidays. LOF for 2021 reflects new information SUPPLEMENTARY INFORMATION: on interactions between commercial SUMMARY: On August 31, 2020, DoD What is the list of fisheries? published a notice requesting fisheries and marine mammals. NMFS must classify each commercial fishery Section 118 of the MMPA requires information to assist in the development NMFS to place all U.S. commercial of a revision to the Defense Federal on the LOF into one of three categories under the MMPA based upon the level fisheries into one of three categories Acquisition Regulation Supplement of mortality and serious injury of marine based on the level of incidental (DFARS) to implement the data rights mammals that occurs incidental to each mortality and serious injury of marine portions of the Small Business fishery. The classification of a fishery on mammals occurring in each fishery (16 Innovation Research Program and Small the LOF determines whether U.S.C. 1387(c)(1)). The classification of Business Technology Transfer Program participants in that fishery are subject to a fishery on the LOF determines Policy Directives. The document certain provisions of the MMPA, such as whether participants in that fishery may heading carried an incorrect Docket registration, observer coverage, and take be required to comply with certain Number. This document reflects the reduction plan (TRP) requirements. provisions of the MMPA, such as registration, observer coverage, and take correct Docket Number. DATES: Comments must be received by reduction plan requirements. NMFS October 21, 2020. DATES: Comments for the advance notice must reexamine the LOF annually, of proposed rulemaking published on ADDRESSES: You may submit comments considering new information in the August 31, 2020, at 85 FR 53758, on this document, identified by NOAA– Marine Mammal Stock Assessment continue to be accepted on or before NMFS–2020–0054, by either of the Reports (SARs) and other relevant October 30, 2020, to be considered in following methods: sources, and publish in the Federal the formulation of a proposed rule. Electronic Submission: Submit all Register any necessary changes to the electronic public comments via the LOF after notice and opportunity for FOR FURTHER INFORMATION CONTACT: Ms. Federal e-Rulemaking Portal: Jennifer L. Hawes, Defense Acquisition public comment (16 U.S.C. 1387 1. Go to www.regulations.gov/ (c)(1)(C)). Regulations System, #!docketDetail;D=NOAA-NMFS-2020- OUSD(A&S)DPC(DARS), Room 3B938, 0054; How does NMFS determine in which 3060 Defense Pentagon, Washington, DC 2. Click the ‘‘Comment Now!’’ icon, category a fishery is placed? 20301–3060. Telephone 571–372–6115. complete the required fields; The definitions for the fishery 3. Enter or attach your comments. SUPPLEMENTARY INFORMATION: On August classification criteria can be found in Mail: Submit written comments to the implementing regulations for section 31, 2020, at 85 FR 53758, DoD Chief, Marine Mammal and Sea Turtle published an advanced notice of 118 of the MMPA (50 CFR 229.2). The Conservation Division, Office of criteria are also summarized here. proposed rulemaking. The document’s Protected Resources, NMFS, 1315 East- heading contained an incorrect Docket West Highway, Silver Spring, MD Fishery Classification Criteria number ‘‘DARS–2019–0043.’’ The 20910. The fishery classification criteria correct Docket Number is ‘‘DARS–2020– Instructions: Comments sent by any consist of a two-tiered, stock-specific 0033’’ and is reflected in the heading of other method, to any other address or approach that first addresses the total this correction. individual, or received after the end of impact of all fisheries on each marine the comment period, may not be mammal stock and then addresses the Jennifer Lee Hawes, considered by NMFS. All comments impact of individual fisheries on each Regulatory Control Officer, Defense received are a part of the public record stock. This approach is based on Acquisition Regulations System. and will generally be posted for public consideration of the rate, in numbers of [FR Doc. 2020–20761 Filed 9–18–20; 8:45 am] viewing on www.regulations.gov animals per year, of incidental BILLING CODE 5001–06–P without change. All personal identifying mortalities and serious injuries of information (e.g., name, address, etc.), marine mammals due to commercial
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fishing operations relative to the are denoted with a superscript ‘‘1’’ in abundance, trend, and annual potential biological removal (PBR) level Tables 1 and 2. productivity, notable habitat concerns, for each marine mammal stock. The and estimates of human-caused Other Criteria That May Be Considered MMPA (16 U.S.C. 1362 (20)) defines the mortality and serious injury (M/SI) by PBR level as the maximum number of The tier analysis requires a minimum source. The SARs are based upon the animals, not including natural amount of data, and NMFS does not best available scientific information and mortalities, that may be removed from a have sufficient data to perform a tier provide the most current and inclusive marine mammal stock while allowing analysis on certain fisheries. Therefore, information on each stock’s PBR level that stock to reach or maintain its NMFS has classified certain fisheries by and level of interaction with optimum sustainable population (OSP). analogy to other fisheries that use commercial fishing operations. The best This definition can also be found in the similar fishing techniques or gear that available scientific information used in implementing regulations for section are known to cause mortality or serious the SARs and reviewed for the 2021 118 of the MMPA (50 CFR 229.2). injury of marine mammals, or according LOF generally summarizes data from Tier 1: Tier 1 considers the to factors discussed in the final LOF for 2013–2017. NMFS also reviews other cumulative fishery mortality and serious 1996 (60 FR 67063; December 28, 1995) sources of new information, including injury for a particular stock. If the total and listed in the regulatory definition of injury determination reports, bycatch annual mortality and serious injury of a a Category II fishery. In the absence of estimation reports, observer data, marine mammal stock, across all reliable information indicating the logbook data, stranding data, fisheries, is less than or equal to 10 frequency of incidental mortality and disentanglement network data, percent of the PBR level of the stock, all serious injury of marine mammals by a fishermen self-reports (i.e., MMPA fisheries interacting with the stock will commercial fishery, NMFS will mortality/injury reports), and anecdotal be placed in Category III (unless those determine whether the incidental reports from that time period. In some fisheries interact with other stock(s) for mortality or serious injury is cases, more recent information may be which total annual mortality and ‘‘occasional’’ by evaluating other factors available and used in the LOF. serious injury is greater than 10 percent such as fishing techniques, gear used, For fisheries with observer coverage, methods used to deter marine mammals, of PBR). Otherwise, these fisheries are species or stocks are generally removed target species, seasons and areas fished, subject to the next tier (Tier 2) of from the list of marine mammal species qualitative data from logbooks or analysis to determine their and/or stocks incidentally killed or fishermen reports, stranding data, and classification. injured if no interactions are the species and distribution of marine Tier 2: Tier 2 considers fishery- documented in the 5-year timeframe mammals in the area, or at the specific mortality and serious injury for summarized in that year’s LOF. For discretion of the Assistant a particular stock. fisheries with no observer coverage and Administrator for Fisheries (50 CFR for observed fisheries with evidence Category I: Annual mortality and 229.2). indicating that undocumented serious injury of a stock in a given Further, eligible commercial fisheries interactions may be occurring (e.g., fishery is greater than or equal to 50 not specifically identified on the LOF fishery has low observer coverage and percent of the PBR level (i.e., frequent are deemed to be Category II fisheries stranding network data include incidental mortality and serious injury until the next LOF is published (50 CFR evidence of fisheries interactions that of marine mammals). 229.2). cannot be attributed to a specific Category II: Annual mortality and fishery) species and stocks may be serious injury of a stock in a given How does NMFS determine which species or stocks are included as retained for longer than 5 years. For fishery is greater than 1 percent and less these fisheries, NMFS will review the than 50 percent of the PBR level (i.e., incidentally killed or injured in a fishery? other sources of information listed occasional incidental mortality and above and use its discretion to decide serious injury of marine mammals). The LOF includes a list of marine when it is appropriate to remove a Category III: Annual mortality and mammal species and/or stocks species or stock. serious injury of a stock in a given incidentally killed or injured in each fishery is less than or equal to 1 percent commercial fishery. The list of species Where does NMFS obtain information of the PBR level (i.e., a remote and/or stocks incidentally killed or on the level of observer coverage in a likelihood of or no known incidental injured includes ‘‘serious’’ and ‘‘non- fishery on the LOF? mortality and serious injury of marine serious’’ documented injuries as The best available information on the mammals). described later in the List of Species level of observer coverage and the Additional details regarding how the and/or Stocks Incidentally Killed or spatial and temporal distribution of categories were determined are Injured in the Pacific Ocean and List of observed marine mammal interactions is provided in the preamble to the final Species and/or Stocks Incidentally presented in the SARs. Data obtained rule implementing section 118 of the Killed or Injured in the Atlantic Ocean, from the observer program and observer MMPA (60 FR 45086; August 30, 1995). Gulf of Mexico, and Caribbean sections. coverage levels are important tools in Because fisheries are classified on a To determine which species or stocks estimating the level of marine mammal per-stock basis, a fishery may qualify as are included as incidentally killed or mortality and serious injury in one category for one marine mammal injured in a fishery, NMFS annually commercial fishing operations. Starting stock and another category for a reviews the information presented in with the 2005 SARs, each Pacific and different marine mammal stock. A the current SARs and injury Alaska SAR includes an appendix with fishery is typically classified on the LOF determination reports. SARs are brief detailed descriptions of each Category I at its highest level of classification (e.g., reports summarizing the status of each and II fishery on the LOF, including the a fishery qualifying for Category III for stock of marine mammals occurring in observer coverage in those fisheries. For one marine mammal stock and for waters under U.S. jurisdiction, Atlantic fisheries, this information can Category II for another marine mammal including information on the identity be found in the LOF Fishery Fact stock will be listed under Category II). and geographic range of the stock, Sheets. The SARs do not provide Stocks driving a fishery’s classification population statistics related to detailed information on observer
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coverage in Category III fisheries seas fisheries are subdivided based on https://www.fisheries.noaa.gov/ because, under the MMPA, Category III gear type (e.g., trawl, longline, purse national/marine-mammal-protection/ fisheries are not required to seine, gillnet, troll, etc.) to provide more marine-mammal-protection-act-list- accommodate observers aboard vessels detail on composition of effort within fisheries, linked to the ‘‘List of Fisheries due to the remote likelihood of these fisheries. Many fisheries operate Summary’’ table. NMFS is developing mortality and serious injury of marine in both U.S. waters and on the high similar fishery fact sheets for each mammals. Fishery information seas, creating some overlap between the Category III fishery on the LOF. presented in the SARs’ appendices and fisheries listed in Tables 1 and 2 and However, due to the large number of other resources referenced during the those in Table 3. In these cases, the high Category III fisheries on the LOF and the tier analysis may include: Level of seas component of the fishery is not lack of accessible and detailed observer coverage; target species; levels considered a separate fishery, but an information on many of these fisheries, of fishing effort; spatial and temporal extension of a fishery operating within the development of these fishery fact distribution of fishing effort; U.S. waters (listed in Table 1 or 2). sheets is taking significant time to characteristics of fishing gear and NMFS designates those fisheries in complete. NMFS began posting Category operations; management and Tables 1, 2, and 3 with an asterisk (*) III fishery fact sheets online with the regulations; and interactions with after the fishery’s name. The number of LOF for 2016. marine mammals. Copies of the SARs HSFCA permits listed in Table 3 for the Am I required to register under the are available on the NMFS Office of high seas components of these fisheries MMPA? Protected Resources website at: https:// operating in U.S. waters does not www.fisheries.noaa.gov/national/ necessarily represent additional effort Owners of vessels or gear engaging in marine-mammal-protection/marine- that is not accounted for in Tables 1 and a Category I or II fishery are required mammal-stock-assessment-reports- 2. Many vessels/participants holding under the MMPA (16 U.S.C. 1387(c)(2)), region. Information on observer HSFCA permits also fish within U.S. as described in 50 CFR 229.4, to register coverage levels in Category I, II, and III waters and are included in the number with NMFS and obtain a marine fisheries can be found in the fishery fact of vessels and participants operating mammal authorization to lawfully take sheets on the NMFS Office of Protected within those fisheries in Tables 1 and 2. non-endangered and non-threatened Resources’ website: https:// HSFCA permits are valid for 5 years, marine mammals incidental to www.fisheries.noaa.gov/national/ during which time Fishery Management commercial fishing operations. Owners marine-mammal-protection/list- Plans (FMPs) can change. Therefore, of vessels or gear engaged in a Category fisheries-summary-tables. Additional some vessels/participants may possess III fishery are not required to register information on observer programs in valid HSFCA permits without the ability with NMFS or obtain a marine mammal commercial fisheries can be found on to fish under the permit because it was authorization. the NMFS National Observer Program’s issued for a gear type that is no longer How do I register, renew and receive website: https://www.fisheries.noaa.gov/ authorized under the most current FMP. my Marine Mammal Authorization national/fisheries-observers/national- For this reason, the number of HSFCA Program authorization certificate? observer-program. permits displayed in Table 3 is likely higher than the actual U.S. fishing effort NMFS has integrated the MMPA How do I find out if a specific fishery on the high seas. For more information registration process, implemented is in Category I, II, or III? on how NMFS classifies high seas through the Marine Mammal The LOF includes three tables that list fisheries on the LOF, see the preamble Authorization Program (MMAP), with all U.S. commercial fisheries by text in the final 2009 LOF (73 FR 73032; existing state and Federal fishery Category. Table 1 lists all of the December 1, 2008). Additional license, registration, or permit systems commercial fisheries in the Pacific information about HSFCA permits can for Category I and II fisheries on the Ocean (including Alaska); Table 2 lists be found at https:// LOF. Participants in these fisheries are all of the commercial fisheries in the www.fisheries.noaa.gov/permit/high- automatically registered under the Atlantic Ocean, Gulf of Mexico, and seas-fishing-permits. MMAP and are not required to submit Caribbean; and Table 3 lists all U.S. registration or renewal materials. authorized commercial fisheries on the Where can I find specific information In the Pacific Islands, West Coast, and on fisheries listed on the LOF? high seas. A fourth table, Table 4, lists Alaska regions, NMFS will issue vessel all commercial fisheries managed under Starting with the 2010 LOF, NMFS or gear owners an authorization applicable TRPs or take reduction teams developed summary documents, or certificate via U.S. mail or with their (TRT). fishery fact sheets, for each Category I state or Federal license or permit at the and II fishery on the LOF. These fishery time of issuance or renewal. In the Are high seas fisheries included on the fact sheets provide the full history of Greater Atlantic and Southeast Regions, LOF? each Category I and II fishery, including: NMFS will issue vessel or gear owners Beginning with the 2009 LOF, NMFS When the fishery was added to the LOF; an authorization certificate via U.S. mail includes high seas fisheries in Table 3 the basis for the fishery’s initial automatically at the beginning of each of the LOF, along with the number of classification; classification changes to calendar year. valid High Seas Fishing Compliance Act the fishery; changes to the list of species Vessel or gear owners who participate (HSFCA) permits in each fishery. As of and/or stocks incidentally killed or in fisheries in these regions and have 2004, NMFS issues HSFCA permits only injured in the fishery; fishery gear and not received authorization certificates for high seas fisheries analyzed in methods used; observer coverage levels; by the beginning of the calendar year, or accordance with the National fishery management and regulation; and with renewed fishing licenses, must Environmental Policy Act (NEPA) and applicable TRPs or TRTs, if any. These contact the appropriate NMFS Regional the Endangered Species Act (ESA). The fishery fact sheets are updated after each Office (see FOR FURTHER INFORMATION). authorized high seas fisheries are broad final LOF and can be found under ‘‘How Authorization certificates may also be in scope and encompass multiple Do I Find Out if a Specific Fishery is in obtained by visiting the MMAP website specific fisheries identified by gear type. Category I, II, or III?’’ on the NMFS https://www.fisheries.noaa.gov/ For the purposes of the LOF, the high Office of Protected Resources’ website: national/marine-mammal-protection/
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marine-mammal-authorization- [email protected]; (3) faxed to NMFS, Greater Atlantic Regional program#obtaining-a-marine-mammal- the NMFS Office of Protected Resources Fisheries Office, 55 Great Republic authorization-certificate. at 301–713–0376; or (4) mailed to the Drive, Gloucester, MA 01930–2298, The authorization certificate, or a NMFS Office of Protected Resources Attn: Allison Rosner; copy, must be on board the vessel while (mailing address is provided on the NMFS, Southeast Region, 263 13th it is operating in a Category I or II postage-paid form that can be printed Avenue South, St. Petersburg, FL 33701, fishery, or for non-vessel fisheries, in from the web address listed above). Attn: Jessica Powell; the possession of the person in charge Reporting requirements and procedures NMFS, West Coast Region, Long of the fishing operation (50 CFR are found in 50 CFR 229.6. Beach Office, 501 W. Ocean Blvd., Suite 229.4(e)). Although efforts are made to 4200, Long Beach, CA 90802–4213, limit the issuance of authorization Am I required to take an observer aboard my vessel? Attn: Dan Lawson; certificates to only those vessel or gear NMFS, Alaska Region, Protected owners that participate in Category I or Individuals participating in a Resources, P.O. Box 22668, 709 West II fisheries, not all state and Federal Category I or II fishery are required to 9th Street, Juneau, AK 99802, Attn: license or permit systems distinguish accommodate an observer aboard their Suzie Teerlink; or vessel(s) upon request from NMFS. between fisheries as classified by the NMFS, Pacific Islands Regional MMPA section 118 states that the LOF. Therefore, some vessel or gear Office, Protected Resources Division, Secretary is not required to place an owners in Category III fisheries may 1845 Wasp Blvd., Building 176, observer on a vessel if the facilities for receive authorization certificates even Honolulu, HI 96818, Attn: Diana quartering an observer or performing though they are not required for Kramer. Category III fisheries. observer functions are so inadequate or Individuals fishing in Category I and unsafe that the health or safety of the Sources of Information Reviewed for II fisheries for which no state or Federal observer or the safe operation of the the 2021 LOF license or permit is required must vessel would be jeopardized; thereby NMFS reviewed the marine mammal register with NMFS by contacting their authorizing the exemption of vessels too incidental mortality and serious injury appropriate Regional Office (see small to safely accommodate an information presented in the SARs for ADDRESSES). observer from this requirement. all fisheries to determine whether However, U.S. Atlantic Ocean, Am I required to submit reports when changes in fishery classification are Caribbean, or Gulf of Mexico large I kill or injure a marine mammal warranted. The SARs are based on the pelagics longline vessels operating in during the course of commercial fishing best scientific information available at special areas designated by the Pelagic operations? the time of preparation, including the Longline Take Reduction Plan level of mortality and serious injury of In accordance with the MMPA (16 implementing regulations (50 CFR marine mammals that occurs incidental U.S.C. 1387(e)) and 50 CFR 229.6, any 229.36(d)) will not be exempted from to commercial fishery operations and vessel owner or operator, or gear owner observer requirements, regardless of the PBR levels of marine mammal or operator (in the case of non-vessel their size. Observer requirements are stocks. The information contained in the fisheries), participating in a fishery found in 50 CFR 229.7. listed on the LOF must report to NMFS SARs is reviewed by regional Scientific all incidental mortalities and injuries of Am I required to comply with any Review Groups (SRGs) representing marine mammals that occur during marine mammal TRP regulations? Alaska, the Pacific (including Hawaii), commercial fishing operations, Table 4 provides a list of fisheries and the U.S. Atlantic, Gulf of Mexico, regardless of the category in which the affected by TRPs and TRTs. TRP and Caribbean. The SRGs were fishery is placed (I, II, or III) within 48 regulations are found at 50 CFR 229.30 established by the MMPA to review the hours of the end of the fishing trip or, through 229.37. A description of each science that informs the SARs, and to in the case of non-vessel fisheries, TRT and copies of each TRP can be advise NMFS on marine mammal fishing activity. ‘‘Injury’’ is defined in found at: https:// population status, trends, and stock 50 CFR 229.2 as a wound or other www.fisheries.noaa.gov/national/ structure, uncertainties in the science, physical harm. In addition, any animal marine-mammal-protection/marine- research needs, and other issues. that ingests fishing gear or any animal mammal-take-reduction-plans-and- NMFS also reviewed other sources of that is released with fishing gear teams. It is the responsibility of fishery new information, including marine entangling, trailing, or perforating any participants to comply with applicable mammal stranding and entanglement part of the body is considered injured, take reduction regulations. data, observer program data, fishermen regardless of the presence of any wound self-reports, reports to the SRGs, or other evidence of injury, and must be Where can I find more information conference papers, FMPs, and ESA reported. about the LOF and the MMAP? documents. Mortality/injury reporting forms and Information regarding the LOF and The LOF for 2021 was based on, instructions for submitting forms to the MMAP, including registration among other things, stranding data; NMFS can be found at: https:// procedures and forms; current and past fishermen self-reports; and SARs, www.fisheries.noaa.gov/national/ LOFs; descriptions of each Category I primarily the 2019 SARs, which are marine-mammal-protection/marine- and II fishery and some Category III based on data from 2013–2017. The mammal-authorization- fisheries; observer requirements; and SARs referenced in this LOF include: program#reporting-a-death-or-injury-of- marine mammal mortality/injury 2016 (82 FR 29039; June 27, 2017), 2018 a-marine-mammal-during-commercial- reporting forms and submittal (84 FR 28489; June 19, 2019), and 2019 fishing-operations or by contacting the procedures; may be obtained at: https:// (84 FR 65353; November 27, 2019). The appropriate regional office (see FOR www.fisheries.noaa.gov/national/ SARs are available at: https:// FURTHER INFORMATION). Forms may be marine-mammal-protection/marine- www.fisheries.noaa.gov/national/ submitted via any of the following mammal-protection-act-list-fisheries, or marine-mammal-protection/marine- means: (1) Online using the electronic from any NMFS Regional Office at the mammal-stock-assessment-reports- form; (2) emailed as an attachment to addresses listed below: region.
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Summary of Changes to the LOF for Category I squid purse seine fishery: (1) CA/OR/ 2021 • HI deep-set longline fishery from WA stock of Risso’s dolphin and (2) 145 to 143 vessels/persons; U.S. stock of California sea lion. In The following summarizes changes to 2020, NMFS received video footage the LOF for 2021, including the Category II taken in 2018 depicting evidence of classification of fisheries, fisheries • Risso’s dolphins and California sea lions listed, the estimated number of vessels/ HI shallow-set longline fishery from 18 to 11 vessels/persons; incidentally captured in a squid purse persons in a particular fishery, and the • American Samoa longline fishery seine operating off the coast of species and/or stocks that are from 15 to 13 vessels/persons; and California. incidentally killed or injured in a NMFS proposes to add the Cook Inlet particular fishery. NMFS re-classifies Category III stock of harbor seal to the list of species/ one fishery in the LOF for 2021. NMFS • American Samoa bottomfish stocks incidentally killed or injured in also makes changes to the estimated handline fishery from fewer than 30 to the Category III AK Gulf of Alaska number of vessels/persons and list of fewer than 20 vessels/persons. halibut longline fishery based on an species and/or stocks killed or injured observed mortality in 2015. in certain fisheries. The classifications List of Species and/or Stocks NMFS proposes to add the Aleutian and definitions of U.S. commercial Incidentally Killed or Injured in the Islands stock of harbor seal to the list of fisheries for 2021 are identical to those Pacific Ocean species/stocks incidentally killed or provided in the LOF for 2020 with the NMFS proposed to add the Aleutian injured in the Category III AK Bering changes discussed below. State and Islands stock of harbor seal to the list of Sea, Aleutian Islands Atka mackerel regional abbreviations used in the species/stocks incidentally killed or trawl fishery based on an observed following paragraphs include: AK injured in the Category II AK Bering mortality in 2016. (Alaska), CA (California), HI (Hawaii), Sea, Aleutian Islands rockfish trawl NMFS proposes to add the U.S. stock OR (Oregon), WA (Washington), and fishery based on an observed mortality of California sea lion to the list of WNA (Western North Atlantic). in 2014. species/stocks incidentally killed or NMFS proposes to add three stocks to injured in the Category III WA/OR/CA Commercial Fisheries in the Pacific the list of species/stocks incidentally shrimp trawl fishery. In 2017, a Ocean killed or injured in the Category II AK California sea lion was incidentally Classification of Fisheries Bering Sea, Aleutian Islands Pacific cod captured and released (non-serious pot fishery: (1) Bristol Bay stock of injury) from a ridgeback prawn trawl net NMFS proposes to reclassify the AK harbor seal based on two observed off the coast of California (Carretta et al., Bering Sea, Aleutian Islands Pacific cod mortalities in 2014, (2) Western North 2020). pot fishery from a Category III to a Pacific stock of humpback whale, and NMFS proposes to add two stocks to Category II fishery based on an observed (3) Central North Pacific stock of the list of species/stocks incidentally entanglement of a western North Pacific humpback whale. In 2017, a humpback killed or injured in the Category III WA/ humpback whale in the Pacific cod pot whale was observed entangled in the OR/CA groundfish trawl fishery: (1) fishery in 2017 (Delean et al., 2020). State-managed parallel Pacific cod pot California breeding stock of northern This entanglement was determined to be fishery. This entanglement occurred in elephant seal and (2) CA/OR/WA stock a serious injury and resulted in a mean an area of humpback whale stock of northern right whale dolphin. Six annual estimated M/SI level of 0.2 (6.7 overlap and consistent with the current northern elephant seal mortalities percent of PBR) for AK Bering Sea, Guidelines for Assessing Marine occurred off the coast of California, Aleutian Islands Pacific cod pot fishery. Mammal Stocks (GAMMS), the serious Oregon and Washington, four in 2015 Therefore, because the estimated M/SI is injury was assigned to both the Western and two in 2016 (Carretta et al., 2020). between 1 and 50 percent of PBR (Tier North Pacific and Central North Pacific In 2016, northern right whale dolphin 2 analysis), NMFS proposes to reclassify stocks (Delean et al., 2020). was incidentally killed in a catcher the AK Bering Sea, Aleutian Islands NMFS proposes to add the both processor midwater trawl gear off the Pacific cod pot fishery from a Category Eastern North Pacific Gulf of Alaska, coast of Oregon (Carretta et al., 2020). III to a Category II fishery. Aleutian Islands, and Bering Sea NMFS proposes to add to the Western Fishery Name and Organizational Transient stock, and West Coast North Pacific stock of humpback whale Changes Transient stock, of killer whales to the to the list of species/stocks incidentally list of species/stocks incidentally killed killed or injured in the Category III AK/ NMFS proposes to add a superscript or injured in the Category II CA WA/OR/CA commercial passenger ‘‘1’’ to the CA/OR/WA stock of minke Dungeness crab pot fishery. In 2015, a fishing vessel fishery for a ship strike whale indicating it is driving the dead killer whale was reported that occurred in 2017. NMFS proposes Category II classification of the CA entangled in CA Dungeness crab pot to remove three stocks from the list of thresher shark/swordfish drift gillnet (>/ gear in California. Genetic analysis species/stocks incidentally killed or =14 in mesh) fishery. The CA/OR/WA indicated the animal was a transient injured in the Category II AK Bering minke whale mean annual estimated M/ whale from either the Eastern North Sea, Aleutian Islands pollock trawl SI is 0.1 whales (2.86 percent of PBR) Pacific Gulf of Alaska, Aleutian Islands, fishery: (1) Alaska stock of ringed seal, for the CA thresher shark/swordfish and Bering Sea Transient stock, or the (2) Central North Pacific stock of drift gillnet (>/=14 in mesh) fishery West Coast Transient stock (Delean et humpback whale and (3) Western North (Carretta, 2020) and warrants a Category al., 2020). In 2016, a West Coast Pacific stock of humpback whale based II classification (M/SI is between 1 and transient killer whale was reported on no recently observed mortalities or 50 percent of PBR) for this fishery. entangled in CA Dungeness crab pot injuries. NMFS proposes to remove the Alaska Number of Vessels/Persons gear before self-releasing without serious injury (Delean et al., 2020). stock of ringed seal from the list of NMFS proposes to update the NMFS proposes to add two stocks to species/stocks incidentally killed or estimated number of vessels/persons in the list of species/stocks incidentally injured in the Category II AK Bering the Pacific Ocean (Table 1) as follows: killed or injured in the Category III CA Sea, Aleutian Islands Pacific cod
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longline fishery based on no recently NMFS proposes to clarify the fishery • Southeastern U.S. Atlantic, Gulf of observed mortalities or injuries. description of the Category I Atlantic Mexico shrimp trawl fishery from 4,950 NMFS proposes to remove the Ocean, Caribbean, Gulf of Mexico large to 10,824 vessels/persons; • Western U.S. stock of Steller sea lion pelagics longline fishery. NMFS clarifies Atlantic mixed species trap/pot from the list of species/stocks that the fishery does not target bluefin fishery from 3,332 to 3,493 vessels/ incidentally killed or injured in the tuna, shortfin mako sharks and other persons; • Category II AK Gulf of Alaska sablefish shark species. Mid-Atlantic menhaden purse seine NMFS clarifies its response to fishery from 19 to 17 vessels/persons; longline fishery based on no recently • observed mortalities or injuries. Comment 14 in the 2020 Final LOF (85 Virginia pound net fishery from 26 to 20 vessels/persons; NMFS proposes to remove the Alaska FR 21079; April 16, 2020). In Comment stock of ringed seal from the list of #14, Maine Lobstermen’s Association Category III (MLA) notes ‘‘there has been only one species/stocks incidentally killed or • Caribbean gillnet fishery from >991 injured in the Category III AK Bering right whale entangled in Maine gear in April 2002, and the entanglement was to 127 vessels/persons; Sea, Aleutian Islands Pacific cod trawl • Caribbean mixed species trap/pot determined to be a non-serious injury. based on no recently observed fishery from >501 to 154 vessels/ There are two additional non-serious mortalities or injuries. persons; injury entanglement cases that involved NMFS proposes to remove the Alaska • Caribbean spiny lobster trap/pot Maine lobster gear. However, Maine stock of harbor seal from the list of fishery from >197 to 40 vessels/persons; lobster gear was not the primary species/stocks incidentally killed or and injured in the Category III AK Gulf of entangling gear in these cases.’’ In the • Caribbean haul/beach seine fishery Alaska flatfish trawl fishery based on no 2020 Final LOF, NMFS’ response in part from 15 to 38 vessels/person. recently observed mortalities or injuries. to this comment stated: ‘‘We recognize NMFS notes there is variability in the that there has only been one confirmed estimated number of vessels/persons in Commercial Fisheries in the Atlantic mortality (in 2012) in American lobster the Southeastern U.S. Atlantic, Gulf of Ocean, Gulf of Mexico, and Caribbean gear in the past decade. All other Mexico shrimp trawl fishery. This Fishery Name and Organizational documented lobster interactions were variability is due to multiple permitting Changes and Clarification determined to result in non-serious agencies, differences in fishery injuries. However, there have been a management, and artifacts with NMFS proposes to add a superscript number of entanglements for which available data sets. A complete ‘‘1’’ to the following four stocks to interventions occurred because these explanation of the variability is indicate they are driving the Category II entanglements were determined to be available in the Environmental Impact classification of the Northeast trawl resulting in serious injuries (Henry et Statement to Reduce the Incidental fishery: (1) Western North Atlantic stock al., 2019).’’ Bycatch and Mortality of Sea Turtles in of Risso’s dolphin, (2) Western North NMFS clarifies part of the response to the Southeastern U.S. Shrimp Fisheries Atlantic stock of long-finned pilot Comment #14 to state: We recognize (November 4, 2019). whale, (3) Western North Atlantic there has been only one confirmed offshore stock of bottlenose dolphin, mortality (in 2012) in the past decade in List of Species and/or Stocks and (4) Western North Atlantic stock of U.S. Northern inshore/nearshore trap/ Incidentally Killed or Injured in the gray seal. The Risso’s dolphin mean pot gear which could be gear from the Atlantic Ocean, Gulf of Mexico, and annual mortality in the Northeast trawl Northeast/Mid-Atlantic American Caribbean fishery is an estimated 4.2 animals, lobster trap/pot fishery or the Atlantic NMFS proposes to add the Mobile which represents 1.4 percent of the mixed species trap/pot fishery. All other Bay, Bonsecour Bay stock of bottlenose stock’s PBR (303). The long-finned pilot documented lobster interactions were dolphin to the list of species/stocks whale mean annual mortality in this determined to result in non-serious incidentally killed or injured in the fishery is an estimated 15 animals, injuries. However, there have been a Category II Gulf of Mexico gillnet which represents 4.9 percent of the number of entanglements for which fishery based on one dead, stranded stock’s PBR (306). The bottlenose interventions occurred because these dolphin with gillnet lesions on the dolphin mean annual mortality is an entanglements were determined to be rostrum and a sliced ventrum in 2016. estimated 10.4 animals, which resulting in serious injuries (Henry et Dolphins entangled in gillnet gear often represents 2 percent of the stock’s PBR al., 2019). present with diagnostic lesions when (519). The gray seal mean annual Number of Vessels/Persons stranded that can be identified by mortality is an estimated 16 animals, trained personnel (Kuiken, 1996, Read which represents 1.2 percent of the NMFS proposes updates to the and Murray, 2000, Moore and Barco, stock’s PBR (1,389). Observer coverage estimated number of vessels/persons in 2013). In addition, gillnet fishermen for this fishery from 2013–2017 was 15, the Atlantic Ocean, Gulf of Mexico, and will sometimes make a longitudinal slit 17, 19, 12 and 16 percent, respectively Caribbean (Table 2) as follows: along the ventral surface of the abdomen NMFS proposes to clarify the fishery Category I before discarding the carcass to reduce description of the Category II floating (Read and Murray, 2000). The Southeastern U.S. Atlantic, Gulf of • Mid-Atlantic gillnet fishery from Gulf of Mexico gillnet fishery is the only Mexico shrimp trawl fishery. NMFS 3,950 to 4,020 vessels/person; gillnet fishery in the Gulf of Mexico. clarifies that this fishery targets shrimp • Northeast sink gillnet fishery from NMFS proposes to add the Western species with various gear types, but 3,163 to 4,072 vessels/persons; North Atlantic offshore stock of mainly utilizes skimmer or otter trawls. bottlenose dolphin to the list of species/ Category II These gear types likely entangle marine stocks incidentally killed or injured in mammals, particularly bottlenose • Chesapeake Bay inshore gillnet the Category II mid-Atlantic mid-water dolphins, in very similar ways. The fishery from 248 to 265 vessels/persons; trawl (including pair trawl) fishery common entangling mechanism of these • Northeast bottom trawl fishery from based on a self-reported mortality in gear types are the ‘‘lazy’’ or ‘‘easy’’ line. 2,238 to 968 vessels/persons; 2016.
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NMFS proposes to add the Puerto Category III reflect this change. For additional Rico and U.S. Virgin Islands stock of • Northwest Atlantic bottom longline information on fishing effort in fisheries bottlenose dolphin to the list of species/ fishery from 3 to 2 HSFCA permits; found on Table 1 or 2, contact the stocks incidentally killed or injured in • Pacific highly migratory species relevant regional office (contact Category III Caribbean mixed species longline fishery from 108 to 105 HSFCA information included above in Where trap/pot fishery. In 2014, one dolphin permits; and can I find more information about the was entangled in trap/pot line. The • Pacific highly migratory species LOF and the MMAP? subsection). For high seas fisheries, Table 3 lists animal was rescued and subsequently troll fishery from 119 to 111 HSFCA the number of valid HSFCA permits died. permits. Following consultation with the U.S. currently held. Although this likely Fish and Wildlife Service, NMFS List of Fisheries overestimates the number of active proposes to add the Antillean The following tables set forth the list participants in many of these fisheries, subspecies (Puerto Rico stock) of West of U.S. commercial fisheries according the number of valid HSFCA permits is Indian manatee to the list of species/ to their classification under section 118 the most reliable data on the potential stocks incidentally killed or injured in of the MMPA. Table 1 lists commercial effort in high seas fisheries at this time. Category III Caribbean haul/beach seine fisheries in the Pacific Ocean (including As noted previously in this LOF, the number of HSFCA permits listed in fishery based on two documented Alaska), Table 2 lists commercial Table 3 for the high seas components of entanglements of manatees, one in 2009 fisheries in the Atlantic Ocean, Gulf of fisheries that also operate within U.S. and one in 2018. Mexico, and Caribbean, Table 3 lists waters does not necessarily represent commercial fisheries on the high seas, NMFS proposes to remove the additional effort that is not accounted and Table 4 lists fisheries affected by Western North Atlantic offshore stock of for in Tables 1 and 2. Many vessels TRPs or TRTs. bottlenose dolphin from the list of holding HSFCA permits also fish within In Tables 1 and 2, the estimated species/stocks incidentally killed or U.S. waters and are included in the number of vessels or persons injured in the Category III Gulf of number of vessels and participants participating in fisheries operating Maine, U.S. mid-Atlantic tuna, shark, operating within those fisheries in within U.S. waters is expressed in terms swordfish hook-and line/harpoon Tables 1 and 2. fishery. From 2013 through 2017, there of the number of active participants in Tables 1, 2, and 3 also list the marine were no reported or observed mortalities the fishery, when possible. If this mammal species and/or stocks or injuries in this fishery (Hayes et al., information is not available, the incidentally killed or injured (seriously in review). estimated number of vessels or persons or non-seriously) in each fishery based licensed for a particular fishery is Commercial Fisheries on the High Seas on SARs, injury determination reports, provided. If no recent information is bycatch estimation reports, observer Number of Vessels/Persons available on the number of participants, data, logbook data, stranding data, vessels, or persons licensed in a fishery, NMFS proposes updates to the disentanglement network data, then the number from the most recent fishermen self-reports (i.e., MMAP estimated number of HSFCA permits for LOF is used for the estimated number of high seas fisheries (Table 3) as follows: reports), and anecdotal reports. The best vessels or persons in the fishery. NMFS available scientific information Category I acknowledges that, in some cases, these included in these reports is based on estimates may be inflations of actual data through 2017. This list includes all • Atlantic highly migratory species effort. For example, the State of Hawaii species and/or stocks known to be killed longline fishery from 53 to 45 HSFCA does not issue fishery-specific licenses, or injured in a given fishery, but also permits; and the number of participants reported • includes species and/or stocks for Western Pacific pelagic longline (HI in the LOF represents the number of which there are anecdotal records of a deep-set component) fishery from 145 to commercial marine license holders who mortality or injury. Additionally, 143 HSFCA permits; reported using a particular fishing gear species identified by logbook entries, Category II type/method at least once in a given stranding data, or fishermen self-reports year, without considering how many (i.e., MMAP reports) may not be • South Pacific tuna purse seine times the gear was used. For these verified. In Tables 1 and 2, NMFS has fishery from 33 to 26 HSFCA permits; fisheries, effort by a single participant is designated those species/stocks driving • South Pacific tuna longline fishery counted the same whether the a fishery’s classification (i.e., the fishery from 2 to 3 HSFCA permits; fisherman used the gear only once or is classified based on mortalities and • Western Pacific pelagic longline (HI every day. In the Mid-Atlantic and New serious injuries of a marine mammal shallow-set component) fishery from 18 England fisheries, the numbers stock that are greater than or equal to 50 to 11 HSFCA permits; represent the potential effort for each percent (Category I), or greater than 1 • Atlantic highly migratory species fishery, given the multiple gear types for percent and less than 50 percent handline/pole and line fishery from 2 to which several state permits may allow. (Category II), of a stock’s PBR) by a ‘‘1’’ 1 HSFCA permits; Changes made to Mid-Atlantic and New after the stock’s name. • England fishery participants will not In Tables 1 and 2, there are several Pacific highly migratory species affect observer coverage or bycatch fisheries classified as Category II that handline/pole and line fishery from 41 estimates, as observer coverage and have no recent documented mortalities to 43 HSFCA permits; bycatch estimates are based on vessel or serious injuries of marine mammals, • South Pacific albacore troll trip reports and landings data. Tables 1 or fisheries that did not result in a handline/pole and line fishery from 11 and 2 serve to provide a description of mortality or serious injury rate greater to 10 HSFCA permits; the fishery’s potential effort (state and than 1 percent of a stock’s PBR level • South Pacific albacore troll fishery Federal). If NMFS is able to extract more based on known interactions. NMFS has from 17 to 18 HSFCA permits; accurate information on the gear types classified these fisheries by analogy to • Western Pacific pelagic troll fishery used by state permit holders in the other Category I or II fisheries that use from 5 to 4 HSFCA permits; future, the numbers will be updated to similar fishing techniques or gear that
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are known to cause mortality or serious qualitative data from logbooks or economic zone (EEZ) boundary and injury of marine mammals, as discussed fishermen reports, stranding data, and therefore operate both within U.S. in the final LOF for 1996 (60 FR 67063; the species and distribution of marine waters and on the high seas. These December 28, 1995), and according to mammals in the area). NMFS has fisheries, though listed separately on factors listed in the definition of a designated those fisheries listed by Table 1 or 2 and Table 3, are considered ‘‘Category II fishery’’ in 50 CFR 229.2 analogy in Tables 1 and 2 by adding a the same fisheries on either side of the (i.e., fishing techniques, gear types, ‘‘2’’ after the fishery’s name. EEZ boundary. NMFS has designated methods used to deter marine mammals, There are several fisheries in Tables 1, those fisheries in each table with an target species, seasons and areas fished, 2, and 3 in which a portion of the asterisk (*) after the fishery’s name. fishing vessels cross the exclusive
TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Category I
Longline/Set Line Fisheries: HI deep-set longline * ∧ ...... 143 Bottlenose dolphin, HI Pelagic. False killer whale, HI Pelagic.1 False killer whale, MHI Insular.1 False killer whale, NWHI. Humpback whale. Central North Pacific. Kogia spp. (Pygmy or dwarf sperm whale), HI. Pygmy killer whale, HI. Risso’s dolphin, HI. Rough-toothed dolphin, HI. Short-finned pilot whale, HI. Striped dolphin, HI.
Category II
Gillnet Fisheries: CA thresher shark/swordfish drift gillnet (≥14 in mesh) * .... 14 Bottlenose dolphin, CA/OR/WA offshore. California sea lion, U.S. Dall’s porpoise, CA/OR/WA. Gray whale, Eastern North Pacific. Humpback whale, CA/OR/WA. Long-beaked common dolphin, CA. Minke whale, CA/OR/WA.1 Northern elephant seal, CA breeding. Northern right-whale dolphin, CA/OR/WA. Pacific white-sided dolphin, CA/OR/WA. Risso’s dolphin, CA/OR/WA. Short-beaked common dolphin, CA/OR/WA. Short-finned pilot whale, CA/OR/WA.1 Sperm Whale, CA/OR/WA.1 CA halibut/white seabass and other species set gillnet 37 California sea lion, U.S. (>3.5 in mesh). Gray whale, Eastern North Pacific. Harbor seal, CA. Humpback whale, CA/OR/WA.1 Long-beaked common dolphin, CA. Northern elephant seal, CA breeding. Sea otter, CA. Short-beaked common dolphin, CA/OR/WA. CA yellowtail, barracuda, and white seabass drift gillnet 22 California sea lion, U.S. (mesh size ≥3.5 in and <14 in) 2. Long-beaked common dolphin, CA. Short-beaked common dolphin, CA/OR/WA. AK Bristol Bay salmon drift gillnet 2 ...... 1,862 Beluga whale, Bristol Bay. Gray whale, Eastern North Pacific. Harbor seal, Bering Sea. Northern fur seal, Eastern Pacific. Pacific white-sided dolphin, North Pacific. Spotted seal, AK. Steller sea lion, Western U.S. AK Bristol Bay salmon set gillnet 2 ...... 979 Beluga whale, Bristol Bay. Gray whale, Eastern North Pacific. Harbor seal, Bering Sea. Northern fur seal, Eastern Pacific. Spotted seal, AK. AK Kodiak salmon set gillnet ...... 188 Harbor porpoise, GOA.1 Harbor seal, GOA. Humpback whale, Central North Pacific.
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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Humpback whale, Western North Pacific. Sea otter, Southwest AK. Steller sea lion, Western U.S. AK Cook Inlet salmon set gillnet ...... 736 Beluga whale, Cook Inlet. Dall’s porpoise, AK. Harbor porpoise, GOA. Harbor seal, GOA. Humpback whale, Central North Pacific.1 Sea otter, South central AK. Steller sea lion, Western U.S. AK Cook Inlet salmon drift gillnet ...... 569 Beluga whale, Cook Inlet. Dall’s porpoise, AK. Harbor porpoise, GOA.1 Harbor seal, GOA. Steller sea lion, Western U.S. AK Peninsula/Aleutian Islands salmon drift gillnet 2 ...... 162 Dall’s porpoise, AK. Harbor porpoise, GOA. Harbor seal, GOA. Northern fur seal, Eastern Pacific. AK Peninsula/Aleutian Islands salmon set gillnet 2 ...... 113 Harbor porpoise, Bering Sea. Northern sea otter, Southwest AK. Steller sea lion, Western U.S. AK Prince William Sound salmon drift gillnet ...... 537 Dall’s porpoise, AK. Harbor porpoise, GOA.1 Harbor seal, GOA. Northern fur seal, Eastern Pacific. Pacific white-sided dolphin, North Pacific. Sea otter, South central AK. Steller sea lion, Western U.S.1 AK Southeast salmon drift gillnet ...... 474 Dall’s porpoise, AK. Harbor porpoise, Southeast AK. Harbor seal, Southeast AK. Humpback whale, Central North Pacific.1 Pacific white-sided dolphin, North Pacific. Steller sea lion, Eastern U.S. AK Yakutat salmon set gillnet 2 ...... 168 Gray whale, Eastern North Pacific. Harbor Porpoise, Southeastern AK. Harbor seal, Southeast AK. Humpback whale, Central North Pacific (Southeast AK). WA Puget Sound Region salmon drift gillnet (includes all 154 Dall’s porpoise, CA/OR/WA. inland waters south of U.S.-Canada border and east- Harbor porpoise, inland WA.1 ward of the Bonilla-Tatoosh line-Treaty Indian fishing is Harbor seal, WA inland. excluded). Trawl Fisheries: AK Bering Sea, Aleutian Islands flatfish trawl ...... 32 Bearded seal, AK. Gray whale, Eastern North Pacific. Harbor porpoise, Bering Sea. Harbor seal, Bering Sea. Humpback whale, Western North Pacific.1 Killer whale, AK resident.1 Killer whale, GOA, AI, BS transient.1 Northern fur seal, Eastern Pacific. Ringed seal, AK. Ribbon seal, AK. Spotted seal, AK. Steller sea lion, Western U.S.1 Walrus, AK. AK Bering Sea, Aleutian Islands pollock trawl ...... 102 Bearded seal, AK. Beluga whale, Bristol Bay. Beluga whale, Eastern Bering Sea. Beluga whale, Eastern Chukchi Sea. Harbor seal, AK. Northern fur seal, Eastern Pacific. Ribbon seal, AK. Spotted seal, AK. Steller sea lion, Western U.S.1 AK Bering Sea, Aleutian Islands rockfish trawl ...... 17 Harbor seal, Aleutian Islands. Killer whale, ENP AK resident.1 Killer whale, GOA, AI, BS transient.1
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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Ribbon seal, AK. Pot, Ring Net, and Trap Fisheries: AK Bering Sea, Aleutian Islands Pacific cod pot ...... 59 Harbor seal, Bristol Bay. Humpback whale, Central North Pacific. Humpback whale, Western North Pacific. CA coonstripe shrimp pot ...... 14 Gray whale, Eastern North Pacific. Harbor seal, CA. Humpback whale, CA/OR/WA. CA spiny lobster ...... 186 Bottlenose dolphin, CA/OR/WA offshore. Humpback whale, CA/OR/WA.1 Gray whale, Eastern North Pacific. Southern sea otter. CA spot prawn pot ...... 23 Gray whale, Eastern North Pacific. Humpback whale, CA/OR/WA.1 Long-beaked common dolphin, CA. CA Dungeness crab pot ...... 501 Blue whale, Eastern North Pacific.1 Gray whale, Eastern North Pacific. Humpback whale, CA/OR/WA.1 Killer whale, Eastern North Pacific GOA, BSAI transient. Killer whale, West Coast transient. OR Dungeness crab pot ...... 342 Gray whale, Eastern North Pacific. Humpback whale, CA/OR/WA.1 WA/OR/CA sablefish pot ...... 155 Humpback whale, CA/OR/WA.1 WA coastal Dungeness crab pot ...... 197 Gray whale, Eastern North Pacific. Humpback whale, CA/OR/WA.1 Longline/Set Line Fisheries: AK Bering Sea, Aleutian Islands Pacific cod longline ...... 45 Killer whale, Eastern North Pacific AK resident. Killer whale, GOA, BSAI transient.1 Northern fur seal, Eastern Pacific. Spotted seal, AK. Steller sea lion, Western U.S. AK Gulf of Alaska sablefish longline ...... 295 Sperm whale, North Pacific. Steller sea lion, Eastern U.S. HI shallow-set longline * ∧ ...... 11 Blainville’s beaked whale, HI. Bottlenose dolphin, HI Pelagic. False killer whale, HI Pelagic.1 Humpback whale, Central North Pacific. Risso’s dolphin, HI. Rough-toothed dolphin, HI. Striped dolphin, HI. American Samoa longline 2 ...... 13 False killer whale, American Samoa. Rough-toothed dolphin, American Samoa. Short-finned pilot whale, unknown. HI shortline 2 ...... 9 None documented.
Category III
Gillnet Fisheries: AK Kuskokwim, Yukon, Norton Sound, Kotzebue salmon 1,778 Harbor porpoise, Bering Sea. gillnet. AK Prince William Sound salmon set gillnet ...... 29 Harbor seal, GOA. Humpback whale, Central North Pacific. Sea otter, South central AK. Steller sea lion, Western U.S. AK roe herring and food/bait herring gillnet ...... 920 None documented. CA set gillnet (mesh size <3.5 in) ...... 296 None documented. HI inshore gillnet ...... 36 Bottlenose dolphin, HI. Spinner dolphin, HI. WA Grays Harbor salmon drift gillnet (excluding treaty 24 Harbor seal, OR/WA coast. Tribal fishing). WA/OR Mainstem Columbia River eulachon gillnet ...... 15 None documented. WA/OR lower Columbia River (includes tributaries) drift 110 California sea lion, U.S. gillnet. Harbor seal, OR/WA coast. WA Willapa Bay drift gillnet ...... 82 Harbor seal, OR/WA coast. Northern elephant seal, CA breeding. Miscellaneous Net Fisheries: AK Cook Inlet salmon purse seine ...... 83 Humpback whale, Central North Pacific. AK Kodiak salmon purse seine ...... 376 Dall’s porpoise, AK. Humpback whale, Central North Pacific.
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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Humpback whale, Western North Pacific. AK Southeast salmon purse seine ...... 315 Humpback whale, Central North Pacific. AK roe herring and food/bait herring beach seine ...... 10 None documented. AK roe herring and food/bait herring purse seine ...... 356 None documented. AK salmon beach seine ...... 31 None documented. AK salmon purse seine (Prince William Sound, Chignik, 936 Harbor seal, GOA. Alaska Peninsula). Harbor seal, Prince William Sound. WA/OR sardine purse seine ...... 42 None documented. CA anchovy, mackerel, sardine purse seine ...... 65 California sea lion, U.S. Harbor seal, CA. CA squid purse seine ...... 80 California sea lion, U.S. Long-beaked common dolphin, CA. Risso’s dolphin, CA/OR/WA. Short-beaked common dolphin, CA/OR/WA. CA tuna purse seine * ...... 10 None documented. WA/OR Lower Columbia River salmon seine ...... 10 None documented. WA/OR herring, smelt, squid purse seine or lampara ...... 130 None documented. WA salmon purse seine ...... 75 None documented. WA salmon reef net ...... 11 None documented. HI lift net ...... 17 None documented. HI inshore purse seine ...... <3 None documented. HI throw net, cast net ...... 23 None documented. HI seine net ...... 24 None documented. Dip Net Fisheries: CA squid dip net ...... 115 None documented. Marine Aquaculture Fisheries: CA marine shellfish aquaculture ...... unknown None documented. CA salmon enhancement rearing pen ...... >1 None documented. CA white seabass enhancement net pens ...... 13 California sea lion, U.S. HI offshore pen culture ...... 2 None documented. WA salmon net pens ...... 14 California sea lion, U.S. Harbor seal, WA inland waters. WA/OR shellfish aquaculture ...... 23 None documented. Troll Fisheries: WA/OR/CA albacore surface hook and line/troll ...... 705 None documented. CA halibut hook and line/handline ...... unknown None documented. CA white seabass hook and line/handline ...... unknown None documented. AK Bering Sea, Aleutian Islands groundfish hand troll and unknown None documented. dinglebar troll. AK Gulf of Alaska groundfish hand troll and dinglebar troll unknown None documented. AK salmon troll ...... 1,908 Steller sea lion, Eastern U.S. Steller sea lion, Western U.S. American Samoa tuna troll ...... 13 None documented. CA/OR/WA salmon troll ...... 4,300 None documented. HI troll ...... 2,117 Pantropical spotted dolphin, HI. HI rod and reel ...... 322 None documented. Commonwealth of the Northern Mariana Islands tuna troll 40 None documented. Guam tuna troll ...... 432 None documented. Longline/Set Line Fisheries: AK Bering Sea, Aleutian Islands Greenland turbot longline 4 Killer whale, AK resident. AK Bering Sea, Aleutian Islands sablefish longline ...... 22 None documented. AK Bering Sea, Aleutian Islands halibut longline ...... 127 Northern fur seal, Eastern Pacific. Sperm whale, North Pacific. AK Gulf of Alaska halibut longline ...... 855 Harbor seal, Cook Inlet. Steller sea lion, Eastern U.S. AK Gulf of Alaska Pacific cod longline ...... 92 Steller sea lion, Western U.S. AK octopus/squid longline ...... 3 None documented. AK state-managed waters longline/setline (including sable- 464 None documented. fish, rockfish, lingcod, and miscellaneous finfish). WA/OR/CA groundfish, bottomfish longline/set line ...... 367 Bottlenose dolphin, CA/OR/WA offshore. California sea lion, U.S. Northern elephant seal, California breeding. Sperm whale, CA/OR/WA. Steller sea lion, Eastern U.S. WA/OR Pacific halibut longline ...... 350 None documented. CA pelagic longline ...... 1 None documented in the most recent five years of data. HI kaka line ...... 15 None documented. HI vertical line ...... 3 None documented. Trawl Fisheries:
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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
AK Bering Sea, Aleutian Islands Atka mackerel trawl ...... 13 Bearded seal, AK. Harbor seal, Aleutian Islands. Steller sea lion, Western U.S. AK Bering Sea, Aleutian Islands Pacific cod trawl ...... 72 Bearded seal, AK. Ribbon seal, AK. Steller sea lion, Western U.S. AK Gulf of Alaska flatfish trawl ...... 36 Northern elephant seal, North Pacific. Steller sea lion, Western U.S. AK Gulf of Alaska Pacific cod trawl ...... 55 Harbor seal, AK. Steller sea lion, Western U.S. AK Gulf of Alaska pollock trawl ...... 67 Dall’s porpoise, AK. Fin whale, Northeast Pacific. Northern elephant seal, North Pacific. Steller sea lion, Western U.S. AK Gulf of Alaska rockfish trawl ...... 43 Steller sea lion, Western U.S. AK Kodiak food/bait herring otter trawl ...... 4 None documented. AK shrimp otter trawl and beam trawl ...... 38 None documented. AK state-managed waters of Prince William Sound 2 None documented. groundfish trawl. CA halibut bottom trawl ...... 47 California sea lion, U.S. Harbor porpoise, unknown. Harbor seal, unknown. Northern elephant seal, CA breeding. Steller sea lion, unknown. CA sea cucumber trawl ...... 16 None documented. WA/OR/CA shrimp trawl ...... 300 California sea lion, U.S. WA/OR/CA groundfish trawl ...... 160–180 California sea lion, U.S. Dall’s porpoise, CA/OR/WA. Harbor seal, OR/WA coast. Northern elephant seal, CA breeding. Northern fur seal, Eastern Pacific. Northern right whale dolphin, CA/OR/WA. Pacific white-sided dolphin, CA/OR/WA. Steller sea lion, Eastern U.S. Pot, Ring Net, and Trap Fisheries: AK Bering Sea, Aleutian Islands sablefish pot ...... 6 None documented. AK Bering Sea, Aleutian Islands crab pot ...... 540 Bowhead whale, Western Arctic. Gray whale, Eastern North Pacific. AK Gulf of Alaska crab pot ...... 271 None documented. AK Gulf of Alaska Pacific cod pot ...... 116 Harbor seal, GOA. AK Gulf of Alaska sablefish pot ...... 248 None documented. AK Southeast Alaska crab pot ...... 375 Humpback whale, Central North Pacific (Southeast AK). AK Southeast Alaska shrimp pot ...... 99 Humpback whale, Central North Pacific (Southeast AK). AK shrimp pot, except Southeast ...... 141 None documented. AK octopus/squid pot ...... 15 None documented. CA rock crab pot ...... 124 Gray whale, Eastern North Pacific. Harbor seal, CA. WA/OR/CA hagfish pot ...... 54 None documented. WA/OR shrimp pot/trap ...... 254 None documented. WA Puget Sound Dungeness crab pot/trap ...... 249 None documented. HI crab trap ...... 5 Humpback whale, Central North Pacific. HI fish trap ...... 9 None documented. HI lobster trap ...... <3 None documented in recent years. HI shrimp trap ...... 10 None documented. HI crab net ...... 4 None documented. HI Kona crab loop net ...... 33 None documented. Hook and Line, Handline, and Jig Fisheries: AK Bering Sea, Aleutian Islands groundfish jig ...... 2 None documented. AK Gulf of Alaska groundfish jig ...... 214 Fin whale, Northeast Pacific. AK halibut jig ...... 71 None documented. American Samoa bottomfish ...... fewer than 20 None documented. Commonwealth of the Northern Mariana Islands 28 None documented. bottomfish. Guam bottomfish ...... >300 None documented. HI aku boat, pole, and line ...... <3 None documented. HI bottomfish handline ...... 578 None documented in recent years. HI inshore handline ...... 357 None documented. HI pelagic handline ...... 534 None documented. WA groundfish, bottomfish jig ...... 679 None documented.
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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Western Pacific squid jig ...... 0 None documented. Harpoon Fisheries: CA swordfish harpoon ...... 6 None documented. Pound Net/Weir Fisheries: AK herring spawn on kelp pound net ...... 291 None documented. AK Southeast herring roe/food/bait pound net ...... 2 None documented. HI bullpen trap ...... 3 None documented. Bait Pens: WA/OR/CA bait pens ...... 13 California sea lion, U.S. Dredge Fissheries: AK scallop dredge ...... 108 (5 AK) None documented. Dive, Hand/Mechanical Collection Fisheries: AK clam ...... 130 None documented. AK Dungeness crab ...... 2 None documented. AK herring spawn on kelp ...... 266 None documented. AK miscellaneous invertebrates handpick ...... 214 None documented. HI black coral diving ...... <3 None documented. HI fish pond ...... 5 None documented. HI handpick ...... 46 None documented. HI lobster diving ...... 19 None documented. HI spearfishing ...... 163 None documented. WA/CA kelp ...... 4 None documented. WA/OR bait shrimp, clam hand, dive, or mechanical col- 201 None documented. lection. OR/CA sea urchin, sea cucumber hand, dive, or mechan- 10 None documented. ical collection. Commercial Passenger Fishing Vessel (Charter Boat) Fish- eries: AK/WA/OR/CA commercial passenger fishing vessel ...... >7,000 (1,006 Humpback whale, Western North Pacific. AK) Killer whale, unknown. Steller sea lion, Eastern U.S. Steller sea lion, Western U.S. Live Finfish/Shellfish Fisheries: CA nearshore finfish live trap/hook-and-line ...... 93 None documented. HI aquarium collecting ...... 90 None documented. List of Abbreviations and Symbols Used in Table 1: AI—Aleutian Islands; AK—Alaska; BS—Bering Sea; CA—California; ENP—Eastern North Pacific; GOA—Gulf of Alaska; HI—Hawaii; MHI— Main Hawaiian Islands; OR—Oregon; WA—Washington; 1 Fishery classified based on mortalities and serious injuries of this stock, which are greater than or equal to 50 percent (Category I) or greater than 1 percent and less than 50 percent (Category II) of the stock’s PBR; 2 Fishery classified by analogy; * Fishery has an associated high seas component listed in Table 3; and ∧ The list of marine mammal species and/or stocks killed or injured in this fishery is identical to the list of species and/or stocks killed or injured in high seas component of the fishery, minus species and/or stocks that have geographic ranges exclusively on the high seas. The species and/ or stocks are found, and the fishery remains the same, on both sides of the EEZ boundary. Therefore, the EEZ components of these fisheries pose the same risk to marine mammals as the components operating on the high seas.
TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Category I
Gillnet Fisheries: Mid-Atlantic gillnet ...... 4,020 Bottlenose dolphin, Northern Migratory coastal. Bottlenose dolphin, Southern Migratory coastal.1 Bottlenose dolphin, Northern NC estuarine system.1 Bottlenose dolphin, Southern NC estuarine system.1 Bottlenose dolphin, WNA offshore. Common dolphin, WNA. Gray seal, WNA. Harbor porpoise, GME/BF. Harbor seal, WNA. Hooded seal, WNA. Humpback whale, Gulf of Maine. Minke whale, Canadian east coast. Northeast sink gillnet ...... 4,072 Bottlenose dolphin, WNA offshore.
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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
Common dolphin, WNA. Fin whale, WNA. Gray seal, WNA.1 Harbor porpoise, GME/BF. Harbor seal, WNA. Harp seal, WNA. Humpback whale, Gulf of Maine. Minke whale, Canadian east coast. North Atlantic right whale, WNA. Risso’s dolphin, WNA. White-sided dolphin, WNA. Trap/Pot Fisheries: Northeast/Mid-Atlantic American lobster trap/pot ...... 8,485 Humpback whale, Gulf of Maine. Minke whale, Canadian east coast. North Atlantic right whale, WNA.1 Longline Fisheries: Atlantic Ocean, Caribbean, Gulf of Mexico large pelagics 201 Atlantic spotted dolphin, Northern GMX. longline *. Bottlenose dolphin, Northern GMX oceanic. Bottlenose dolphin, WNA offshore. Common dolphin, WNA. Cuvier’s beaked whale, WNA. False killer whale, WNA. Harbor porpoise, GME, BF. Kogia spp. (Pygmy or dwarf sperm whale), WNA. Long-finned pilot whale, WNA. Mesoplodon beaked whale, WNA. Minke whale, Canadian East coast. Pantropical spotted dolphin, Northern GMX. Pygmy sperm whale, GMX. Risso’s dolphin, Northern GMX. Risso’s dolphin, WNA. Rough-toothed dolphin, Northern GMX. Short-finned pilot whale, Northern GMX. Short-finned pilot whale, WNA.1 Sperm whale, Northern GMX.
Category II
Gillnet Fisheries: Chesapeake Bay inshore gillnet 2 ...... 265 Bottlenose dolphin, unknown (Northern migratory coastal or Southern migratory coastal). Gulf of Mexico gillnet 2 ...... 248 Bottlenose dolphin, Eastern GMX coastal. Bottlenose dolphin, GMX bay, sound, and estuarine. Bottlenose dolphin, Mobile Bay, Bonsecour Bay. Bottlenose dolphin, Northern GMX coastal. Bottlenose dolphin, Western GMX coastal. NC inshore gillnet ...... 2,676 Bottlenose dolphin, Northern NC estuarine system.1 Bottlenose dolphin, Southern NC estuarine system.1 Northeast anchored float gillnet 2 ...... 852 Harbor seal, WNA. Humpback whale, Gulf of Maine. White-sided dolphin, WNA. Northeast drift gillnet 2 ...... 1,036 None documented. Southeast Atlantic gillnet 2 ...... 273 Bottlenose dolphin, Central FL coastal. Bottlenose dolphin, Northern FL coastal. Bottlenose dolphin, SC/GA coastal. Bottlenose dolphin, Southern migratory coastal. Southeastern U.S. Atlantic shark gillnet ...... 21 Bottlenose dolphin, unknown (Central FL, Northern FL, SC/GA coastal, or Southern migratory coastal). North Atlantic right whale, WNA. Trawl Fisheries: Mid-Atlantic mid-water trawl (including pair trawl) ...... 320 Bottlenose dolphin, WNA offshore. Harbor seal, WNA. Mid-Atlantic bottom trawl ...... 633 Bottlenose dolphin, WNA offshore.1 Common dolphin, WNA.1 Gray seal, WNA.1 Harbor seal, WNA. Risso’s dolphin, WNA.1
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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
White-sided dolphin, WNA. Northeast mid-water trawl (including pair trawl) ...... 542 Common dolphin, WNA. Gray seal, WNA. Harbor seal, WNA. Long-finned pilot whale, WNA.1 Northeast bottom trawl ...... 968 Bottlenose dolphin, WNA offshore.1 Common dolphin, WNA. Gray seal, WNA.1 Harbor porpoise, GME/BF. Harbor seal, WNA. Harp seal, WNA. Long-finned pilot whale, WNA.1 Risso’s dolphin, WNA.1 White-sided dolphin, WNA.1 Southeastern U.S. Atlantic, Gulf of Mexico shrimp trawl .... 10,824 Atlantic spotted dolphin, Northern Gulf of Mexico. Bottlenose dolphin, Charleston estuarine system. Bottlenose dolphin, Eastern GMX coastal.1 Bottlenose dolphin, GMX bay, sound, estuarine.1 Bottlenose dolphin, GMX continental shelf. Bottlenose dolphin, Mississippi River Delta. Bottlenose dolphin, Mobile Bay, Bonsecour Bay. Bottlenose dolphin, Northern GMX coastal.1 Bottlenose dolphin, SC/GA coastal.1 Bottlenose dolphin, Southern migratory coastal. Bottlenose dolphin, Western GMX coastal.1 Trap/Pot Fisheries: Southeastern U.S. Atlantic, Gulf of Mexico stone crab trap/ 1,101 Bottlenose dolphin, Biscayne Bay estuarine. pot 2. Bottlenose dolphin, Central FL coastal. Bottlenose dolphin, Eastern GMX coastal. Bottlenose dolphin, FL Bay. Bottlenose dolphin, GMX bay, sound, estuarine (FL west coast portion). Bottlenose dolphin, Indian River Lagoon estuarine system. Bottlenose dolphin, Jacksonville estuarine system. Bottlenose dolphin, Northern GMX coastal. Bottlenose dolphin, Sarasota Bay, Little Sarasota Bay. Atlantic mixed species trap/pot 2 ...... 3,493 Fin whale, WNA. Humpback whale, Gulf of Maine. Atlantic blue crab trap/pot ...... 6,679 Bottlenose dolphin, Central FL coastal. Bottlenose dolphin, Central GA estuarine system.1 Bottlenose dolphin, Charleston estuarine system.1 Bottlenose dolphin, Indian River Lagoon estuarine system. Bottlenose dolphin, Jacksonville estuarine system. Bottlenose dolphin, Northern FL coastal.1 Bottlenose dolphin, Northern GA/Southern SC estuarine sys- tem. Bottlenose dolphin, Northern Migratory coastal. Bottlenose dolphin, Northern NC estuarine system.1 Bottlenose dolphin, Northern SC estuarine system. Bottlenose dolphin, SC/GA coastal. Bottlenose dolphin, Southern GA estuarine system. Bottlenose dolphin, Southern Migratory coastal.1 Bottlenose dolphin, Southern NC estuarine system. West Indian manatee, FL. Purse Seine Fisheries: Gulf of Mexico menhaden purse seine ...... 40–42 Bottlenose dolphin, GMX bay, sound, estuarine. Bottlenose dolphin, Mississippi River Delta. Bottlenose dolphin, Mississippi Sound, Lake Borgne, Bay Boudreau. Bottlenose dolphin, Northern GMX coastal.1 Bottlenose dolphin, Western GMX coastal.1 Mid-Atlantic menhaden purse seine 2 ...... 17 Bottlenose dolphin, Northern Migratory coastal. Bottlenose dolphin, Southern Migratory coastal. Haul/Beach Seine Fisheries: Mid-Atlantic haul/beach seine ...... 359 Bottlenose dolphin, Northern Migratory coastal.1 Bottlenose dolphin, Northern NC estuarine system.1 Bottlenose dolphin, Southern Migratory coastal.1
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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
NC long haul seine ...... 22 Bottlenose dolphin, Northern NC estuarine system.1 Bottlenose dolphin, Southern NC estuarine system. Stop Net Fisheries: NC roe mullet stop net ...... 1 Bottlenose dolphin, Northern NC estuarine system. Bottlenose dolphin, unknown (Southern migratory coastal or Southern NC estuarine system). Pound Net Fisheries: VA pound net ...... 20 Bottlenose dolphin, Northern migratory coastal. Bottlenose dolphin, Northern NC estuarine system. Bottlenose dolphin, Southern Migratory coastal.1
Category III
Gillnet Fisheries: Caribbean gillnet ...... 127 None documented in the most recent five years of data. DE River inshore gillnet ...... unknown None documented in the most recent five years of data. Long Island Sound inshore gillnet ...... unknown None documented in the most recent five years of data. RI, southern MA (to Monomoy Island), and NY Bight (Rari- unknown None documented in the most recent five years of data. tan and Lower NY Bays) inshore gillnet. Southeast Atlantic inshore gillnet ...... unknown Bottlenose dolphin, Northern SC estuarine system. Trawl Fisheries: Atlantic shellfish bottom trawl ...... >58 None documented. Gulf of Mexico butterfish trawl ...... 2 Bottlenose dolphin, Northern GMX oceanic. Bottlenose dolphin, Northern GMX continental shelf. Gulf of Mexico mixed species trawl ...... 20 None documented. GA cannonball jellyfish trawl ...... 1 Bottlenose dolphin, SC/GA coastal. Marine Aquaculture Fisheries: Finfish aquaculture ...... 48 Harbor seal, WNA. Shellfish aquaculture ...... unknown None documented. Purse Seine Fisheries: Gulf of Maine Atlantic herring purse seine ...... >7 Harbor seal, WNA. Gulf of Maine menhaden purse seine ...... >2 None documented. FL West Coast sardine purse seine ...... 10 Bottlenose dolphin, Eastern GMX coastal. U.S. Atlantic tuna purse seine * ...... 5 None documented in most recent five years of data. Longline/Hook and Line Fisheries: Northeast/Mid-Atlantic bottom longline/hook-and-line ...... >1,207 None documented. Gulf of Maine, U.S. Mid-Atlantic tuna, shark, swordfish 2,846 Humpback whale, Gulf of Maine. hook-and-line/harpoon. Southeastern U.S. Atlantic, Gulf of Mexico, and Caribbean >5,000 Bottlenose dolphin, GMX continental shelf. snapper-grouper and other reef fish bottom longline/ hook-and-line. Southeastern U.S. Atlantic, Gulf of Mexico shark bottom 39 Bottlenose dolphin, Eastern GMX coastal. longline/hook-and-line. Bottlenose dolphin, Northern GMX continental shelf. Southeastern U.S. Atlantic, Gulf of Mexico, and Caribbean 680 None documented. pelagic hook-and-line/harpoon. U.S. Atlantic, Gulf of Mexico trotline ...... unknown None documented. Trap/Pot Fisheries: Caribbean mixed species trap/pot ...... 154 Bottlenose dolphin, Puerto Rico and United States Virgin Is- lands. Caribbean spiny lobster trap/pot ...... 40 None documented. FL spiny lobster trap/pot ...... 1,268 Bottlenose dolphin, Biscayne Bay estuarine. Bottlenose dol- phin, Central FL coastal. Bottlenose dolphin, Eastern GMX coastal. Bottlenose dolphin, FL Bay estuarine. Bottlenose dolphin, FL Keys. Gulf of Mexico blue crab trap/pot ...... 4,113 Bottlenose dolphin, Barataria Bay. Bottlenose dolphin, Eastern GMX coastal. Bottlenose dolphin, GMX bay, sound, estuarine. Bottlenose dolphin, Mississippi Sound, Lake Borgne, Bay Boudreau. Bottlenose dolphin, Mobile Bay, Bonsecour Bay. Bottlenose dolphin, Northern GMX coastal. Bottlenose dolphin, Western GMX coastal. West Indian manatee, FL. Gulf of Mexico mixed species trap/pot ...... unknown None documented. Southeastern U.S. Atlantic, Gulf of Mexico golden crab 10 None documented. trap/pot.
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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued
Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons
U.S. Mid-Atlantic eel trap/pot ...... unknown None documented. Stop Seine/Weir/Pound Net/Floating Trap/Fyke Net Fisheries: Gulf of Maine herring and Atlantic mackerel stop seine/ >1 Harbor porpoise, GME/BF. weir. Harbor seal, WNA. Minke whale, Canadian east coast. Atlantic white-sided dolphin, WNA. U.S. Mid-Atlantic crab stop seine/weir ...... 2,600 None documented. U.S. Mid-Atlantic mixed species stop seine/weir/pound net unknown Bottlenose dolphin, Northern NC estuarine system. (except the NC roe mullet stop net). RI floating trap ...... 9 None documented. Northeast and Mid-Atlantic fyke net ...... unknown None documented. Dredge Fisheries: Gulf of Maine sea urchin dredge ...... unknown None documented. Gulf of Maine mussel dredge ...... unknown None documented. Gulf of Maine, U.S. Mid-Atlantic sea scallop dredge ...... >403 None documented. Mid-Atlantic blue crab dredge ...... unknown None documented. Mid-Atlantic soft-shell clam dredge ...... unknown None documented. Mid-Atlantic whelk dredge ...... unknown None documented. U.S. Mid-Atlantic/Gulf of Mexico oyster dredge ...... 7,000 None documented. New England and Mid-Atlantic offshore surf clam/quahog unknown None documented. dredge. Haul/Beach Seine Fisheries: Caribbean haul/beach seine ...... 38 West Indian manatee, Puerto Rico. Gulf of Mexico haul/beach seine ...... unknown None documented. Southeastern U.S. Atlantic haul/beach seine ...... 25 None documented. Dive, Hand/Mechanical Collection Fisheries: Atlantic Ocean, Gulf of Mexico, Caribbean shellfish dive, 20,000 None documented. hand/mechanical collection. Gulf of Maine urchin dive, hand/mechanical collection ...... unknown None documented. Gulf of Mexico, Southeast Atlantic, Mid-Atlantic, and Car- unknown None documented. ibbean cast net. Commercial Passenger Fishing Vessel (Charter Boat) Fish- eries: Atlantic Ocean, Gulf of Mexico, Caribbean commercial 4,000 Bottlenose dolphin, Barataria Bay estuarine system. passenger fishing vessel. Bottlenose dolphin, Biscayne Bay estuarine. Bottlenose dolphin, Central FL coastal. Bottlenose dolphin, Choctawhatchee Bay. Bottlenose dolphin, Eastern GMX coastal. Bottlenose dolphin, FL Bay. Bottlenose dolphin, GMX bay, sound, estuarine. Bottlenose dolphin, Indian River Lagoon estuarine system. Bottlenose dolphin, Jacksonville estuarine system. Bottlenose dolphin, Mississippi Sound, Lake Borgne, Bay Boudreau. Bottlenose dolphin, Northern FL coastal. Bottlenose dolphin, Northern GA/Southern SC estuarine. Bottlenose dolphin, Northern GMX coastal. Bottlenose dolphin, Northern migratory coastal. Bottlenose dolphin, Northern NC estuarine. Bottlenose dolphin, Southern migratory coastal. Bottlenose dolphin, Southern NC estuarine system. Bottlenose dolphin, SC/GA coastal. Bottlenose dolphin, Western GMX coastal. Short-finned pilot whale, WNA. List of Abbreviations and Symbols Used in Table 2: DE—Delaware; FL—Florida; GA—Georgia; GME/BF—Gulf of Maine/Bay of Fundy; GMX—Gulf of Mexico; MA—Massachusetts; NC—North Carolina; NY—New York; RI—Rhode Island; SC—South Carolina; VA—Virginia; WNA—Western North Atlantic; 1 Fishery classified based on mortalities and serious injuries of this stock, which are greater than or equal to 50 percent (Category I) or greater than 1 percent and less than 50 percent (Category II) of the stock’s PBR; 2 Fishery classified by analogy; and * Fishery has an associated high seas component listed in Table 3.
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TABLE 3—LIST OF FISHERIES—COMMERCIAL FISHERIES ON THE HIGH SEAS
Number of Fishery description HSFCA Marine mammal species and/or stocks incidentally permits killed or injured
Category I
Longline Fisheries: Atlantic Highly Migratory Species * ...... 45 Atlantic spotted dolphin, WNA. Bottlenose dolphin, Northern GMX oceanic. Bottlenose dolphin, WNA offshore. Common dolphin, WNA. Cuvier’s beaked whale, WNA. False killer whale, WNA. Killer whale, GMX oceanic. Kogia spp. whale (Pygmy or dwarf sperm whale), WNA. Long-finned pilot whale, WNA. Mesoplodon beaked whale, WNA. Minke whale, Canadian East coast. Pantropical spotted dolphin, WNA. Risso’s dolphin, GMX. Risso’s dolphin, WNA. Short-finned pilot whale, WNA. Western Pacific Pelagic (HI Deep-set component) * ∧ ...... 143 Bottlenose dolphin, HI Pelagic. False killer whale, HI Pelagic. Humpback whale, Central North Pacific. Kogia spp. (Pygmy or dwarf sperm whale), HI. Pygmy killer whale, HI. Risso’s dolphin, HI. Short-finned pilot whale, HI. Striped dolphin, HI.
Category II
Drift Gillnet Fisheries:. Pacific Highly Migratory Species * ∧ ...... 5 Long-beaked common dolphin, CA. Humpback whale, CA/OR/WA. Northern right-whale dolphin, CA/OR/WA. Pacific white-sided dolphin, CA/OR/WA. Risso’s dolphin, CA/OR/WA. Short-beaked common dolphin, CA/OR/WA. Trawl Fisheries: Atlantic Highly Migratory Species ** ...... 1 No information. CCAMLR ...... 0 Antarctic fur seal. Purse Seine Fisheries: South Pacific Tuna Fisheries ...... 26 No information. Western Pacific Pelagic ...... 1 No information. Longline Fisheries: CCAMLR ...... 0 None documented. South Pacific Albacore Troll ...... 6 No information. South Pacific Tuna Fisheries ** ...... 3 No information. Western Pacific Pelagic (HI Shallow-set component) * ∧ .... 11 Blainville’s beaked whale, HI. Bottlenose dolphin, HI Pelagic. False killer whale, HI Pelagic. Fin whale, HI. Guadalupe fur seal. Humpback whale, Central North Pacific. Mesoplodon sp., unknown. Northern elephant seal, CA breeding. Risso’s dolphin, HI. Rough-toothed dolphin, HI. Short-beaked common dolphin, CA/OR/WA. Striped dolphin, HI. Handline/Pole and Line Fisheries: Atlantic Highly Migratory Species ...... 1 No information. Pacific Highly Migratory Species ...... 43 No information. South Pacific Albacore Troll ...... 10 No information. Western Pacific Pelagic ...... 5 No information. Troll Fisheries: Atlantic Highly Migratory Species ...... 0 No information. South Pacific Albacore Troll ...... 18 No information. South Pacific Tuna Fisheries ** ...... 1 No information. Western Pacific Pelagic ...... 4 No information.
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TABLE 3—LIST OF FISHERIES—COMMERCIAL FISHERIES ON THE HIGH SEAS—Continued
Number of Fishery description HSFCA Marine mammal species and/or stocks incidentally permits killed or injured
Category III
Longline Fisheries: Northwest Atlantic Bottom Longline ...... 2 None documented. Pacific Highly Migratory Species ...... 105 None documented in the most recent 5 years of data. Purse Seine Fisheries: Pacific Highly Migratory Species * ∧ ...... 5 None documented. Trawl Fisheries: Northwest Atlantic ...... 4 None documented. Troll Fisheries: Pacific Highly Migratory Species * ...... 111 None documented. List of Terms, Abbreviations, and Symbols Used in Table 3: CA—California; GMX—Gulf of Mexico; HI—Hawaii; OR—Oregon; WA—Washington; WNA—Western North Atlantic; * Fishery is an extension/component of an existing fishery operating within U.S. waters listed in Table 1 or 2. The number of permits listed in Table 3 represents only the number of permits for the high seas component of the fishery; ** These gear types are not authorized under the Pacific HMS FMP (2004), the Atlantic HMS FMP (2006), or without a South Pacific Tuna Treaty license (in the case of the South Pacific Tuna fisheries). Because HSFCA permits are valid for 5 years, permits obtained in past years exist in the HSFCA permit database for gear types that are now unauthorized. Therefore, while HSFCA permits exist for these gear types, it does not represent effort. In order to land fish species, fishers must be using an authorized gear type. Once these permits for unauthorized gear types expire, the permit-holder will be required to obtain a permit for an authorized gear type; and ∧ The list of marine mammal species and/or stocks killed or injured in this fishery is identical to the list of marine mammal species and/or stocks killed or injured in U.S. waters component of the fishery, minus species and/or stocks that have geographic ranges exclusively in coastal waters, because the marine mammal species and/or stocks are also found on the high seas and the fishery remains the same on both sides of the EEZ boundary. Therefore, the high seas components of these fisheries pose the same risk to marine mammals as the components of these fisheries operating in U.S. waters.
TABLE 4—FISHERIES AFFECTED BY TAKE REDUCTION TEAMS AND PLANS
Take reduction plans Affected fisheries
Atlantic Large Whale Take Reduction Plan (ALWTRP)— Category I 50 CFR 229.32. Mid-Atlantic gillnet. Northeast/Mid-Atlantic American lobster trap/pot. Northeast sink gillnet. Category II Atlantic blue crab trap/pot. Atlantic mixed species trap/pot. Northeast anchored float gillnet. Northeast drift gillnet. Southeast Atlantic gillnet. Southeastern U.S. Atlantic shark gillnet.* Southeastern, U.S. Atlantic, Gulf of Mexico stone crab trap/pot.∧ Bottlenose Dolphin Take Reduction Plan (BDTRP)—50 Category I CFR 229.35. Mid-Atlantic gillnet. Category II Atlantic blue crab trap/pot. Chesapeake Bay inshore gillnet fishery. Mid-Atlantic haul/beach seine. Mid-Atlantic menhaden purse seine. NC inshore gillnet. NC long haul seine. NC roe mullet stop net. Southeast Atlantic gillnet. Southeastern U.S. Atlantic shark gillnet. Southeastern U.S. Atlantic, Gulf of Mexico shrimp trawl.∧ Southeastern, U.S. Atlantic, Gulf of Mexico stone crab trap/pot.∧ VA pound net. False Killer Whale Take Reduction Plan (FKWTRP)—50 Category I CFR 229.37. HI deep-set longline. Category II HI shallow-set longline. Harbor Porpoise Take Reduction Plan (HPTRP)—50 Category I CFR 229.33 (New England) and 229.34 (Mid-Atlantic). Mid-Atlantic gillnet. Northeast sink gillnet. Pelagic Longline Take Reduction Plan (PLTRP)—50 CFR Category I 229.36. Atlantic Ocean, Caribbean, Gulf of Mexico large pelagics longline.
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TABLE 4—FISHERIES AFFECTED BY TAKE REDUCTION TEAMS AND PLANS—Continued
Take reduction plans Affected fisheries
Pacific Offshore Cetacean Take Reduction Plan Category II (POCTRP)—50 CFR 229.31. CA thresher shark/swordfish drift gillnet (≥14 in mesh). Atlantic Trawl Gear Take Reduction Team (ATGTRT) ..... Category II Mid-Atlantic bottom trawl. Mid-Atlantic mid-water trawl (including pair trawl). Northeast bottom trawl. Northeast mid-water trawl (including pair trawl). List of Symbols Used in Table 4: * Only applicable to the portion of the fishery operating in U.S. waters; and ∧ Only applicable to the portion of the fishery operating in the Atlantic Ocean.
Classification and II fisheries listed on the 2021 approved by OMB under OMB Control The Chief Counsel for Regulation of proposed LOF are permitted through Number 0648–0292 (0.15 hours per the Department of Commerce has state or Federal processes, and report). These estimates include the certified to the Chief Counsel for registration under the MMPA is covered time for reviewing instructions, Advocacy of the Small Business through the integrated process. searching existing data sources, Administration (SBA) that this proposed Therefore, this proposed rule would not gathering and maintaining the data rule would not have a significant impose any direct costs on small needed, and completing and reviewing entities. the COI. Send comments regarding these economic impact on a substantial The MMPA requires any vessel owner reporting burden estimates or any other number of small entities. Any entity or operator participating in a fishery aspect of the COI, including suggestions with combined annual fishery landing listed on the LOF to report to NMFS, for reducing burden, to NMFS (see receipts less than $11 million is within 48 hours of the end of the fishing ADDRESSES). You may also submit considered a small entity for purposes trip, all marine mammal incidental comments on these or any other aspects of the Regulatory Flexibility Act. Under mortalities and injuries that occur of the collection of information at the size standard, all entities subject to during commercial fishing operations. www.reginfo.gov/public/do/PRAMain. this action were considered small These marine mammal mortalities and Notwithstanding any other provision entities; thus, they all would continue to injuries are reported using a postage- of law, no person is required to respond be considered small under the new paid, Office of Management and Budget to, nor shall a person be subject to a standards. (OMB) approved form (OMB Control penalty for failure to comply with a COI, Under existing regulations, all Number 0648–0292). This postage-paid subject to the requirements of the individuals participating in Category I form requires less than 15 minutes to Paperwork Reduction Act, unless that or II fisheries must register under the complete and can be dropped in any COI displays a currently valid OMB MMPA and obtain an authorization mailbox, faxed, emailed, or completed control number. certificate. The authorization certificate online within 48 hours of the vessels This proposed rule has been authorizes the taking of non-endangered return to port. Therefore, record keeping determined to be not significant for the and non-threatened marine mammals and reporting costs associated with this purposes of Executive Orders 12866 and incidental to commercial fishing LOF are minimal and would not have a 13563. operations. Additionally, individuals significant impact on a substantial This rule is not expected to be an may be subject to a TRP and requested number of small entities. Executive Order 13771 regulatory action to carry an observer. NMFS has If a vessel is requested to carry an because this rule is not significant under estimated that up to approximately observer, vessels will not incur any Executive Order 12866. 55,329 fishing vessels, most with annual direct economic costs associated with In accordance with the Companion revenues below the SBA’s small entity carrying that observer. As a result of this Manual for NOAA Administrative Order thresholds, may operate in Category I or certification, an initial regulatory (NAO) 216–6A, NMFS preliminarily II fisheries. As fishing vessels operating flexibility analysis is not required and determined that publishing this in Category I or II fisheries, they are none has been prepared. In the event proposed LOF qualifies to be required to register with NMFS. The that reclassification of a fishery to categorically excluded from further MMPA registration process is integrated Category I or II results in a TRP, NEPA review, consistent with categories with existing state and Federal economic analyses of the effects of that of activities identified in Categorical licensing, permitting, and registration TRP would be summarized in Exclusion G7 (‘‘Preparation of policy programs. Therefore, individuals who subsequent rulemaking actions. directives, rules, regulations, and have a state or Federal fishing permit or This proposed rule contains existing guidelines of an administrative, landing license, or who are authorized collection-of-information (COI) financial, legal, technical, or procedural through another related state or Federal requirements subject to the Paperwork nature, or for which the environmental fishery registration program, are Reduction Act and would not impose effects are too broad, speculative or currently not required to register additional or new COI requirements. conjectural to lend themselves to separately under the MMPA or pay the The COI for the registration of meaningful analysis and will be subject $25 registration fee. Through this individuals under the MMPA has been later to the NEPA process, either integrated process, registration under approved by the OMB under OMB collectively or on a case-by-case basis’’) the MMPA, including the $25 Control Number 0648–0293 (0.15 hours of the Companion Manual and we have registration fee, is only required for per report for new registrants). The not identified any extraordinary vessels participating in a Category I or requirement for reporting marine circumstances listed in Chapter 4 of the II non-permitted fishery. All Category I mammal mortalities or injuries has been Companion Manual for NAO 216–6A
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that would preclude application of this fisheries interacting with marine Commerce, NOAA Technical categorical exclusion. If NMFS takes a mammals through information collected Memorandum NMFS–AFSC–401. 86 p. management action, for example, from observer programs, stranding and Hayes, S.A., Josephson, E., Maze-Foley, K., through the development of a TRP, sighting data, or take reduction teams. Rosel, P.E., In Review. Draft US Atlantic NMFS would first prepare an This proposed rule would not affect and Gulf of Mexico Marine Mammal Stock Environmental Impact Statement or the land or water uses or natural Assessments 2019. Kuiken, T. 1996. Diagnosis of By-Catch in Environmental Assessment, as required resources of the coastal zone, as Cetaceans. Montpellier: European Cetacean under NEPA, specific to that action. specified under section 307 of the Society. This proposed rule would not affect Coastal Zone Management Act. Maze-Foley, K. and L.P. Garrison. 2018. species listed as threatened or References Serious Injury Determinations for Small endangered under the ESA or their Cetaceans off the Southeast U.S. Coast, associated critical habitat. The impacts Carretta, J.V. 2020. Estimates of marine 2012–2016. Southeast Fisheries Science of numerous fisheries have been mammal, sea turtle, and seabird bycatch Center Reference Document PRBD–2018– analyzed in various biological opinions, from the California large-mesh drift gillnet 04. and this proposed rule will not affect fishery: 1990–2018. Draft reviewed by the Moore, K.T., and Barco, S. 2013. Handbook Pacific Scientific Review Group. March, the conclusions of those opinions. The for Recognizing, Evaluating, and 2020. 84 p. Documenting Human Interaction in classification of fisheries on the LOF is Carretta, J.V., B. Delean, V. Helker, M.M. not considered to be a management Cetaceans and Pinnipeds. NOAA– Muto, J. Greenman, K. Wilkinson, D. TMNMFS–SWFSC–510:102. action that would adversely affect Lawson, J. Viezbicke, and J. Jannot. 2020. Read, A.J., and Murray, K.T. 2000. Gross Sources of human-related injury and threatened or endangered species. If Evidence of Human-Induced Mortality in mortality for U.S. Pacific west coast marine NMFS takes a management action, for Small Cetaceans. NOAA. example, through the development of a mammal stock assessments, 2014–2018. TRP, NMFS would consult under ESA Draft reviewed by the Pacific Scientific Dated: September 15, 2020. Review Group. March, 2020. 151 p. Samuel D. Rauch, III, section 7 on that action. Delean, B.J., V.T. Helker, M.M. Muto, K. Deputy Assistant Administrator for This proposed rule would have no Savage, S. Teerlink, L.A. Jemison, K. Regulatory Programs, National Marine adverse impacts on marine mammals Wilkinson, J. Jannot, and N.C. Young. Fisheries Service. and may have a positive impact on 2020. Human-caused mortality and injury marine mammals by improving of NMFS-managed Alaska marine mammal [FR Doc. 2020–20709 Filed 9–18–20; 8:45 am] knowledge of marine mammals and the stocks 2013–2017 U.S. Department of BILLING CODE 3510–22–P
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Notices Federal Register Vol. 85, No. 183
Monday, September 21, 2020
This section of the FEDERAL REGISTER to a country’s resilience to shocks, such ACTION: Revision to and extension of contains documents other than rules or as COVID–19, and its progression approval of an information collection; proposed rules that are applicable to the toward self-reliance. Authors of a comment request. public. Notices of hearings and investigations, BIFAD-commissioned study will share committee meetings, agency decisions and preliminary findings and lessons SUMMARY: In accordance with the rulings, delegations of authority, filing of Paperwork Reduction Act of 1995, this petitions and applications and agency learned on emerging success stories in statements of organization and functions are agricultural productivity-led economic notice announces the Animal and Plant examples of documents appearing in this transformation and will discuss the Health Inspection Service’s intention to section. implications of this evidence for request a revision to and extension of USAID’s agricultural and food security approval of an information collection development and social safety net associated with its efforts to safeguard AGENCY FOR INTERNATIONAL priorities and programming. the health of the U.S. livestock and DEVELOPMENT On the basis of testimony, including poultry populations by the use of public comments, shared at the meeting, National Veterinary Services Board for International Food and BIFAD will provide formal findings, Laboratories request forms. Agricultural Development; Notice of conclusions, and recommendations to DATES: We will consider all comments Meeting the Agency on best-bet operational and that we receive on or before November Pursuant to the Federal Advisory programmatic investments for 20, 2020. Committee Act, notice is hereby given of catalyzing agricultural productivity and ADDRESSES: You may submit comments a public meeting of the Board for economic transformation. by either of the following methods: International Food and Agricultural BIFAD is a seven-member, • Federal eRulemaking Portal: Go to Development (BIFAD), Agricultural presidentially appointed advisory board http://www.regulations.gov/ Growth, Economic Transformation, and to USAID established in 1975 under #!docketDetail;D=APHIS-2020-0085. the Journey to Self-Reliance: Title XII of the Foreign Assistance Act, • Postal Mail/Commercial Delivery: Implications for USAID Programming. as amended. The provisions of Title XII Send your comment to Docket No. The meeting will be held on October 13, concern bringing assets of U.S. APHIS–2020–0085, Regulatory Analysis 2020 from 1:00 p.m. to 3:30 EDT online. universities to bear on development and Development, PPD, APHIS, Station A public comment period is scheduled challenges in agriculture and food 3A–03.8, 4700 River Road, Unit 118, from 3:00 to 3:20 p.m., EDT. The security, and the BIFAD’s role is to help Riverdale, MD 20737–1238. meeting will be livestreamed via Zoom carry out this function. Supporting documents and any (registration required) and accessible at For questions about registration, http://www.aplu.org/projects-and- comments we receive on this docket please contact Jordan Merker at (202) may be viewed at http:// initiatives/international-programs/ 478–6087. For questions about BIFAD, bifad/bifad-meetings.html. www.regulations.gov/ please contact Clara Cohen, Designated #!docketDetail;D=APHIS-2020-0085 or The U.S. Agency for International Federal Officer for BIFAD in the Bureau Development (USAID) is reorienting its in our reading room, which is located in for Resilience and Food Security at room 1620 of the USDA South Building, strategies, partnership models, and USAID. Interested persons may email program practices to achieve greater 14th Street and Independence Avenue her at [email protected] or telephone SW, Washington, DC. Normal reading development outcomes and strive her at (202) 712–0119. toward a future where foreign assistance room hours are 8 a.m. to 4:30 p.m., is no longer necessary. The approach, Clara Cohen, Monday through Friday, except outlined in the Agency’s Policy Designated Federal Officer, BIFAD. holidays. To be sure someone is there to help you, please call (202) 799–7039 Framework,1 emphasizes the concept of [FR Doc. 2020–20729 Filed 9–18–20; 8:45 am] 2 before coming. ‘‘self-reliance’’ —defined as the BILLING CODE P capacity and commitment of a country FOR FURTHER INFORMATION CONTACT: For to plan, finance, and implement information on National Veterinary solutions to solve its own development Services Laboratories request forms, challenges in an effective, inclusive, and DEPARTMENT OF AGRICULTURE contact Ms. Lori Swiderski, Program accountable way. Coordinator, National Veterinary The Board for International Food and Animal and Plant Health Inspection Services Laboratories, Diagnostics and Agricultural Development (BIFAD) will Service Biologics, VS, APHIS, 1920 Dayton convene a public meeting to better Ave., Ames, IA 50010; (515) 337–7405. understand the concept of economic [Docket No. APHIS–2020–0085] For more information on the transformation—how underdeveloped information collection process, contact and agrarian-based countries shift from Notice of Request for Revision to and Mr. Joseph Moxey, APHIS’ Information subsistence agriculture to a Extension of Approval of an Collection Coordinator, at (301) 851– commercially oriented economy with Information Collection; National 2483. diverse agricultural, manufacturing, and Veterinary Services Laboratories service sectors—and how it contributes Request Forms SUPPLEMENTARY INFORMATION: Title: National Veterinary Services 1 https://www.usaid.gov/policyframework. AGENCY: Animal and Plant Health Laboratories Request Forms. 2 https://www.usaid.gov/selfreliance. Inspection Service, USDA. OMB Control Number: 0579–0430.
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Type of Request: Revision to and (academia, private, government), and Hand or courier-delivered submittals: extension of approval of an information private veterinary practitioners. Deliver to 1400 Independence Ave SW, collection. Estimated annual number of Room 520–A Washington, DC 20250– Abstract: The Animal Health respondents: 1,113. 3700. You may also send comments to Protection Act (7 U.S.C. 8301 et seq.) Estimated annual number of the Desk Officer for Agriculture, Office provides the Secretary of Agriculture responses per respondent: 4. of Information and Regulatory Affairs, broad authority to prohibit or restrict, Estimated annual number of Office of Management and Budget, through orders and regulations, the responses: 4,837. Washington, DC 20503. importation or entry of any animal, Estimated total annual burden on Instructions: All items submitted by article, or means of conveyance if the respondents: 1,213 hours. (Due to mail or electronic mail must include the U.S. Department of Agriculture averaging, the total annual burden hours Agency name and docket number determines that the prohibition or may not equal the product of the annual [USDA–OPPE]. Comments received in restriction is necessary to prevent the number of responses multiplied by the response to this docket will be made introduction or spread of any pest or reporting burden per response.) available for public inspection and disease of livestock within the United All responses to this notice will be posted without change, including any States. Disease prevention is the most summarized and included in the request personal information, to http:// effective method for maintaining a for OMB approval. All comments will www.regulations.gov. healthy animal population. also become a matter of public record. Docket: For access to background As an element of the Animal and Done in Washington, DC, this 15th day of documents or comments received, send Plant Health Inspection Service (APHIS) September 2020. requests to the OPPE Docket Room at disease prevention mission, the Mark Davidson, 1400 Independence Ave. SW, National Veterinary Services Acting Administrator, Animal and Plant Washington, DC 20250 Mail Stop 3700 Laboratories (NVSL) safeguard U.S. Health Inspection Service. between 8:00 a.m. and 4:30 p.m., animal health by ensuring that timely [FR Doc. 2020–20741 Filed 9–18–20; 8:45 am] Monday through Friday. and accurate laboratory support is BILLING CODE 3410–34–P FOR FURTHER INFORMATION CONTACT: U.S. provided through a nationwide animal Department of Agriculture, Attention: health diagnostic system. NVSL’s work Kenya Nicholas, 1400 Independence necessitates the use of several DEPARTMENT OF AGRICULTURE Ave. SW, Mail Stop 0601, Washington, information collection activities DC 20250, Office 202–720–6350 and Fax including requests for reagents or Office of Partnerships and Public 202–720–7704 or via email at: supplies, NVSL contact information Engagement [email protected]. updates, and NVSL applications for SUPPLEMENTARY INFORMATION: laboratory training. Notice of Request for Approval—New Title: Survey—Entities Serving We are asking the Office of Information Collection and Request for Socially Disadvantaged/Veteran Farmers Management and Budget (OMB) to Comments and Ranchers approve our use of these information AGENCY: Office of Partnerships and OMB Number:0503- New collection activities, as described, for an Public Engagement (OPPE), Agriculture. Expiration Date of Approval: Three additional 3 years. ACTION: Notice of request for approval— The purpose of this notice is to solicit years from approval date. new information collection and request comments from the public (as well as Type of Request: New information for comments. affected agencies) concerning our collection. Abstract: The OPPE has established a information collection. These comments SUMMARY: In accordance with the partnership with the Southern Rural will help us: Paperwork Reduction Act of 1995, this (1) Evaluate whether the collection of Development Council who will be notice announces the intention of the conducting a survey with USDA’s information is necessary for the proper OPPE to request approval for a new performance of the functions of the stakeholders including nonprofits, information collection for survey community-based and non- Agency, including whether the administration. information will have practical utility; governmental organizations, higher (2) Evaluate the accuracy of our DATES: Comments on this notice must be education institutions, and others. estimate of the burden of the collection received by October 21, 2020 to be Attendees of upcoming Centers of of information, including the validity of assured of consideration. Community Prosperity Summits the methodology and assumptions used; ADDRESSES: OPPE invites interested nationwide will assist communities to (3) Enhance the quality, utility, and persons to submit comments on this foster hope and opportunity, wealth clarity of the information to be notice. Comments may be submitted by creation, and asset building. The collected; and one of the following methods: information collected is on a single (4) Minimize the burden of the Federal eRulemaking Portal: This form; illustrating a short assessment of: collection of information on those who website provides the ability to type 1. The self-identification of partners, are to respond, through use, as short comments directly into the collaborators, and stakeholders appropriate, of automated, electronic, comment field on this web page or 2. Programmatic feedback—a short mechanical, and other collection attach a file for lengthier comments. Go description of challenges faced during technologies; e.g., permitting electronic to http://www.regulations.gov. Follow grant administration, outreach, and submission of responses. the on-line instructions at that site for training efforts. Estimate of burden: The public submitting comments. Mail, including 3. Participant contact information. burden for this collection of information CD–ROMs, etc.: Send to Docket Clerk, 4. Evaluation on the effectiveness of is estimated to average 0.25 hours per U.S. Department of Agriculture, Office program delivery. response. of Partnerships and Public Engagement, Estimate of Burden: Public reporting Respondents: Domestic and foreign Docket Clerk, 1400 Independence Ave burden for this collection of information diagnostic laboratories (Federal, State, SW, Mail Stop 0601, Room 520–A, is estimated to average .08 hours per university, or private), researchers Washington, DC 20250–3700. response. [NOTE: To arrive at this
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estimate = number of burden hours Renewable Chemical, and Biobased partnerships, and innovation. Key divided by number of responses.] Product Manufacturing Assistance strategies include: Type of Respondents: higher Program (the Program) to provide • Achieving e-Connectivity for Rural education institutions, nonprofit and guaranteed loans to fund the America community based organization; development, construction, and • Developing the Rural Economy Estimated Number of Respondents: retrofitting of commercial scale • Harnessing Technological Innovation 250. biorefineries using eligible technology • Supporting a Rural Workforce Estimated Number of Responses: 250. and of biobased product manufacturing • Improving Quality of Life Estimated Number of Responses per facilities that use technologically new Paperwork Reduction Act Respondent: 1. commercial scale processing and Estimated Total Annual Burden on manufacturing equipment to convert In accordance with the Paperwork Respondents: 250. renewable chemicals and other biobased Reduction Act of 1995, the information Comments are invited on: (1) Whether outputs of biorefineries into end-user collection requirements associated with the proposed collection of information products, on a commercial scale. the Program, as covered in this Notice, is necessary for the proper performance DATES: With this Notice, the Agency is have been approved by the Office of of the functions of the agency, including announcing two separate application Management Budget (OMB) under OMB whether the information will have cycles, which have application closing Control Number 0570–0065. practical utility; (2) the accuracy of the dates of 4:30 p.m. Eastern Daylight Time Overview agency’s estimate of the burden of the (EDT), October 1, 2020, and 4:30 p.m. Federal Agency Name: Rural proposed collection of information EDT, April 1, 2021. including the validity of the Applications must be received in the Business-Cooperative Service (an methodology and assumptions used; (3) USDA Rural Business–Cooperative Agency of USDA in the Rural ways to enhance the quality, utility, and Service, Program Processing Division no Development mission area). Solicitation Opportunity Title: clarity of the information to be later than 4:30 p.m. EDT of the Biorefinery, Renewable Chemical, and collected; and (4) ways to minimize the application closing date to compete for Biobased Product Manufacturing burden of the collection of information program funds. Any application Assistance Program. on those who are to respond, including received after 4:30 p.m. EDT of the Announcement Type: Notice of the use of appropriate automated, application closing date will be Solicitation of Applications. electronic, mechanical, or other considered for the subsequent technological collection techniques or Catalog of Federal Domestic application cycle, provided that funding Assistance (CFDA) Number: The CFDA other forms of information technology. is still available. Comments may be sent to U.S. number for this Notice is 10.865. ADDRESSES: Applications and forms may Dates: Applications must be received Department of Agriculture, Attention: be obtained from: Kenya Nicholas, 1400 Independence • in the USDA Rural Business– USDA, Rural Business–Cooperative Cooperative Service, Energy Programs Ave. SW, Mail Stop 0601, Washington, Service, Program Processing Division, DC 20250, Office 202–720–6350 and Fax no later than the application closing Attention: Biorefinery, Renewable dates of 4:30 p.m. EDT, October 1, 2020, 202–720–7704 or via email at: Chemical, and Biobased Product [email protected]. and 4:30 p.m. EDT, April 1, 2021. Any Manufacturing Assistance Program, application received after 4:30 p.m. EDT All comments received will be 1400 Independence Avenue SW, Room available for public inspection during of the application closing date will be 5801–S, Washington, DC 20250–3225. considered for the subsequent regular business hours at the same • Agency website: Application address. application cycle, provided that funding materials can be obtained from the is available. All responses to this notice will be Agency’s website: https:// summarized and included in the request Availability of Notice and Rule: This www.rd.usda.gov/programs-services/ Notice and the final rule for the Program for OMB approval. All comments will biorefinery-renewable-chemical-and- become a matter of public record. are available on the USDA Rural biobased-product-manufacturing- Development website at: https:// Jacqueline Davis-Slay, assistance. www.rd.usda.gov/programs-services/ Deputy Director,Office of Partnerships and FOR FURTHER INFORMATION CONTACT: biorefinery-renewable-chemical-and- Public Engagement. Aaron Morris, Director, USDA Rural biobased-product-manufacturing- [FR Doc. 2020–20788 Filed 9–18–20; 8:45 am] Business–Cooperative Service, Program assistance. BILLING CODE 3412–89–P Processing Division, 1400 Independence Avenue SW, Room 5801–S, Washington, I. Funding Opportunity Description DC 20250–3225. Telephone: (202) 720– A. Purpose of the Program. The DEPARTMENT OF AGRICULTURE 1501. Email: [email protected]. purpose of the Biorefinery, Renewable SUPPLEMENTARY INFORMATION: Chemical, and Biobased Product Rural Business-Cooperative Service Manufacturing Assistance Program is to Preface assist in the development of new and Notice of Solicitation of Applications The Agency encourages applications emerging technologies for the for the Biorefinery, Renewable that will support recommendations development of advanced biofuels, Chemical, and Biobased Product made in the Rural Prosperity Task Force renewable chemicals, or biobased Manufacturing Assistance Program report to help improve life in rural product manufacturing. This is achieved AGENCY: Rural Business-Cooperative America (www.usda.gov/ through guarantees for loans made to Service, USDA. ruralprosperity). Applicants are fund the development, construction, ACTION: Notice. encouraged to consider projects that and retrofitting of commercial scale provide measurable results in helping biorefineries using eligible technology SUMMARY: This Notice announces the rural communities build robust and and of biobased product manufacturing solicitation of applications for funds sustainable economies through strategic facilities that use technologically new available under the Biorefinery, investments in infrastructure, commercial scale processing and
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manufacturing equipment and required the application to the USDA’s Rural Biobased Product Manufacturing facilities to convert renewable Business-Cooperative Service, Program Assistance Program, 1400 Independence chemicals and other biobased outputs of Processing Division by 4:30 p.m. EDT, Avenue SW, Room 5801–S, Washington, biorefineries into end-user products on on the application closing date, the DC 20250–3225. a commercial scale. Agency will reconsider the application. The Agency’s application process is B. Statutory Authority. This Program divided into two phases. Phase 1 IV. Application Submission is authorized under 7 U.S.C. 8103. applications will provide information Information Regulations are contained in 7 CFR part needed to determine lender, borrower, 4279, subpart C and in 7 CFR part 4287, A. Letter of Intent. For each loan and project eligibility; preliminary subpart B. guarantee request, the lender or the economic and technical feasibility; and C. Definition of Terms. The borrower must submit to the Agency a the priority score of the application. definitions applicable to this Notice are non-binding letter of intent to apply for Based on the priority score ranking, the published at 7 CFR 4279.202 and 7 CFR a loan guarantee, not less than 30 Agency will invite applicants whose 4287.302. calendar days prior to the application Phase 1 applications receive higher D. Application awards. The Agency deadline. The letter of intent due date priority scores to submit Phase 2 will review, evaluate, score, and award is September 1, 2020; for the October 1, applications. Phase 2 application applications received in response to this 2020, application cycle and March 1, materials will be submitted as the Notice based on the provisions found in 2021 for the April 1, 2021, cycle. The project planning and engineering are 7 CFR part 4279, subpart C and as letter must identify the borrower, the finalized and will include information indicated in this Notice. lender and any project sponsors; such as: Environmental compliance describe the project and project information, technical report, financial II. Award Information location; describe the proposed model, and the lender’s credit A. Available funds. This Notice is a feedstock, primary technologies of the evaluation. Phase 1 applications must solicitation for applications that will be facility, and primary products contain the information required in the funded using budget authority provided produced; estimate the total project cost Agency’s Application Guide and in by the Food, Conservation, and Energy and amount of loan requested; and accordance with 7 CFR 4279.261. Act of 2008 (2008 Farm Bill), the identify the application cycle due date. D. Local Owner. For applications Agricultural Act of 2014 (2014 Farm The Agency reserves the right to request submitted under this Notice, when the Bill), and the Agricultural Improvement additional information from potential majority of feedstock to be utilized by Act of 2018 (2018 Farm Bill). applicants. Applications submitted the project on an annual basis is B. Type of Award. Guaranteed loan. without a letter of intent may be harvested from the land, the term ‘‘local C. Approximate Number of Awards. accepted by the Agency at the Agency’s owner’’ is defined as an individual who Subject to the amount of funding discretion. owns any portion of an eligible available. B. Application Submittal. For each biorefinery and whose primary D. Guarantee Loan Funding. The loan guarantee request, the lender must residence is located within the provisions of 7 CFR 4279.232 apply to submit to the Agency an application geographic area that the biorefinery’s this Notice. The Borrower needs to that conforms with 7 CFR 4279.261. The feedstock originates. In all other cases, provide the remaining funds from other content and methods of application ‘‘local owner’’ is defined as an non-federal sources to complete the submittal are specified below. individual who owns any portion of an Project. Additionally, the Agency has developed eligible biorefinery and whose primary E. Guarantee and Annual Renewal an application guide that explains the residence is located within 100 miles of Fees. The guarantee and annual renewal application procedures and details the the biorefinery. This definition will fees specified in 7 CFR 4279.231 are process for submission of an remain in effect until and unless applicable to this Notice. application. This guide is located at amended by a future Federal Register F. Anticipated Award Date. The http://www.rd.usda.gov/files/RBS_ Notice. Section9003Biorefinery_ award date will vary based on timing of V. Biobased Product Manufacturing completion of each project’s individual ApplicationGuide.pdf. application process. C. Content and Form of Submission. This notice also includes the All applicants must submit one paper solicitation of applications for funds III. Eligibility Information copy of the application materials and an available under the Biorefinery, A. Eligible Lenders. To be eligible for electronic copy containing the same Renewable Chemical, and Biobased this program, lenders must meet the information that is included in the Product Manufacturing Assistance eligibility requirements in 7 CFR paper copy. Detailed instructions Program to specifically fund biobased 4279.208. regarding application submission are product manufacturing. The 2014 Farm B. Eligible Borrowers. To be eligible explained in the application guide that Bill added biobased product for this program, borrowers must meet the Agency has developed. The manufacturing to the Program and the eligibility requirements in 7 CFR application guide is available online provided for up to 15 percent of the 4279.209. under the ‘‘To Apply’’ tab at https:// mandatory funds for fiscal years 2014 C. Eligible Projects. To be eligible for www.rd.usda.gov/programs-services/ and 2015 to be used to support facilities this program, projects must meet the biorefinery-renewable-chemical-and- producing biobased products for end- eligibility requirements in 7 CFR biobased-product-manufacturing- use. The 2014 Farm Bill provides the 4279.210. assistance or by contacting Aaron definition of ‘‘biobased product D. Application Completeness. Morris, Telephone: (202) 720–1501. manufacturing,’’ which the Agency has Incomplete Phase 1 applications will be Email: [email protected]. incorporated into the subsequent final rejected, and the project will be given Application materials should be rule (see 7 CFR 4279.202). This no further consideration. Lenders will submitted to USDA, Rural Business- definition requires that the biobased be informed of the element(s) that made Cooperative Service, Program product manufacturing facility use the application incomplete. If the lender Processing Division, Attention: renewable chemicals and other biobased makes the required edits and resubmits Biorefinery, Renewable Chemical, and outputs of biorefineries as inputs. It also
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requires that the borrower use (ii) If the borrower has signed letters (iii) If the borrower commits to enter technologically new commercial scale of intent to enter into contracted sales into contracted sales agreements prior to processing and manufacturing agreements, or comparable loan closing for purchase for greater equipment and required facilities. The documentation, for the purchase for than or equal to 50 percent of the dollar facility must produce end-user greater than 50 percent of the dollar value of the manufactured biobased products. value of the manufactured biobased product with a counterparty with a product, or combination of signed corporate credit rating less than A-, or VI. Biobased Product Manufacturing contracts or agreements and letters of A3, or equivalent, but not less than Eligibility Information intent or comparable documentation, 4 BBB-, or Baa3, or equivalent, 1 point The eligibility requirements for points will be awarded. will be awarded. prospective lenders and borrowers will (iii) If the borrower has signed letters (b) Whether the area in which the not change from those listed above for of interest to enter into contracted sales borrower proposes to place the project, the program. For biobased product agreements, or comparable defined as the area that will supply the manufacturing projects, the eligible documentation, for the purchase for renewable chemicals and other biobased project requirement is modified to greater than 50 percent of the dollar outputs of biorefineries to the proposed reflect that eligible projects will use value of the manufactured biobased project, has any other similar facilities. technologically new commercial scale product, or combination of signed A maximum of 5 points can be awarded. processing and manufacturing contracts, letters of intent or comparable Points to be awarded will be determined equipment and require facilities to documentation, 2 points will be as follows: convert renewable chemicals and other awarded. (1) If the area that will supply the biobased outputs of biorefineries into (2) Duration of contracted sales renewable chemicals and other biobased end-user products on a commercial agreements. A maximum of 6 points outputs of biorefineries to the proposed scale. will be awarded. project does not have any other similar (i) If the borrower commits to enter Additionally, for purposes of biobased facilities, 5 points will be awarded. into contracted sales agreements prior to product manufacturing projects, (2) If there are other similar facilities loan closing for purchase for greater technical reports need to address only located within the area that will supply than or equal to 50 percent of the dollar the technologically new commercial the renewable chemicals and other value of manufactured biobased product scale processing and manufacturing biobased outputs of biorefineries to the for the period not less than the loan equipment and required facilities. proposed project, 0 points will be term, 6 points will be awarded. VII. Biobased Product Manufacturing (ii) If the borrower commits to enter awarded. Application Processing Procedures into contracted sales agreements prior to (c) Whether the borrower is proposing to use renewable chemicals and other The application processing loan closing for purchase for greater biobased outputs of biorefineries not procedures will remain the same for than or equal to 50 percent of the dollar previously used in the biobased product biobased product manufacturing value of the manufactured biobased manufacturing. A maximum of 10 projects as for the projects described product for the period not less than 5 points can be awarded. Points to be above. years but less than the term of the loan, awarded will be determined as follows: Pursuant to § 4279.202, for 4 points will be awarded. applications submitted under this (iii) If the borrower commits to enter (1) If the borrower proposes to use Notice, ‘‘local owner’’ is defined as an into contracted sales agreements prior to renewable chemicals and other biobased individual who owns any portion of an loan closing for purchase for greater outputs of biorefineries previously used eligible biorefinery and whose primary than or equal to 50 percent of the dollar in the manufacture of a biobased residence is located within 100 miles of value of the manufactured biobased product in a commercial facility, 0 the biorefinery. product for the period not less than 1 points will be awarded. year but less than 5 years, 2 points will (2) If the borrower proposes to use VIII. Biobased Product Manufacturing be awarded. renewable chemicals and other biobased Scoring (3) Financial strength of the outputs of biorefineries not previously In lieu of the criteria listed in 7 CFR contracted sales agreement used in the manufacture of a biobased 4279.266, biobased product counterparty. A maximum of 4 points product in a commercial facility, 10 manufacturing projects will be scored will be awarded. points will be awarded. using the criteria listed below. The (i) If the borrower commits to enter (d) Whether the borrower is proposing scoring criteria below will remain in into contracted sales agreements prior to to work with producer associations or effect until amended by another Federal loan closing for purchase for greater cooperatives, a maximum of 5 points Register Notice. The scoring criteria are than or equal to 50 percent of the dollar can be awarded. Points to be awarded as follows: value of the manufactured biobased will be determined as follows: (a) Whether the borrower has product with a counterparty with a (1) If at least 50 percent of the dollar established a market for the corporate credit rating not less than AA, value of renewable chemicals and other manufactured biobased product, as Aa2, or equivalent, 4 points will be biobased outputs of biorefineries to be applicable. A maximum of 16 points can awarded. used by the proposed project will be be awarded. Points to be awarded will (ii) If the borrower commits to enter supplied by producer associations and be determined as follows: into contracted sales agreements prior to cooperatives or biorefineries supplied (1) Degree of commitment of loan closing for purchase for greater by producer associations and contracted sales agreements. A than or equal to 50 percent of the dollar cooperatives, 5 points will be awarded. maximum of 6 points will be awarded. value of the manufactured biobased (2) If at least 30 percent of the dollar (i) If the borrower has signed contracts product with a counterparty with a value of renewable chemicals and other for the purchase of greater than 50 corporate credit rating less than AA, biobased outputs of biorefineries to be percent of the dollar value of Aa2, or equivalent, but not less than used by the proposed project will be manufactured biobased product, 6 A-, or A3, or equivalent, 2 points will supplied by producer associations and points will be awarded. be awarded. cooperatives or biorefineries supplied
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by producer associations and biobased outputs of biorefineries. A for which the funding is available; cooperatives, 3 points will be awarded. maximum of 5 points can be awarded. October 1, 2020, 5 points will be (e) The level of financial participation Points to be awarded will be determined awarded. by the borrower, including support from as follows: (l) The Administrator can award up to non-federal government sources and (1) If the borrower has failed to a maximum of 10 bonus points: private sources. A maximum of 20 establish, through an independent third- (i) To ensure, to the extent practical, points can be awarded. Points to be party feasibility study, that the there is diversity in the types of projects awarded will be determined as follows: production technology proposed in the approved for loan guarantees to ensure (1) If the sum of the loan amount application, if adopted, will not have a wide a range as possible technologies, requested and other direct federal any economically significant negative products, and approaches are assisted in funding is less than or equal to 50 impacts on existing manufacturing the program portfolio; and percent of total eligible project costs, 20 plants or other facilities that use similar (ii) To applications that promote points will be awarded. renewable chemicals and other biobased partnerships and other activities that (2) If the sum of the loan amount outputs of biorefineries, 0 points will be assist in the development of new and requested and other direct federal awarded. emerging technologies for the funding is greater than 50 percent but (2) If the borrower has established, development of renewable chemicals less than or equal to 55 percent of total through an independent third-party and other biobased outputs of eligible project costs, 16 points will be feasibility study, that the production biorefineries, so as to, as applicable, awarded. technology proposed in the application, promote resource conservation, public (3) If the sum of the loan amount if adopted, will not have any health, and the environment; diversify requested and other direct federal economically significant negative markets for agricultural and forestry funding is greater than 55 percent but impacts on existing manufacturing products and agriculture waste material; less than or equal to 60 percent of total plants or other facilities that use and create jobs and enhance the eligible project costs, 12 points will be renewable chemicals and other biobased economic development of the rural awarded. outputs of biorefineries, 5 points will be economy. No additional information (4) If the sum of the loan amount and awarded. regarding partnerships is provided at other direct federal funding is greater (h) The potential for rural economic this time. If additional information does than 60 percent but less than or equal development. A maximum of 10 points become available, the Agency will to 65 percent of total eligible project can be awarded. Points to be awarded publish those details in a Federal costs, 8 points will be awarded. will be determined as follows: Register notice. (5) If the sum of the loan amount and (1) If the project is located in a rural IX. General Program Information other direct federal funding is greater area, 5 points will be awarded. than 65 percent but less than or equal (2) If the project creates jobs through A. Loan Origination. Lenders seeking to 70 percent of total eligible project direct employment with an average a loan guarantee under this Notice must costs, 4 points will be awarded. wage that exceeds the county median comply with all the provisions found in (f) Whether the borrower has household wages where the project will 7 CFR 4279, subpart C. established that the adoption of the be located, 5 points will be awarded. B. Loan Processing. The Agency will manufacturing process proposed in the (i) The level of local ownership of the process loans guaranteed under this application will have a positive effect facility proposed in the application. For Notice in accordance with the on three impact areas: Resource the purposes of this Notice, a local provisions specified in 7 CFR 4279.260 conservation (e.g., water, soil, forest), owner is defined as ‘‘an individual who through 4279.290. public health (e.g., potable water, air owns any portion of an eligible C. Evaluation of Applications and quality), and the environment (e.g., advanced biofuel biorefinery and whose Awards. Awards under this Notice will compliance with an applicable primary residence is located within 100 be made on a competitive basis; renewable fuel standard, greenhouse miles of the biorefinery.’’ A maximum submission of an application neither gases, emissions, particulate matter). A of 5 points can be awarded. Points to be reserves funding nor ensures funding. maximum of 10 points can be awarded. awarded will be determined as follows: The Agency will evaluate each Based on what the borrower has (1) If local owners have an ownership application received in the USDA, Rural provided in either the application or the interest in the facility of more than 20 Business-Cooperative Service, Program feasibility study, points to be awarded percent but less than or equal to 50 Processing Division; select Phase 1 will be determined as follows: percent, 3 points will be awarded. applications in accordance with 7 CFR (1) If process adoption will have a (2) If local owners have an ownership 4279.267, select projects to invite positive impact on any one of the three interest in the facility of more than 50 submittal of Phase 2 applications, and impact areas (resource conservation, percent, 5 points will be awarded. will make awards using the provisions public health, or the environment), 3 (j) Whether the project can be specified in 7 CFR 4279.278. points will be awarded. replicated. A maximum of 10 points can D. Guaranteed Loan Servicing. The (2) If process adoption will have a be awarded. Points to be awarded will Agency will service loans guaranteed positive impact on two of the three be determined as follows: under this Notice in accordance with impact areas, 6 points will be awarded. (1) If the project can be commercially the provisions specified in 7 CFR (3) If process adoption will have a replicated regionally (e.g., Northeast, 4287.301 through 4287.399. positive impact on all three impact Southwest, etc.), 5 points will be E. System for Award Management areas, 10 points will be awarded. awarded. (SAM) and Dun and Bradstreet Data (g) Whether the borrower can (2) If the project can be commercially Universal Numbering System (DUNS) establish that, if adopted, the technology replicated nationally, 10 points will be Registration. Unless exempt under 2 proposed in the application will not awarded. CFR 25.110, the applicant must be have any economically significant (k) If the project uses a particular registered in the SAM prior to negative impacts on existing technology, system, or process that is submitting an application and maintain manufacturing plants or other facilities not currently operating at commercial an active SAM registration with current that use renewable chemicals and other scale as of October 1 of the fiscal year information at all times during which it
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has an active federal award or an all programs). Remedies and complaint the Service Annual Survey, prior to the application under consideration by the filing deadlines vary by program or submission of the information collection Agency. Applicants must provide a incident. request (ICR) to OMB for approval. DUNS number for each application Persons with disabilities who require DATES: To ensure consideration, submitted to the Agency. alternative means of communication for comments regarding this proposed program information (e.g., Braille, large X. Administration Information information collection must be received print, audiotape, American Sign on or before November 20, 2020. A. Notifications. The Agency will Language, etc.) should contact the ADDRESSES: Interested persons are notify, in writing, lenders whose Phase responsible Agency or USDA’s TARGET invited to submit written comments by 1 applications have scored highest and Center at (202) 720–2600 (voice and email to [email protected]. will invite them to submit Phase 2 TTY) or contact USDA through the Please reference Service Annual Survey applications. If the Agency determines it Federal Relay Service at (800) 877–8339. in the subject line of your comments. is unable to guarantee any particular Additionally, program information may You may also submit comments, loan, the lender will be informed in be made available in languages other identified by Docket Number USBC– writing. Such notification will include than English. 2020–0026, to the Federal e-Rulemaking the reason(s) for denial of the guarantee. To file a program discrimination Portal: http://www.regulations.gov. All B. Administrative and National Policy complaint, complete the USDA Program comments received are part of the Requirements. Discrimination Complaint Form, AD– 1. Review or Appeal Rights. A person public record. No comments will be 3027 online or at any USDA office, or posted to http://www.regulations.gov for may seek a review of an Agency write a letter addressed to USDA and decision or appeal to the National public viewing until after the comment provide in the letter all of the period has closed. Comments will Appeals Division in accordance with 7 information requested on the form. To CFR 4279.204. generally be posted without change. All request a copy of a complaint form, call, Personally Identifiable Information (for 2. Exception Authority. The (866) 632–9992. Submit your completed provisions specified in 7 CFR 4279.203 example, name and address) voluntarily complaint form or letter to USDA by: submitted by the commenter may be and 7 CFR 4287.303 apply to this (1) Mail: U.S. Department of publicly accessible. Do not submit Notice. Agriculture, Office of the Assistant Confidential Business Information or C. Environmental Review. The Agency Secretary for Civil Rights, 1400 otherwise sensitive or protected will review all applicant proposals that Independence Avenue SW, Washington, information. You may submit may qualify for assistance under this DC 20250–9410; section in accordance with 7 CFR part (2) Fax: (202) 690–7442; or attachments to electronic comments in 1970, Environmental Policies and (3) Email at: program.intake@ Microsoft Word, Excel, or Adobe PDF Procedures. The environmental review usda.gov. file formats. for projects that score high enough will USDA is an equal opportunity FOR FURTHER INFORMATION CONTACT: be submitted during the Phase 2 provider, employer, and lender. Requests for additional information or application process and must be specific questions related to collection Rebeckah Freeman-Adcock, conducted in accordance with 7 CFR activities should be directed to Edward part 1970, Environmental Policies and Administrator, Rural Business-Cooperative Watkins, Assistant Division Chief for Service. Procedures. Service Sectors, Economy-Wide [FR Doc. 2020–20687 Filed 9–18–20; 8:45 am] Statistics Division, U.S. Census Bureau, XI. Agency Contacts BILLING CODE 3410–XY–P (301) 763–4750, or email For general questions about this [email protected] Notice, please contact Aaron Morris, SUPPLEMENTARY INFORMATION: Rural Business-Cooperative Service, DEPARTMENT OF COMMERCE Program Processing Division, U.S. I. Abstract Department of Agriculture, 1400 Census Bureau The Service Annual Survey (SAS) Independence Avenue SW, Room 5801– produces annual nationwide estimates Agency Information Collection S, Washington, DC 20250–3225. of revenue and expenses for service Activities; Submission to the Office of Telephone: (202) 720–1501. Email: industries. These service industries Management and Budget (OMB) for [email protected]. include all or portions of the following Review and Approval; Comment North American Industry Classification Equal Opportunity and Non- Request; Service Annual Survey (SAS) System (NAICS) sectors: Utilities Discrimination Requirements AGENCY: U.S. Census Bureau, (NAICS 22); Transportation and In accordance with federal civil rights Commerce. Warehousing (NAICS 48 AND 49); law and USDA civil rights regulations ACTION: Notice of information collection, Information (NAICS 51); Finance and and policies, the USDA, its Agencies, request for comment. Insurance (NAICS 52); Real Estate and offices, and employees, and institutions Rental and Leasing (NAICS 53); participating in or administering USDA SUMMARY: The Department of Professional, Scientific and Technical programs are prohibited from Commerce, in accordance with the Services (NAICS 54); Administrative discriminating based on race, color, Paperwork Reduction Act (PRA) of and Support and Waste Management national origin, religion, sex, gender 1995, invites the general public and and Remediation Services (NAICS 56); identity (including gender expression), other Federal agencies to comment on Educational Services (NAICS 61); sexual orientation, disability, age, proposed, and continuing information Health Care and Social Assistance marital status, family/parental status, collections, which helps us assess the (NAICS 62); Arts, Entertainment, and income derived from a public assistance impact of our information collection Recreation (NAICS 71); Accommodation program, political beliefs, or reprisal or requirements and minimize the public’s and Food Services (NAICS 72); and retaliation for prior civil rights activity, reporting burden. The purpose of this Other Services (NAICS 81). in any program or activity conducted or notice is to allow for 60 days of public For most industries, SAS produces funded by USDA (not all bases apply to comment on the proposed revision of estimates of revenue for selected
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detailed products. The program also more convenience and flexibility than II. Method of Collection collects and publishes information paper survey forms. In rare cases where The Census Bureau collects this about sales generated from electronic the company has no access to the information via the internet, but in rare sources (e-commerce). Inventory internet, the Census Bureau can arrange cases when respondents have no access estimates are produced for selected for the company to provide data to an to the internet, the Census Bureau will industries in the Transportation and analyst via telephone. collect the information by telephone. Information sectors. For industries with The Census Bureau plans to make the a significant non-profit component, following changes: III. Data separate estimates are developed for OMB Control Number: 0607–0422. taxable firms and organizations exempt A. Content added related to the COVID–19 pandemic, revenues from telemedicine Form Number(s): The Service Annual from federal income tax. Survey program consists of 91 unique Data from the SAS are needed to services: Expand industries provided by the questionnaires for respondents in provide a sound statistical basis for the telemedicine question to include hospitals different industries, which are too formation of policy by various (NAICS 622) and nursing and residential care facilities (NAICS 623) in addition to extensive to list here. All SAS governmental agencies, private ambulatory health care providers (NAICS questionnaires can be viewed at https:// businesses, and trade associations, 621) and revise the current telemedicine www.census.gov/programs-surveys/sas/ among other users. The media and the question for ambulatory health care providers technical-documentation/questionnaire- public also rely on these data to to match the new content added for hospitals app.html. understand the health of the U.S. and nursing and residential care facilities. service sector. The Bureau of Economic Type of Review: Regular submission, The primary objective of expanding the Request for a Revision of a Currently Analysis, the primary Federal user of scope of industries receiving the Approved Collection. these annual program statistics, uses the telemedicine services question is to measure information in developing the national the impact of the COVID–19 pandemic on the Affected Public: Businesses or other income and product accounts, healthcare sector, and meet the needs of the for-profit organizations; Not-for-profit compiling benchmark and annual input- data user community. As economic institutions; Government hospitals output tables, and computing Gross conditions and the pandemic evolve, the located in the United States. Domestic Product by industry. The Census Bureau may make further Estimated Number of Respondents: Bureau of Labor Statistics uses the data modifications to the SAS. 90,590. as inputs to its Producer Price Index and B. Revisions related to integrating annual Estimated Time Per Response: 3 to 6 in developing productivity surveys: The Census Bureau is undertaking hours depending on questionnaire. an initiative to integrate and re-engineer Estimated Total Annual Burden measurements. The Centers for select annual programs. Programs include the Medicare and Medicaid Services uses Hours: 139,889. Annual Survey of Manufactures (ASM), Estimated Total Annual Cost to the data in the development of the Annual Retail Trade Survey (ARTS), Annual National Health Expenditure Accounts. Public: $0. (This is not the cost of Wholesale Trade Survey (AWTS), Services respondents’ time, but the indirect costs The Federal Communications Annual Survey (SAS), Annual Capital Commission (FCC) uses the data as a Expenditures Survey (ACES), Manufacturing respondents may incur for such things means for assessing FCC policy. The Shipments Inventories and Unfilled Orders as purchases of specialized software or Census Bureau uses the data to provide (M3UFO), and Company Organizational hardware needed to report, or new insight into changing structural and Survey (COS). Efforts include coordinating expenditures for accounting or records cost conditions that will impact the collection strategies/instruments/ maintenance services required planning and design of future Economic communication; integrating, changing or specifically by the collection.) Census questionnaires. revising content; ensuring content is relevant; Respondent’s Obligation: Mandatory. Among the many private sector coordinating samples; and improving frame Legal Authority: Title 13 U.S.C. entities that rely on SAS data, trade and and coordinating status updates across Sections 131 and 182. annual surveys. The initiative to integrate professional organizations, like the IV. Request for Comments Coalition of Service Industries, use the and re-engineer select annual programs is data to analyze industry trends and scheduled to begin implementation in survey We are soliciting public comments to year 2023. The goal is to shift select annual permit the Department/Bureau to: (a) benchmark their own statistical programs from individual independent programs, develop forecasts, and Evaluate whether the proposed surveys to a streamlined integrated annual information collection is necessary for evaluate regulatory requirements. program. The new annual program will move Private businesses use the data to from industry focused, individual surveys to the proper functions of the Department, measure market share, analyze business requesting a more holistic view of the including whether the information will potential, and plan investment companies. Prior to survey year 2023, the have practical utility; (b) Evaluate the decisions. Private industry also uses the Census Bureau plans to begin to align our accuracy of our estimate of the time and data as a tool for marketing analysis. annual programs and improve efficiencies cost burden for this proposed collection, The media uses the data for news across programs in targeted areas related to including the validity of the reports and background information. consistent content, processes, and systems. methodology and assumptions used; (c) Through the SAS, the Census Bureau The initiative is in response to data user Evaluate ways to enhance the quality, collects data from the largest firms in needs (timely, granular, harmonized data), utility, and clarity of the information to the service sectors and from a sample of and declining response rates. be collected; and (d) Minimize the small- and medium-sized businesses C. Beginning in survey year 2020, the reporting burden on those who are to selected using a stratified sampling operating expenses content on all SAS respond, including the use of automated procedure. The Census Bureau reselects questionnaires will be slightly expanded collection techniques or other forms of from what has been collected over the past the samples periodically, generally at 5- two reference periods to a version that will information technology. year intervals. The Census Bureau uses be used in both Economic Census years and Comments submitted in response to a secure online reporting instrument non-Economic Census years. This change this notice are a matter of public record. (Centurion) for all SAS data collection. will aid in creating a consistent survey The Census Bureau will include, or This electronic system of reporting experience for respondents from year to year summarize, each comment in the allows respondents easier access, and and better meet the needs of our data users. request to OMB to approve this ICR.
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Before including address, phone to postpone the preliminary Dated: September 15, 2020. number, email address, or other determination until no later than 130 Jeffrey I. Kessler, personal identifying information, days after the date on which Commerce Assistant Secretary for Enforcement and commenters should be aware that the initiated the investigation if: (A) The Compliance. entire comment—including personal petitioner makes a timely request for a [FR Doc. 2020–20756 Filed 9–18–20; 8:45 am] identifying information—may be made postponement; or (B) Commerce BILLING CODE 3510–DS–P publicly available at any time. While concludes that the parties concerned are commenters may ask the Census Bureau cooperating, that the investigation is to withhold personal identifying extraordinarily complicated, and that DEPARTMENT OF COMMERCE information from public review, the additional time is necessary to make a Census Bureau cannot guarantee that it preliminary determination. Under 19 International Trade Administration will be able to do so. CFR 351.205(e), the petitioner must [C–489–843] Sheleen Dumas, submit a request for postponement 25 Department PRA Clearance Officer, Office of days or more before the scheduled date of the preliminary determination and Prestressed Concrete Steel Wire From the Chief Information Officer, Commerce the Republic of Turkey: Preliminary Department. must state the reasons for the request. Commerce will grant the request unless Affirmative Countervailing Duty [FR Doc. 2020–20794 Filed 9–18–20; 8:45 am] Determination, Preliminary Affirmative BILLING CODE 3510–07–P it finds compelling reasons to deny the request. Critical Circumstances Determination, in Part On September 4, 2020, the DEPARTMENT OF COMMERCE petitioners 2 submitted a timely request AGENCY: Enforcement and Compliance, that Commerce postpone the International Trade Administration, International Trade Administration preliminary CVD determination.3 The Department of Commerce. [C–570–134] petitioners stated that they request SUMMARY: The Department of Commerce postponement to permit parties time to Certain Metal Lockers and Parts (Commerce) preliminarily determines review data submitted by the that countervailable subsidies are being Thereof from the People’s Republic of Government of China and Zhejiang China: Postponement of Preliminary provided to producers and exporters of Xingyi Metal Products Co., Ltd., identify prestressed concrete steel wire (PC Determination in the Countervailing deficiencies, and provide comment in Duty Investigation strand) from the Republic of Turkey advance of the preliminary (Turkey). The period of investigation is AGENCY: Enforcement and Compliance, determination.4 In accordance with 19 January 1, 2019 through December 31, International Trade Administration, CFR 351.205(e), the petitioners have 2019. Interested parties are invited to Department of Commerce. stated the reasons for requesting a comment on this preliminary DATES: Applicable September 21, 2020. postponement of the preliminary determination. determination, and Commerce finds no FOR FURTHER INFORMATION CONTACT: DATES: Applicable September 21, 2020. Charles Doss at (202) 482–4474, AD/ compelling reason to deny the request. FOR FURTHER INFORMATION CONTACT: CVD Operations, Office III, Enforcement Therefore, in accordance with section and Compliance, International Trade 703(c)(1)(A) of the Act, Commerce is Whitley Herndon and Jacob Garten, AD/ Administration, U.S. Department of postponing the deadline for the CVD Operations, Office II, Enforcement Commerce, 1401 Constitution Avenue preliminary determination to no later and Compliance, International Trade NW, Washington, DC 20230. than 130 days after the date on which Administration, U.S. Department of this investigation was initiated, i.e., Commerce, 1401 Constitution Avenue SUPPLEMENTARY INFORMATION: December 7, 2020.5 Pursuant to section NW, Washington, DC 20230; telephone: Background 705(a)(1) of the Act and 19 CFR (202) 482–6274 and (202) 482–3342, On July 29, 2020, the Department of 351.210(b)(1), the deadline for the final respectively. Commerce (Commerce) initiated a determination of this investigation will SUPPLEMENTARY INFORMATION: countervailing duty (CVD) investigation continue to be 75 days after the date of of imports of certain metal lockers and the preliminary determination. Background parts thereof from the People’s Republic This notice is issued and published This preliminary determination is of China.1 Currently, the preliminary pursuant to section 703(c)(2) of the Act made in accordance with section 703(b) determination is due no later than and 19 CFR 351.205(f)(1). of the Tariff Act of 1930, as amended October 2, 2020. (the Act). Commerce published the Postponement of Preliminary 2 The petitioners are: List Industries, Inc.; Lyon notice of initiation of this investigation 1 Determination LLC, Penco Products, Inc.; and Tennsco LLC. on May 13, 2020. On July 1, 2020, 3 See Petitioners’ Letter, ‘‘Certain Metal Lockers Commerce postponed the preliminary Section 703(b)(1) of the Tariff Act of and Parts Thereof from the People’s Republic of determination of this investigation, and 1930, as amended (the Act), requires China—Petitioners’ Request to Postpone Preliminary Determination,’’ dated September 4, the revised deadline is now September Commerce to issue the preliminary 2020. 14, 2020.2 For a complete description of determination in a countervailing duty 4 Id. the events that followed the initiation of investigation within 65 days after the 5 Postponing the preliminary determination to this investigation, see the Preliminary date on which Commerce initiated the 130 days after initiation would place the deadline investigation. However, section on Sunday, December 6, 2020. Commerce’s practice dictates that where a deadline falls on a weekend 1 See Prestressed Concrete Steel Wire Strand from 703(c)(1) of the Act permits Commerce or federal holiday, the appropriate deadline is the the Republic of Turkey: Initiation of Countervailing next business day. See Notice of Clarification: Duty Investigation, 85 FR 28610 (May 13, 2020). 1 See Certain Metal Lockers and Parts Thereof Application of ‘‘Next Business Day’’ Rule for 2 See Prestressed Concrete Steel Wire Strand from from the People’s Republic of China: Initiation of Administrative Determination Deadlines Pursuant the Republic of Turkey: Postponement of Countervailing Duty Investigation, 85 FR 47353 to the Tariff Act of 1930, As Amended, 70 FR 24533 Preliminary Determination of Countervailing Duty (August 5, 2020). (May 10, 2005). Investigation, 85 FR 39522 (July 1, 2020).
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Decision Memorandum.3 A list of topics exporters or producers not individually of the investigation section entered, or discussed in the Preliminary Decision examined. For a full description of the withdrawn from warehouse, for Memorandum is included as Appendix methodology and results of Commerce’s consumption on or after the date of II to this notice. The Preliminary analysis, see the Preliminary Decision publication of this notice in the Federal Decision Memorandum is a public Memorandum. Register. Further, pursuant to 19 CFR document and is on file electronically Date of Final Determination 351.205(d), Commerce will instruct CBP via Enforcement and Compliance’s to require a cash deposit equal to the Antidumping and Countervailing Duty Section 705(a)(1) of the Act and 19 rates indicated above. Centralized Electronic Service System CFR 351.210(b)(1) provide that Section 703(e)(2) of the Act provides (ACCESS). ACCESS is available to Commerce will issue the final registered users at http:// determination within 75 days after the that, given an affirmative determination access.trade.gov. In addition, a complete date of its preliminary determination, of critical circumstances, any version of the Preliminary Decision unless the final determination is suspension of liquidation shall apply to Memorandum can be accessed directly postponed or aligned with the final unliquidated entries of merchandise at http://enforcement.trade.gov/frn/. determination of a companion entered, or withdrawn from warehouse, The signed and electronic versions of antidumping duty investigation of PC for consumption on or after the later of the Preliminary Decision Memorandum strand. Accordingly, Commerce intends (a) the date which is 90 days before the are identical in content. make its final determination no later date on which the suspension of than November 30, 2020. liquidation was first ordered, or (b) the Scope of the Investigation date on which notice of initiation of the The product covered by this All-Others Rate investigation was published. Commerce investigation is PC strand from Turkey. Sections 703(d) and 705(c)(5)(A) of preliminarily finds that critical For a complete description of the scope the Act provide that, in the preliminary circumstances exist for imports of of this investigation, see Appendix I. determination, Commerce shall subject merchandise produced and/or Methodology determine an estimated all-others rate exported by Celik Halat. In accordance for companies not individually with section 703(e)(2)(A) of the Act, the Commerce is conducting this examined. This rate shall be an amount suspension of liquidation shall apply to investigation in accordance with section equal to the weighted average of the unliquidated entries of merchandise 701 of the Act. For each of the subsidy estimated subsidy rates established for from the exporters/producers identified programs found countervailable, those companies individually in this paragraph that were entered, or Commerce preliminarily determines examined, excluding any zero and de withdrawn from warehouse, for that there is a subsidy, i.e., a financial minimis rates and any rates based consumption on or after the date which contribution by an ‘‘authority’’ that entirely under section 776 of the Act. In is 90 days before the publication of this gives rise to a benefit to the recipient this investigation, Commerce 4 notice. and that the subsidy is specific. preliminarily assigned a rate based Commerce notes that, in making these entirely on facts available to Celik Halat. Disclosure findings, it relied, in part, on facts Therefore, the only rate that is not zero, available and, because it finds that one Commerce intends to disclose its de minimis, or based entirely on facts or more respondents did not act to the calculations and analysis performed to otherwise available is the rate calculated best of their ability to respond to interested parties in this preliminary for Guney Celik. Consequently, the rate Commerce’s requests for information, it determination within five days of its calculated for Guney Celik is also drew an adverse inference where public announcement, or if there is no assigned as the rate for all other appropriate in selecting from among the public announcement, within five days producers and exporters. facts otherwise available.5 For further of the date of this notice in accordance information, see ‘‘Use of Facts Preliminary Determination with 19 CFR 351.224(b). Otherwise Available and Adverse Commerce preliminarily determines Verification Inferences’’ in the Preliminary Decision that the following estimated Memorandum. countervailable subsidy rates exist: Commerce is currently unable to Preliminary Affirmative Determination conduct on-site verification of the of Critical Circumstances, in Part Subsidy information relied upon in making its Company rate final determination in this investigation. In accordance with section 703(e)(1) (percent) Accordingly, we intend to take of the Act, Commerce preliminarily additional steps in lieu of on-site determines that critical circumstances Guney Celik Hasir ve Demir 14.44 6 verification. Commerce will notify exist with respect to imports of PC Celik Halat ve Tel San A.S. 135.06 All Others ...... 14.44 interested parties of any additional strand from Turkey for Celik Halat ve documentation or information required. Tel San A.S. (Celik Halat) but do not Suspension of Liquidation exist with respect to Guney Celik Hasir Public Comment ve Demir (Guney Celik) and all other In accordance with section 703(d)(1)(B) and (d)(2) of the Act, Case briefs or other written comments 3 See Memorandum, ‘‘Decision Memorandum for Commerce will direct U.S. Customs and may be submitted to the Assistant the Preliminary Determination of the Border Protection (CBP) to suspend Secretary for Enforcement and Countervailing Duty Investigation of Prestressed Compliance. A timeline for the Concrete Steel Wire from the Republic of Turkey,’’ liquidation of entries of subject dated concurrently with, and hereby adopted by, merchandise as described in the scope submission of case briefs and written this notice (Preliminary Decision Memorandum). comments will be notified to interested 4 See sections 771(5)(B) and (D) of the Act 6 As discussed in the Preliminary Decision parties at a later date. Rebuttal briefs, regarding financial contribution; section 771(5)(E) Memorandum, Commerce has found the following limited to issues raised in case briefs, of the Act regarding benefit; and section 771(5A) of companies to be cross-owned with Celik Halat: may be submitted no later than seven the Act regarding specificity. Dogan Sirketler Grubu Holding A.S. and Adilbey 5 See sections 776(a) and (b) of the Act. Holding A.S. days after the deadline date for case
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briefs.7 Pursuant to 19 CFR Dated: September 14, 2020. FOR FURTHER INFORMATION CONTACT: Leo 351.309(c)(2) and (d)(2), parties who Jeffrey I. Kessler, Ayala, AD/CVD Operations, Office VII, submit case briefs or rebuttal briefs in Assistant Secretary for Enforcement and Enforcement and Compliance, this investigation are encouraged to Compliance. International Trade Administration, U.S. Department of Commerce, 1401 submit with each argument: (1) A Appendix I statement of the issue; (2) a brief Constitution Avenue NW, Washington summary of the argument; and (3) a Scope of the Investigation DC 20230; telephone: (202) 482–3945. table of authorities. The merchandise covered by this SUPPLEMENTARY INFORMATION: investigation is prestressed concrete steel Pursuant to 19 CFR 351.310(c), wire strand (PC strand), produced from wire Background interested parties who wish to request a of non-stainless, non-galvanized steel, which On April 1, 2020, Commerce hearing, limited to issues raised in the is suitable for use in prestressed concrete published a notice of opportunity to case and rebuttal briefs, must submit a (both pretensioned and post-tensioned) request an administrative review of the written request to the Assistant applications. The product definition AD order on biodiesel from Indonesia encompasses covered and uncovered strand Secretary for Enforcement and 1 and all types, grades, and diameters of PC for the POR. On April 30, 2020, Compliance, U.S. Department of strand. PC strand is normally sold in the Commerce received a timely-filed Commerce, within 30 days after the date United States in sizes ranging from 0.25 request from the National Biodiesel of publication of this notice. Requests inches to 0.70 inches in diameter. PC strand Board Fair Trade Coalition (Coalition) 2 should contain the party’s name, made from galvanized wire is only excluded for an administrative review of five address, and telephone number; the from the scope if the zinc and/or zinc oxide Indonesian producers and/or exporters, 2 number of participants; whether any coating meets or exceeds the 0.40 oz./ft in accordance with section 751(a) of the standard set forth in ASTM–A–475. The PC participant is a foreign national; and a Tariff Act of 1930, as amended (the Act), strand subject to this investigation is and 19 CFR 351.213(b).3 list of the issues to be discussed. If a currently classifiable under subheadings request for a hearing is made, Commerce 7312.10.3010 and 7312.10.3012 of the On June 8, 2020, pursuant to this intends to hold the hearing at a time and Harmonized Tariff Schedule of the United request, and in accordance with section date to be determined. Parties should States (HTSUS). Although the HTSUS 751(a) of the Act and 19 CFR confirm by telephone the date, time, and subheadings are provided for convenience 351.221(c)(1)(i), Commerce published a location of the hearing two days before and customs purposes, the written notice initiating an administrative description of the scope of this investigation the scheduled date. review of the antidumping duty order is dispositive. on biodiesel from Indonesia.4 On Parties are reminded that briefs and Appendix II September 1, 2020, the Coalition timely hearing requests are to be filed withdrew its request for an electronically using ACCESS and that List of Topics Discussed in the Preliminary administrative review for all five electronically filed documents must be Decision Memorandum producers and/or exporters.5 received successfully in their entirety by I. Summary 5 p.m. Eastern Time on the due date. II. Background Rescission of Review Note that Commerce has temporarily III. Scope of the Investigation Pursuant to 19 CFR 351.213(d)(1), IV. Preliminary Affirmative Determination of Commerce will rescind an modified certain of its requirements for Critical Circumstances, In Part serving documents containing business V. Injury Test administrative review, in whole or in proprietary information, until further VI. Use of Facts Otherwise Available and part, if the party or parties that notice.8 Adverse Inferences requested a review withdraws the VII. Subsidies Valuation request within 90 days of the International Trade Commission VIII. Analysis of Programs publication date of the notice of Notification IX. Recommendation initiation of the requested review. The [FR Doc. 2020–20692 Filed 9–18–20; 8:45 am] In accordance with section 703(f) of BILLING CODE 3510–DS–P 1 See Antidumping or Countervailing Duty Order, the Act, Commerce will notify the Finding, or Suspended Investigation; Opportunity International Trade Commission (ITC) of To Request Administrative Review, 85 FR 18191 its determination. If the final (April 1, 2020). DEPARTMENT OF COMMERCE 2 The Coalition is an association, a majority of determination is affirmative, the ITC whose members is composed of domestic producers will determine before the later of 120 International Trade Administration of biodiesel. Coalition members include the National Biodiesel Board (the NBB), American days after the date of this preliminary [A–560–830] determination or 45 days after the final GreenFuels, LLC, Archer Daniels Midland Company, Ag Processing Inc a cooperative, Crimson determination. Biodiesel from Indonesia: Rescission Renewable Energy LP, High Plains Bioenergy, Integrity Biofuels, LLC, Iowa Renewable Energy, Notification to Interested Parties of Antidumping Duty Administrative Review: 2019–2020 LLC, Lake Erie Biofuels dba HERO BX. Minnesota Soybean Processors, New Leaf Biofuel, LLC, This determination is issued and AGENCY: Enforcement and Compliance, Newport Biodiesel, L.L.C., Renewable Biofuels, published pursuant to sections 703(f) International Trade Administration, LLC, Renewable Energy Group, Inc., Western and 777(i) of the Act and 19 CFR Dubuque Biodiesel, LLC, Western Iowa Energy, Department of Commerce. LLC, and World Management Group LLC dba World 351.205(c). SUMMARY: The Department of Commerce Energy. (Commerce) is rescinding the 3 See Coalition’s’ Letter, ‘‘Biodiesel from 7 See 19 CFR 351.309; see also 19 CFR 351.303 administrative review of the Indonesia: Request for Administrative Review of (for general filing requirements); Temporary Rule Antidumping Duty Order,’’ dated April 30, 2020. Modifying AD/CVD Service Requirements Due to antidumping duty (AD) order on 4 See Initiation of Antidumping and COVID–19, 85 FR 17006 (March 26, 2020) biodiesel from Indonesia for the period Countervailing Duty Administrative Reviews, 85 FR (Temporary Rule); and Temporary Rule Modifying of review (POR) April 1, 2019 through 35068 (June 8, 2020). AD/CVD Service Requirements Due to COVID–19; March 31, 2020, based on the timely 5 See Coalition’s’ Letter, ‘‘Biodiesel from Extension of Effective Period, 85 FR 41363 (July 10, Indonesia: Withdrawal of Request for 2020). withdrawal of the request for review. Administrative Review of Antidumping Duty 8 See Temporary Rule. DATES: Applicable September 21, 2020. Order,’’ dated September 1, 2020.
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Coalition withdrew its request for Dated: September 15, 2020. completion of agenda items. The review within the 90-day deadline. James Maeder, meeting will begin on October 7, 2020, Because Commerce received no other Deputy Assistant Secretary for Antidumping at 9 a.m. EDT, and will end on October requests for review, we are rescinding and Countervailing Duty Operations. 7, 2020, at 12 p.m. EDT. Other than the the administrative review of the order [FR Doc. 2020–20786 Filed 9–18–20; 8:45 am] start time, interested parties should be on biodiesel from Indonesia covering BILLING CODE 3510–DS–P aware that discussions may start earlier the April 1, 2019 through March 31, or later than indicated, at the discretion 2020 POR, in its entirety, in accordance of the Chair. with 19 CFR 351.213(d)(1). DEPARTMENT OF COMMERCE Special Accommodations Assessment National Oceanic and Atmospheric Simultaneous interpretation will be Administration provided. To receive interpretation in Commerce will instruct U.S. Customs Spanish you can dial into the meeting and Border Protection (CBP) to assess [RTID 0648–XA491] as follows: antidumping duties on all appropriate Caribbean Fishery Management US/Canada: Call +1–888–947–3988, entries of biodiesel from Argentina. Council; Public Meeting when system answers, enter 1*999996#. Antidumping duties shall be assessed at Para interpretacio´n en ingle´s marcar: rates equal to the cash deposit of AGENCY: National Marine Fisheries US/Canada: Call +1–888–947–3988, estimated antidumping duties required Service (NMFS), National Oceanic and cuando el sistema conteste, entrar el ´ at the time of entry, or withdrawal from Atmospheric Administration (NOAA), siguiente numero 2*999996#. For any additional information on this warehouse, for consumption in Commerce. ACTION: Notice of public meeting. joint public virtual meeting, please accordance with 19 CFR contact Diana Martino, Caribbean 351.212(c)(1)(i). Commerce intends to SUMMARY: The Caribbean Fishery Fishery Management Council, 270 issue appropriate assessment Management Council’s (Council) St. Mun˜ oz Rivera Avenue, Suite 401, San instructions to CBP 15 days after the Thomas/St. John District Advisory Panel Juan, Puerto Rico 00918–1903, date of publication of this notice in the (STT/STJ DAP) will hold a public telephone: (787) 226–8849. Federal Register. virtual meeting to address the items Authority: 16 U.S.C. 1801 et seq. Notification to Importers contained in the tentative agenda Dated: September 16, 2020. included in the SUPPLEMENTARY Tracey L. Thompson, This notice serves as the only INFORMATION. reminder to importers of their Acting Deputy Director, Office of Sustainable DATES: The STT/STJ DAP public virtual Fisheries, National Marine Fisheries Service. responsibility under 19 CFR meeting will be held on October 7, 2020, [FR Doc. 2020–20778 Filed 9–18–20; 8:45 am] 351.402(f)(2) to file a certificate from 9 a.m. to 12 p.m., Eastern Day BILLING CODE 3510–22–P regarding the reimbursement of Time. antidumping and/or countervailing ADDRESSES: You may join the STT/STJ duties prior to liquidation of the DAP public virtual meeting (via DEPARTMENT OF COMMERCE relevant entries during this review GoToMeeting) from a computer, tablet period. Failure to comply with this National Oceanic and Atmospheric or smartphone by entering the following Administration requirement could result in the address: https:// presumption that reimbursement of global.gotomeeting.com/join/386200149 [RTID 0648–XA498] antidumping and/or countervailing You can also dial in using your duties occurred and the subsequent phone. Mid-Atlantic Fishery Management assessment of doubled antidumping United States: +1 (646) 749–3122. Council (MAFMC); Public Meeting duties. Access Code: 386–200–149. AGENCY: National Marine Fisheries Get the app now and be ready when Administrative Protective Orders Service (NMFS), National Oceanic and the meeting starts: https:// Atmospheric Administration (NOAA), This notice also serves as a reminder global.gotomeeting.com/install/ Commerce. 386200149. to all parties subject to administrative ACTION: Notice; public meeting. protective order (APO) of their FOR FURTHER INFORMATION CONTACT: responsibility concerning the return or Miguel Rolo´n, Executive Director, SUMMARY: The Mid-Atlantic Fishery destruction of proprietary information Caribbean Fishery Management Council, Management Council’s (Council) disclosed under APO in accordance 270 Mun˜ oz Rivera Avenue, Suite 401, Atlantic Mackerel, Squid, and Butterfish with 19 CFR 351.305. Timely written San Juan, Puerto Rico 00918–1903, (MSB) Advisory Panel (AP) will hold a meeting. notification of the return/destruction of telephone: (787) 398–3717. DATES: The meeting will be held on APO materials or conversion to judicial SUPPLEMENTARY INFORMATION: The Monday, October 5, 2020, from 9 a.m. to protective order is hereby requested. following items included in the 11 a.m. For agenda details, see Failure to comply with the regulations tentative agenda will be discussed: SUPPLEMENTARY INFORMATION. and terms of an APO is a violation 9 a.m.–9:15 a.m. ADDRESSES: The meeting will be held which is subject to sanction. —Introduction—Julian Magras via online webinar, with connection 9:15 a.m.–12 p.m. information available via the Council’s Notification to Interested Parties —Presentation of the Ecosystem website at www.mafmc.org. This notice is issued and published in Model Discussed by STT/STJ DAP Council address: Mid-Atlantic Fishery accordance with sections 751(a)(1) and and Update Discussion by Management Council, 800 N. State 777(i)(1) of the Act, and 19 CFR Participants Street, Suite 201, Dover, DE 19901; 351.213(d)(4). The order of business may be adjusted telephone: (302) 674–2331 or on their as necessary to accommodate the website at www.mafmc.org.
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FOR FURTHER INFORMATION CONTACT: GoToWebinar to speak during the The dates and times of the seven Christopher M. Moore, Ph.D., Executive hearings. A listen-only call in option is webinar hearings are listed below. You Director, Mid-Atlantic Fishery also available. Participants will not be are encouraged to participate in the Management Council, telephone: (302) able to speak through the phone hearing for your state or region; 526–5255. connection. however, all hearings are open to all SUPPLEMENTARY INFORMATION: The To access any of the webinar hearings, individuals. purpose of the meeting is to gather please follow the registration prompts at 1. Virginia: Thursday, October 8, Advisory Panel input on analysis https://register.gotowebinar.com/rt/ 2020; 6–8 p.m. EDT. related to possible changes to the Illex 6029916789664773645. To attend the 2. North Carolina: Tuesday, October squid quota. An agenda and any webinar in listen only mode without the 13, 2020; 6–8 p.m. EDT. background documents will be posted at ability to speak, you may dial (562) 247– 3. Delaware and Maryland: the Council’s website (www.mafmc.org) 8422 and enter access code 412–241– Wednesday, October 14, 2020; 6–8 p.m. prior to the meeting. 258. EDT. A public hearing document with more 4. Connecticut and New York: Special Accommodations information on this action is available Thursday, October 15, 2020; 6–8 p.m. The meeting is physically accessible at: http://www.mafmc.org/actions/bsb- EDT. to people with disabilities. Requests for commercial-allocation. Copies of the 5. New Jersey: Tuesday, October 27, sign language interpretation or other document are also available by request 2020; 6–8 p.m. EDT. auxiliary aid should be directed to M. from Dr. Chris Moore, Executive 6. Rhode Island: Wednesday, October Jan Saunders, (302) 526–5251, at least 5 Director, Mid-Atlantic Fishery 28, 2020; 6–8 p.m. EDT. days prior to any meeting date. Management Council, 800 N. State 7. Massachusetts: Thursday, October Street, Suite 201, Dover, DE 19901; Authority: 16 U.S.C. 1801 et seq. 29, 2020; 6–8 p.m. EDT. telephone: (302) 674–2331. Dated: September 16, 2020. Public comments: Written comments Special Accommodations Tracey L. Thompson, may be sent by any of the following These hearings are physically Acting Deputy Director, Office of Sustainable methods: • accessible to people with disabilities. Fisheries, National Marine Fisheries Service. Email to: [email protected] Requests for sign language [FR Doc. 2020–20780 Filed 9–18–20; 8:45 am] (subject: Draft Addendum XXXIII). interpretation or other auxiliary aids • Via webform at: https:// BILLING CODE 3510–22–P should be directed to M. Jan Saunders www.mafmc.org/comments/bsb- at the Mid-Atlantic Council Office (302) allocation. 526–5251 at least 5 days prior to the DEPARTMENT OF COMMERCE • Mail to: Caitlin Starks, FMP Coordinator, Atlantic States Marine hearing date. National Oceanic and Atmospheric Fisheries Commission, 1050 North Authority: 16 U.S.C. 1801 et seq. Administration Highland Street, Suite 200 A–N, Dated: September 16, 2020. Arlington, VA 22201. Mark the outside [RTID 0648–XA494] Tracey L. Thompson, of the envelope ‘‘Draft Addendum Acting Deputy Director, Office of Sustainable Mid-Atlantic Fishery Management XXXIII.’’ • Fisheries, National Marine Fisheries Service. Council (MAFMC); Public Hearings Fax to: 703–842–0741 (subject: Draft Addendum XXXIII) [FR Doc. 2020–20779 Filed 9–18–20; 8:45 am] BILLING CODE 3510–22–P AGENCY: National Marine Fisheries FOR FURTHER INFORMATION CONTACT: Service (NMFS), National Oceanic and Christopher M. Moore, Ph.D., Executive Atmospheric Administration (NOAA), Director, Mid-Atlantic Fishery DEPARTMENT OF COMMERCE Commerce. Management Council, telephone: (302) ACTION: Notice of public hearings; 526–5255. National Oceanic and Atmospheric request for comments. SUPPLEMENTARY INFORMATION: The Administration Council and the Commission are SUMMARY: The Mid-Atlantic Fishery developing a joint action to consider [RTID 0648–XA476] Management Council (Council) and the adjusting the allocations of the black sea Atlantic States Marine Fisheries Taking and Importing Marine bass commercial quota among states. Commission (Commission) will hold Mammals; Taking Marine Mammals These allocations were loosely based on seven public hearings via webinar and Incidental to Alaska Gasline landings data from 1980–2001. They a written comment period to solicit Development Corporation Liquefied were first implemented in 2003 and public comments on a developing Natural Gas Facilities Construction have not been modified since that time. management action to consider Project at Cook Inlet, Alaska They are currently included only in the potential changes to the allocation of the Commission’s fishery management plan AGENCY: National Marine Fisheries black sea bass commercial quota among and are not jointly managed with the Service (NMFS), National Oceanic and the states of Maine through North Council. This joint action will consider Atmospheric Administration (NOAA), Carolina. whether modifications to these Commerce. DATES: The webinar hearings will be allocations should be made to account ACTION: Notice of issuance of Letter of held between October 8 and 29, 2020. for changes in black sea bass Authorization. Each hearing will take place from 6 p.m. distribution and abundance over time, to 8 p.m. EDT. Written comments must as well as other considerations. It will SUMMARY: In accordance with the be received on or before 11:59 p.m. EST, also consider whether the allocations Marine Mammal Protection Act November 13, 2020. See SUPPLEMENTARY should be added to the Council’s (MMPA), as amended, and INFORMATION for more details, including Fishery Management Plan. implementing regulations, notification the dates and times for all hearings. Additional information on this action is hereby given that a Letter of ADDRESSES: All hearings will be hosted is available at: http://www.mafmc.org/ Authorization (LOA) has been issued to through GoToWebinar. You must use actions/bsb-commercial-allocation. the Alaska Gasline Development
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Corporation (AGDC) for the take of Summary of Request DEPARTMENT OF COMMERCE marine mammals incidental to On June 28, 2019, NMFS published a Liquefied Natural Gas (LNG) facilities notice of proposed rulemaking in the National Oceanic and Atmospheric construction project in Cook Inlet, Federal Register, requesting comments Administration Alaska. and information related to AGDC’s [RTID 0648–XA490] DATES: This Letter of Authorization is request for thirty days (84 FR 30991). effective from January 1, 2021, through The final rule was published in the Caribbean Fishery Management December 31, 2025. Federal Register on August 17, 2020 (85 Council; Public Meeting FR 50720). For detailed information on ADDRESSES: The LOA and supporting AGENCY: National Marine Fisheries this action, please refer to those documentation is available online at: Service (NMFS), National Oceanic and documents. The regulations include https://www.fisheries.noaa.gov/permit/ Atmospheric Administration (NOAA), mitigation, monitoring, and reporting incidental-take-authorizations-under- Commerce. requirements for the incidental take of marine-mammal-protection-act. In case marine mammals during the LNG ACTION: Notice of public meeting. of problems accessing these documents, facilities constructions in Cook Inlet, please call the contact listed below. SUMMARY: The Caribbean Fishery Alaska. Management Council’s (Council) FOR FURTHER INFORMATION CONTACT: The purpose of the project is to District Advisory Panels (DAPs), the Shane Guan, Office of Protected construct LNG onshore facilities Outreach and Education Advisory Panel Resources, NMFS, (301) 427–8401. between the Beluga Landing shoreline (OEAP), and the Liaison Officers, will crossing and the Yentna River on both SUPPLEMENTARY INFORMATION: hold a joint public virtual meeting to shores of the Cook Inlet to load LNG address the items contained in the Background carriers for export. The project would tentative agenda included in the Sections 101(a)(5)(A) and (D) of the require pile installation using impact SUPPLEMENTARY INFORMATION. MMPA (16 U.S.C. 1361 et seq.) direct and vibratory pile driving, and pipe the Secretary of Commerce to allow, laying in the Inlet. DATES: The DAPs, OEAP and Liaison Officers joint public virtual meeting will upon request, the incidental, but not Authorization intentional, taking of small numbers of be held on October 7, 2020, from 1 p.m. marine mammals by U.S. citizens who We have issued an LOA to AGDC to 3:30 p.m., Eastern Day Time. engage in a specified activity (other than authorizing the take of marine mammals ADDRESSES: You may join the DAPs/ commercial fishing) within a specified incidental to LNG facilities construction OEAP/Liaison Officers joint public geographical region if certain findings activities as described above. Take of virtual meeting (via GoToMeeting) from are made and either regulations are marine mammals will be minimized a computer, tablet or smartphone by issued or, if the taking is limited to through implementation of the entering the following address: harassment, a notice of a proposed following mitigation measures: (1) Please join the meeting from your authorization is provided to the public Implementing time/area restriction to computer, tablet or smartphone. for review. minimize potential noise exposure to https://global.gotomeeting.com/join/ An authorization for incidental Cook Inlet beluga whales in the Susitna 792633909 takings shall be granted if NMFS finds River Delta; (2) Implementing exclusion You can also dial in using your that the taking will have a negligible zones for all in-water construction phone. impact on the species or stock(s), will activities to prevent or reduce Level A United States: +1 (646) 749–3122. not have an unmitigable adverse impact harassment for all marine mammals and Access Code: 792–633–909. on the availability of the species or to prevent Level B harassment for Cook Get the app now and be ready when stock(s) for subsistence uses (where Inlet beluga whales; (3) Employing the meeting starts: https:// relevant), and if the permissible protected species observers (PSOs) to global.gotomeeting.com/install/ methods of taking and requirements monitor exclusion zones before, during, 792633909. pertaining to the mitigation, monitoring and after the in-water construction FOR FURTHER INFORMATION CONTACT: and reporting of such takings are set activities to ensure that no marine Miguel Rolo´n, Executive Director, forth. NMFS has defined ‘‘negligible mammal is within the exclusion zone Caribbean Fishery Management Council, impact’’ in 50 CFR 216.103 as an impact during the activities; (4) Implementing 270 Mun˜ oz Rivera Avenue, Suite 401, resulting from the specified activity that soft start for impact pile driving; and (5) San Juan, Puerto Rico 00918–1903, cannot be reasonably expected to, and is Deploying air bubble curtains to telephone: (787) 398–3717. attenuate noise from in-water pile not reasonably likely to, adversely affect SUPPLEMENTARY INFORMATION: The the species or stock through effects on driving. Based on these findings and the following items included in the annual rates of recruitment or survival. information discussed in the preamble tentative agenda will be discussed: Except with respect to certain to the final rule, the activities described 1 p.m.–1:10 p.m. activities not pertinent here, the MMPA under the LOA will have a negligible —Introduction—Miguel A. Rolo´n defines ‘‘harassment’’ as any act of impact on marine mammal stocks and 1:10 p.m.–1:30 p.m. pursuit, torment, or annoyance which (i) will not have an unmitigable adverse —Concepts of Outreach and has the potential to injure a marine impact on the availability of the affected Education—Alida Ortı´z mammal or marine mammal stock in the marine mammal stock for subsistence —Liaison Officers Presentations wild (Level A harassment); or (ii) has uses. 1:30 p.m.–1:40 p.m. the potential to disturb a marine —Liaison Officer St. Thomas/St. mammal or marine mammal stock in the Dated: September 15, 2020. John—Nicole Greaux wild by causing disruption of behavioral Donna S. Wieting, 1:40 p.m.–1:50 p.m. patterns, including, but not limited to, Director, Office of Protected Resources, —Liaison Officer St. Croix—Nikita migration, breathing, nursing, breeding, National Marine Fisheries Service. Charles feeding, or sheltering (Level B [FR Doc. 2020–20691 Filed 9–18–20; 8:45 am] 1:50 p.m.–2 p.m. harassment). BILLING CODE 3510–22–P —Liaison Officer Puerto Rico—
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Wilson Santiago (SAB). The members will discuss issues Matters to be Considered: The 2 p.m.–2:10 p.m. outlined in the section on Matters to be meeting on October 27–28, 2020 will —Break considered. include NOAA Updates, discussion of —DAPs Chairs Presentations DATES: The meeting is scheduled for the SAB work plan, and other topics; 2:10 p.m.–2:20 p.m. October 27, 2020 from 1:00 p.m. to 5:00 the full agenda will be published on the —St. Thomas/St. John DAP Chair— p.m. (EDT) and October 28, 2020 from SAB website. Meeting materials, Julian Magras 1:00 p.m. to 5:00 p.m. (EDT). This time including work products, will also be 2:20 p.m.–2:40 p.m. and the agenda topics described below available on the SAB website: http:// —St. Croix DAP Chair—Edward are subject to change. sab.noaa.gov/SABMeetings.aspx. Schuster For the latest agenda please refer to Dated: September 11, 2020. 2:40 p.m.–2:50 p.m. the SAB website: http://sab.noaa.gov/ David Holst, —Puerto Rico DAP Chair—Nelson SABMeetings.aspx. Crespo Director Chief Financial Officer/CAO, Office 2:50 p.m.–3:30 p.m. ADDRESSES: This is a virtual meeting. of Oceanic and Atmospheric Research, —General Discussion and The webinar registration links for the National Oceanic and Atmospheric Recommendations October 27–28, 2020 meeting may be Administration. found on the website at http:// [FR Doc. 2020–20688 Filed 9–18–20; 8:45 am] The order of business may be adjusted sab.noaa.gov/SABMeetings.aspx. as necessary to accommodate the BILLING CODE 3510–KD–P FOR FURTHER INFORMATION CONTACT: completion of agenda items. The Dr. Cynthia Decker, Executive Director, meeting will begin on October 7, 2020, SSMC3, Room 11230, 1315 East-West at 1 p.m. EDT, and will end on October DEPARTMENT OF DEFENSE Hwy., Silver Spring, MD 20910; Phone 7, 2020, at 3:30 p.m. EDT. Other than Number: 301–734–1156; Email: Defense Acquisition Regulations the start time, interested parties should [email protected]; or visit the System be aware that discussions may start SAB website at http://sab.noaa.gov/ earlier or later than indicated, at the [Docket DARS–2020–0024; OMB Control SABMeetings.aspx. discretion of the Chair. Number 0704–0497] SUPPLEMENTARY INFORMATION: The Special Accommodations NOAA Science Advisory Board (SAB) Information Collection Requirement; Simultaneous interpretation will be was established by a Decision Defense Federal Acquisition provided. To receive interpretation in Memorandum dated September 25, Regulation Supplement; Part 15 Spanish you can dial into the meeting 1997, and is the only Federal Advisory Negotiation as follows: Committee with responsibility to advise AGENCY: Defense Acquisition US/Canada: Call +1–888–947–3988, the Under Secretary of Commerce for Regulations System, Department of when system answers, enter 1*999996#. Oceans and Atmosphere on strategies Defense (DoD). Para interpretacio´n en ingle´s marcar: for research, education, and application US/Canada: Call +1–888–947–3988, of science to operations and information ACTION: Notice and request for cuando el sistema conteste, entrar el services. SAB activities and advice comments regarding a proposed siguiente nu´ mero 2*999996#. provide necessary input to ensure that extension of an approved information For any additional information on this National Oceanic and Atmospheric collection requirement. joint public virtual meeting, please Administration (NOAA) science SUMMARY: In compliance with the contact Diana Martino, Caribbean programs are of the highest quality and Paperwork Reduction Act of 1995, DoD Fishery Management Council, 270 provide optimal support to resource announces the proposed extension of a Mun˜ oz Rivera Avenue, Suite 401, San management. public information collection Juan, Puerto Rico 00918–1903, Status: The October 27–28, 2020 requirement and seeks public comment telephone: (787) 226–8849. meeting will be open to public participation with a 15-minute public on the provisions thereof. DoD invites Authority: 16 U.S.C. 1801 et seq. comment period at 4:45PM EST on comments on: whether the proposed Dated: September 16, 2020. October 27. The SAB expects that public collection of information is necessary Tracey L. Thompson, statements presented at its meetings will for the proper performance of the Acting Deputy Director, Office of Sustainable not be repetitive of previously functions of DoD, including whether the Fisheries, National Marine Fisheries Service. submitted verbal or written statements. information will have practical utility; [FR Doc. 2020–20777 Filed 9–18–20; 8:45 am] In general, each individual or group the accuracy of the estimate of the BILLING CODE 3510–22–P making a verbal presentation will be burden of the proposed information limited to a total time of three minutes. collection; ways to enhance the quality, Written comments for the October 27– utility, and clarity of the information to DEPARTMENT OF COMMERCE 28, 2020 meeting should be received in be collected; and ways to minimize the the SAB Executive Director’s Office by burden of the information collection on National Oceanic and Atmospheric October 14, 2020 to provide sufficient respondents, including the use of Administration time for SAB review. Written comments automated collection techniques or received by the SAB Executive Director other forms of information technology. Science Advisory Board after this date will be distributed to the The Office of Management and Budget AGENCY: National Oceanic and SAB, but may not be reviewed prior to (OMB) has approved this information Atmospheric Administration (NOAA), the meeting date. collection requirement for use through Department of Commerce (DOC). Special Accomodations: This meeting November 30, 2020. DoD proposes that OMB extend its approval for use for ACTION: Notice of public meeting. is physically accessible to people with disabilities. Requests for special three additional years beyond the SUMMARY: This notice sets forth the accommodations may be directed to the current expiration date. schedule and proposed agenda for the Executive Director no later than 12 p.m. DATES: DoD will consider all comments meeting of the Science Advisory Board on October 14, 2020. received by November 20, 2020.
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ADDRESSES: You may submit comments, rate proposals. If the contracting officer submitted by fax or email and those identified by OMB Control Number determines that a forward pricing rate submitted after the comment period will 0704–0497, using any of the following proposal should be obtained pursuant to not be accepted. Written requests for methods: Federal Acquisition Regulation 42.1701, information or comments submitted by Æ Federal eRulemaking Portal: http:// then contractors following the contract postal mail or delivery should be www.regulations.gov. Follow the cost principles for commercial addressed to the Director of the Strategic instructions for submitting comments. organizations in FAR subpart 31.2 will Collections and Clearance Governance Æ Email: [email protected]. Include be required to submit a forward pricing and Strategy Division, U.S. Department OMB Control Number 0704–0245 in the rate proposal that complies with Federal of Education, 400 Maryland Ave. SW, subject line of the message. Acquisition Regulation 15.408, Table LBJ, Room 6W208D, Washington, DC Æ Mail: Defense Acquisition 15–2, and DFARS 215.403–5 and 20202–8240. Regulations System, Attn: Ms. Amy 215.407–5–70. The forward pricing rate FOR FURTHER INFORMATION CONTACT: For Williams, OUSD(A&S)DPC/DARS, proposal adequacy checklist at Table specific questions related to collection Room 3B938, 3060 Defense Pentagon, 215.403–1 is used by the contracting activities, please contact Bernadette Washington, DC 20301–3060. officer and the contractor to ensure the Miles, 202–453–7892. Comments received generally will be proposal is complete. The completed SUPPLEMENTARY INFORMATION: The posted without change to http:// forward pricing rate proposal adequacy Department of Education (ED), in www.regulations.gov, including any checklist will be submitted to DoD with accordance with the Paperwork personal information provided. the forward pricing rate proposal. Reduction Act of 1995 (PRA) (44 U.S.C. Instructions: Search for ‘‘Docket Jennifer Lee Hawes, 3506(c)(2)(A)), provides the general Number: DARS–2020–0024.’’ Select public and Federal agencies with an ‘‘Comment Now’’ and follow the Regulatory Control Officer, Defense Acquisition Regulations System. opportunity to comment on proposed, instructions provided to submit a revised, and continuing collections of comment. All submissions received [FR Doc. 2020–20758 Filed 9–18–20; 8:45 am] BILLING CODE 5001–06–P information. This helps the Department must include the agency name and assess the impact of its information docket number for this notice. collection requirements and minimize Comments received generally will be the public’s reporting burden. It also DEPARTMENT OF EDUCATION posted without change to http:// helps the public understand the www.regulations.gov, including any [Docket No.: ED–2020–SCC–0153] Department’s information collection personal information provided. To requirements and provide the requested confirm receipt of your comment(s), Agency Information Collection data in the desired format. ED is please check www.regulations.gov, Activities; Comment Request; soliciting comments on the proposed approximately two to three days after Application for Grants Under the information collection request (ICR) that submission to verify posting (except Predominantly Black Institutions is described below. The Department of allow 30 days for posting of comments Formula Grant Program Education is especially interested in submitted by mail). public comment addressing the AGENCY: Office of Postsecondary FOR FURTHER INFORMATION CONTACT: Ms. following issues: (1) Is this collection Education (OPE), Department of Amy G. Williams, 571–372–6106. necessary to the proper functions of the Education (ED). SUPPLEMENTARY INFORMATION: Title and Department; (2) will this information be OMB Number: Defense Federal ACTION: Notice. processed and used in a timely manner; Acquisition Regulation Supplement (3) is the estimate of burden accurate; SUMMARY: In accordance with the (DFARS) Part 15 Negotiation; OMB (4) how might the Department enhance Paperwork Reduction Act of 1995, ED is Control Number 0704–0497. the quality, utility, and clarity of the proposing a revision of a currently Type of Collection: Revision of a information to be collected; and (5) how approved collection. currently approved collection. might the Department minimize the Obligation to Respond: Required to DATES: Interested persons are invited to burden of this collection on the obtain or retain benefits. submit comments on or before respondents, including through the use Affected Public: Businesses or other November 20, 2020. of information technology. Please note for-profit and not-for-profit institutions. ADDRESSES: To access and review all the that written comments received in Number of Respondents: 263. documents related to the information response to this notice will be Responses per Respondent: 1. collection listed in this notice, please considered public records. Annual Responses: 263. use http://www.regulations.gov by Title of Collection: Application for Average Burden Per Response: 4 searching the Docket ID number ED– Grants Under the Predominantly Black hours. 2020–SCC–0153. Comments submitted Institutions Formula Grant Program. Annual Burden Hours: 1,052. in response to this notice should be OMB Control Number: 1840–0812. Frequency: On Occasion. submitted electronically through the Type of Review: Reinstatement Needs and Uses: DFARS 215.403–5 Federal eRulemaking Portal at http:// without change of a previously provides contractors with guidance for www.regulations.gov by selecting the approved collection. the submittal of forward pricing rate Docket ID number or via postal mail, Respondents/Affected Public: Private proposals, and includes a checklist for commercial delivery, or hand delivery. Sector. contractors to use in preparing their If the regulations.gov site is not Total Estimated Number of Annual proposals. The checklist is submitted to available to the public for any reason, Responses: 11. DoD with the forward pricing rate ED will temporarily accept comments at Total Estimated Number of Annual proposal. The purpose of this [email protected]. Please include the Burden Hours: 220. information collection is to improve the docket ID number and the title of the Abstract: The Higher Education efficiency of the negotiations process by information collection request when Opportunity Act of 2008 amended Title ensuring the submission of thorough, requesting documents or submitting III, Part A of the Higher Education Act accurate, and complete forward pricing comments. Please note that comments to include Section 318—the
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Predominantly Black Institutions (PBI) opportunity to comment on proposed, that may want to develop a new Program. The PBI Program makes 5-year revised, and continuing collections of assessment in the future. grant awards to eligible colleges and information. This helps the Department Dated: September 16, 2020. universities to plan, develop, undertake assess the impact of its information Stephanie Valentine, and implement programs to enhance the collection requirements and minimize PRA Coordinator, Strategic Collections and institution’s capacity to serve more low- the public’s reporting burden. It also Clearance, Governance and Strategy Division, and middle-income Black American helps the public understand the Office of Chief Data Officer, Office of students; to expand higher education Department’s information collection Planning, Evaluation and Policy opportunities for eligible students by requirements and provide the requested Development. encouraging college preparation and data in the desired format. ED is [FR Doc. 2020–20798 Filed 9–18–20; 8:45 am] student persistence in secondary school soliciting comments on the proposed BILLING CODE 4000–01–P and postsecondary education; and to information collection request (ICR) that strengthen the financial ability of the is described below. The Department of institution to serve the academic needs Education is especially interested in DEPARTMENT OF ENERGY of these students. public comment addressing the [FE Docket No. 18–78–LNG] Dated: September 16, 2020. following issues: (1) Is this collection Kate Mullan, necessary to the proper functions of the Department; (2) will this information be Corpus Christi Liquefaction Stage III, PRA Coordinator, Strategic Collections and processed and used in a timely manner; LLC; Application To Amend Export Clearance Governance and Strategy Division, Term Through December 31, 2050, for Office of Chief Data Officer, Office of (3) is the estimate of burden accurate; (4) how might the Department enhance Existing Non-Free Trade Agreement Planning, Evaluation and Policy Authorization Development. the quality, utility, and clarity of the [FR Doc. 2020–20730 Filed 9–18–20; 8:45 am] information to be collected; and (5) how AGENCY: Office of Fossil Energy, BILLING CODE 4000–01–P might the Department minimize the Department of Energy. burden of this collection on the ACTION: Notice of application. respondents, including through the use DEPARTMENT OF EDUCATION of information technology. Please note SUMMARY: The Office of Fossil Energy that written comments received in (FE) of the Department of Energy (DOE) [Docket No. ED–2020–SCC–0112] response to this notice will be gives notice (Notice) of receipt of an Agency Information Collection considered public records. application (Application), filed on Activities; Submission to the Office of Title of Collection: Evaluation of the September 3, 2020, by Corpus Christi Management and Budget for Review Innovative Assessment Demonstration Liquefaction Stage III, LLC (CCL Stage and approval; Comment Request; Authority Pilot Program-Preliminary III). CCL Stage III seeks to amend the Evaluation of the Innovative Activities. export term set forth in its current Assessment Demonstration Authority OMB Control Number: 1850–NEW. authorization to export liquefied natural Pilot Program-Preliminary Activities Type of Review: A new information gas (LNG) to non-free trade agreement collection. countries, DOE/FE Order No. 4490, to a AGENCY: Institute for Education Sciences Respondents/Affected Public: State, term ending on December 31, 2050. CCL (IES), Department of Education (ED). Local and Tribal Governments. Stage III filed the Application under the ACTION: Notice. Total Estimated Number of Annual Natural Gas Act (NGA) and DOE’s Responses: 60. policy statement entitled, ‘‘Extending SUMMARY: In accordance with the Total Estimated Number of Annual Natural Gas Export Authorizations to Paperwork Reduction Act of 1995, ED is Burden Hours: 120. Non-Free Trade Agreement Countries proposing a new information collection. Abstract: This study will meet the Through the Year 2050’’ (Policy DATES: Interested persons are invited to Congressional mandate to evaluate the Statement). Protests, motions to submit comments on or before October Innovative Assessment Demonstration intervene, notices of intervention, and 21, 2020. Authority Pilot Program (IADA). The written comments on the requested term ADDRESSES: Written comments and program (Title I, Section 1204 of the extension are invited. recommendations for proposed Every Student Succeeds Act, or ESSA) DATES: Protests, motions to intervene or information collection requests should allows the U.S. Department of notices of intervention, as applicable, be sent within 30 days of publication of Education to exempt a handful of states requests for additional procedures, and this notice to www.reginfo.gov/public/ from certain testing requirements if they written comments are to be filed using do/PRAMain. Find this particular agree to pilot new types of assessments. procedures detailed in the Public information collection request by The study will produce a ‘‘Progress Comment Procedures section no later selecting ‘‘Department of Education’’ Report’’ and a ‘‘Best Practices Report,’’ than 4:30 p.m., Eastern time, October 6, under ‘‘Currently Under Review,’’ then as mandated by Congress. The Progress 2020. check ‘‘Only Show ICR for Public Report will be based on existing ADDRESSES: Comment’’ checkbox. documents from pilot states. The Electronic Filing by email: fergas@ FOR FURTHER INFORMATION CONTACT: For subsequent Best Practices Report will hq.doe.gov specific questions related to collection add, via surveys, the perspectives of Regular Mail: U.S. Department of Energy activities, please contact Thomas Wei, district leaders, principals, and teachers (FE–34), Office of Regulation, 646–428–3892. on the development, implementation, Analysis, and Engagement, Office of SUPPLEMENTARY INFORMATION: The and outcomes of IADA assessments. Fossil Energy, P.O. Box 44375, Department of Education (ED), in These reports will help the Department Washington, DC 20026–4375 accordance with the Paperwork appropriately target its technical Hand Delivery or Private Delivery Reduction Act of 1995 (PRA) (44 U.S.C. assistance to tackle the largest barriers Services (e.g., FedEx, UPS, etc.): U.S. 3506(c)(2)(A)), provides the general to adequate progress in pilot states, and Department of Energy (FE–34), Office public and Federal agencies with an provide a valuable guide for other states of Regulation, Analysis, and
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Engagement, Office of Fossil Energy, 09/f78/CCLIII%20DOE%20Filing%20 2019 Update, 84 FR 49278 (Sept. 19, Forrestal Building, Room 3E–042, Package%209-3-2020.pdf. 2019), and DOE/FE’s response to public 1000 Independence Avenue SW, comments received on that study.11 DOE/FE Evaluation Washington, DC 20585 Parties that may oppose the In the Policy Statement, DOE adopted Application should address these issues FOR FURTHER INFORMATION CONTACT: a term through December 31, 2050 and documents in their comments and/ Beverly Howard or Amy Sweeney, U.S. (inclusive of any make-up period), as or protests, as well as other issues Department of Energy (FE–34), Office of the standard export term for long-term deemed relevant to the Application. Regulation, Analysis, and Engagement, non-FTA authorizations.4 As the basis The National Environmental Policy Office of Fossil Energy, Forrestal for its decision, DOE considered its Act (NEPA), 42 U.S.C. 4321 et seq., Building, Room 3E–042, 1000 obligations under NGA section 3(a), the requires DOE to give appropriate Independence Avenue SW, Washington, public comments supporting and consideration to the environmental DC 20585, (202) 586–9387; (202) 586– opposing the proposed Policy effects of its proposed decisions. No 2627, [email protected] or Statement, and a wide range of final decision will be issued in this [email protected]. information bearing on the public proceeding until DOE has met its Cassandra Bernstein or Edward interest.5 DOE explained that, upon environmental responsibilities. Toyozaki, U.S. Department of Energy receipt of an application under the Public Comment Procedures (GC–76), Office of the Assistant General Policy Statement, it would conduct a Counsel for Electricity and Fossil public interest analysis of the In response to this Notice, any person Energy, Forrestal Building, Room 6D– application under NGA section 3(a). may file a protest, comments, or a 033, 1000 Independence Avenue DOE further stated that ‘‘the public motion to intervene or notice of SW,Washington, DC 20585, (202) 586– interest analysis will be limited to the intervention, as applicable, addressing 9793; (202) 586–0126, application for the term extension— the Application. Interested parties will [email protected] or meaning an intervenor or protestor may be provided 15 days from the date of [email protected]. challenge the requested extension but publication of this Notice in which to not the existing non-FTA order.’’ 6 submit comments, protests, motions to SUPPLEMENTARY INFORMATION: On Accordingly, in reviewing CCL Stage intervene, or notices of intervention. February 10, 2020, in Order No. 4490, III’s Application, DOE/FE will consider The public previously was given an DOE/FE authorized CCL Stage III to any issues required by law or policy opportunity to intervene in, protest, and export domestically produced LNG in a under NGA section 3(a), as informed by comment on CCL Stage III’s long-term volume equivalent to 582.14 billion the Policy Statement. To the extent non-FTA application. Therefore, DOE cubic feet per year of natural gas, appropriate, DOE will consider the will not consider comments or protests pursuant to NGA section 3(a), 15 U.S.C. study entitled, Macroeconomic that do not bear directly on the 717b(a).1 CCL Stage III is authorized to Outcomes of Market Determined Levels requested term extension. export this LNG by vessel from the of U.S. LNG Exports (2018 LNG Export Any person wishing to become a party proposed Stage 3 LNG Facilities, to be Study),7 DOE’s response to public to the proceeding must file a motion to located at the existing Corpus Christi comments received on that Study,8 and intervene or notice of intervention. The LNG Terminal in San Patricio and the following environmental filing of comments or a protest with Nueces Counties, Texas, to any country documents: respect to the Application will not serve with which the United States has not • Addendum to Environmental to make the commenter or protestant a entered into a free trade agreement Review Documents Concerning Exports party to the proceeding, although (FTA) requiring national treatment for of Natural Gas From the United States, protests and comments received from trade in natural gas, and with which 79 FR 48132 (Aug. 15, 2014); 9 persons who are not parties will be trade is not prohibited by U.S. law or • Life Cycle Greenhouse Gas considered in determining the policy (non-FTA countries) for a 20-year appropriate action to be taken on the 2 Perspective on Exporting Liquefied term. In the Application, CCL Stage III Natural Gas From the United States, 79 Application. All protests, comments, asks DOE to extend its current export FR 32260 (June 4, 2014); 10 and motions to intervene, or notices of term to a term ending on December 31, • Life Cycle Greenhouse Gas intervention must meet the 2050, as provided in the Policy Perspective on Exporting Liquefied requirements specified by the 3 Statement. Additional details can be Natural Gas From the United States: regulations in 10 CFR part 590. found in the Application, posted on the Filings may be submitted using one of DOE/FE website at: https:// 4 See id., 85 FR 52247. the following methods: (1) emailing the www.energy.gov/sites/prod/files/2020/ 5 See id., 85 FR 52247. filing to [email protected], with FE 6 Id., 85 FR 52247. Docket No. 18–78–LNG in the title line; 1 Corpus Christi Liquefaction Stage III, LLC, DOE/ 7 See NERA Economic Consulting, (2) mailing an original and three paper FE Order No. 4490, FE Docket No. 18–78–LNG, Macroeconomic Outcomes of Market Determined copies of the filing to the Office of Opinion and Order Granting Long-Term Levels of U.S. LNG Exports (June 7, 2018), available Authorization to Export Liquefied Natural Gas to at: https://www.energy.gov/sites/prod/files/2018/ Regulation, Analysis, and Engagement Non-Free Trade Agreement Nations (Feb. 10, 2020). 06/f52/Macroeconomic%20LNG% at the address listed in ADDRESSES; or (3) 2 Corpus Christi Liquefaction Stage III, LLC, 20Export%20Study%202018.pdf. hand delivering an original and three Application to Amend Export Term for Existing 8 U.S. Dep’t of Energy, Study on Macroeconomic paper copies of the filing to the Office Long-Term Authorizations Through December 31, Outcomes of LNG Exports: Response to Comments of Regulation, Analysis, and 2050, FE Docket No. 18–78–LNG (Sept. 3, 2020). Received on Study; Notice of Response to CCL Stage III’s request regarding its FTA Comments, 83 FR 67251 (Dec. 28, 2018). Engagement at the address listed in authorization is not subject to this Notice. See 15 9 The Addendum and related documents are U.S.C. 717b(c). available at: http://energy.gov/fe/draft-addendum- 11 U.S. Dep’t of Energy, Life Cycle Greenhouse 3 U.S. Dep’t of Energy, Extending Natural Gas environmental-review-documents-concerning- Gas Perspective on Exporting Liquefied Natural Gas Export Authorizations to Non-Free Trade exports-natural-gas-united-states. From the United States: 2019 Update—Response to Agreement Countries Through the Year 2050; 10 The 2014 Life Cycle Greenhouse Gas Report is Comments, 85 FR 72 (Jan. 2, 2020). The 2019 Notice of Final Policy Statement and Response to available at: http://energy.gov/fe/life-cycle- Update and related documents are available at: Comments, 85 FR 52237 (Aug. 25, 2020) greenhouse-gas-perspective-exporting-liquefied- https://fossil.energy.gov/app/docketindex/docket/ [hereinafter Policy Statement]. natural-gas-united-states. index/21.
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ADDRESSES. All filings must include a gives notice (Notice) of receipt of an authorized FLEX4 to export reference to FE Docket No. 18–78–LNG. application (Application), filed on domestically produced LNG in a volume Please Note: If submitting a filing via September 9, 2020, by Freeport LNG equivalent to 262.8 billion cubic feet per email, please include all related Expansion, L.P. (Freeport Expansion) year of natural gas, pursuant to NGA documents and attachments (e.g., and FLNG Liquefaction 4, LLC (FLIQ4) section 3(a), 15 U.S.C. 717b(a).1 FLEX4 exhibits) in the original email (together, FLEX4). FLEX4 seeks to is authorized to export this LNG by correspondence. Please do not include amend the export term set forth in its vessel from the proposed Train 4 Project any active hyperlinks or password current authorization to export liquefied to be located at the Freeport LNG protection in any of the documents or natural gas (LNG) to non-free trade Terminal on Quintana Island near attachments related to the filing. All agreement countries, DOE/FE Order No. Freeport, Texas, to any country with electronic filings submitted to DOE 4374, to a term ending on December 31, which the United States has not entered must follow these guidelines to ensure 2050. FLEX4 filed the Application into a free trade agreement (FTA) that all documents are filed in a timely under the Natural Gas Act (NGA) and requiring national treatment for trade in manner. Any hardcopy filing submitted DOE’s policy statement entitled, natural gas, and with which trade is not greater in length than 50 pages must ‘‘Extending Natural Gas Export prohibited by U.S. law or policy (non- also include, at the time of the filing, a Authorizations to Non-Free Trade FTA countries) for a 20-year term. In the digital copy on disk of the entire Agreement Countries Through the Year Application,2 FLEX4 asks DOE to submission. 2050’’ (Policy Statement). Protests, extend its current export term to a term A decisional record on the motions to intervene, notices of ending on December 31, 2050, as Application will be developed through intervention, and written comments on provided in the Policy Statement.3 responses to this Notice by parties, the requested term extension are Additional details can be found in the including the parties’ written comments invited. Application, posted on the DOE/FE and replies thereto. If no party requests DATES: Protests, motions to intervene or website at: https://www.energy.gov/ additional procedures, a final Opinion notices of intervention, as applicable, sites/prod/files/2020/09/f78/ and Order may be issued based on the requests for additional procedures, and Freeport%20T4%20DOE%20 official record, including the written comments are to be filed using Extension%20Application.pdf. Application and responses filed by procedures detailed in the Public parties pursuant to this notice, in Comment Procedures section no later DOE/FE Evaluation accordance with 10 CFR 590.316. than 4:30 p.m., Eastern time, October 6, The Application is available for In the Policy Statement, DOE adopted 2020. inspection and copying in the Office of a term through December 31, 2050 Regulation, Analysis, and Engagement ADDRESSES: (inclusive of any make-up period), as Electronic Filing by email: fergas@ docket room, Room 3E–042, 1000 the standard export term for long-term Independence Avenue SW, Washington, hq.doe.gov. non-FTA authorizations.4 As the basis Regular Mail: U.S. Department of Energy DC 20585. The docket room is open for its decision, DOE considered its (FE–34), Office of Regulation, Analysis, between the hours of 8:00 a.m. and 4:30 obligations under NGA section 3(a), the and Engagement, Office of Fossil p.m., Monday through Friday, except public comments supporting and Energy, P.O. Box 44375, Washington, Federal holidays. The Application and opposing the proposed Policy DC 20026–4375. Statement, and a wide range of any filed protests, motions to intervene Hand Delivery or Private Delivery information bearing on the public or notice of interventions, and Services (e.g., FedEx, UPS, etc.): U.S. interest.5 DOE explained that, upon comments will also be available Department of Energy (FE–34), Office of receipt of an application under the electronically by going to the following Regulation, Analysis, and Engagement, Policy Statement, it would conduct a DOE/FE web address: http:// Office of Fossil Energy, Forrestal public interest analysis of the www.fe.doe.gov/programs/ Building, Room 3E–042, 1000 application under NGA section 3(a). gasregulation/index.html. Independence Avenue SW, Washington, DOE further stated that ‘‘the public Signed in Washington, DC, on September DC 20585. interest analysis will be limited to the 15, 2020. FOR FURTHER INFORMATION CONTACT: Amy Sweeney, application for the term extension— Benjamin Nussdorf or Amy Sweeney, meaning an intervenor or protestor may Director, Office of Regulation, Analysis, and U.S. Department of Energy (FE–34), Engagement, Office of Fossil Energy. challenge the requested extension but Office of Regulation, Analysis, and not the existing non-FTA order.’’ 6 [FR Doc. 2020–20742 Filed 9–18–20; 8:45 am] Engagement, Office of Fossil Energy, BILLING CODE 6450–01–P Forrestal Building, Room 3E–042, 1000 1 Freeport LNG Expansion, L.P. and FLNG Independence Avenue SW, Washington, Liquefaction 4, LLC, DOE/FE Order No. 4374, FE DC 20585, (202) 586–7893; (202) 586– Docket No. 18–26–LNG, Opinion and Order DEPARTMENT OF ENERGY 2627, [email protected] or Granting Long-Term Authorization to Export [FE Docket No. 18–26–LNG] [email protected]. Liquefied Natural Gas to Non-Free Trade Agreement Cassandra Bernstein or Edward Nations (May 28, 2019). 2 Freeport LNG Expansion, L.P. and FLNG Freeport LNG Expansion, L.P. and Toyozaki, U.S. Department of Energy Liquefaction 4, LLC, Application to Amend Export FLNG Liquefaction 4, LLC; Application (GC–76), Office of the Assistant General Term for Existing Long-Term Authorization To Amend Export Term Through Counsel for Electricity and Fossil Through December 31, 2050, FE Docket No. 18–26– December 31, 2050, for Existing Non- Energy, Forrestal Building, Room 6D– LNG (Sept. 9, 2020). 3 Free Trade Agreement Authorization 033, 1000 Independence Avenue SW, U.S. Dep’t of Energy, Extending Natural Gas Export Authorizations to Non-Free Trade Washington, DC 20585, (202) 586–9793; AGENCY: Office of Fossil Energy, Agreement Countries Through the Year 2050; (202) 586–0126, cassandra.bernstein@ Notice of Final Policy Statement and Response to Department of Energy. hq.doe.gov or edward.toyozaki@ Comments, 85 FR 52237 (Aug. 25, 2020) ACTION: Notice of application. hq.doe.gov. [hereinafter Policy Statement]. 4 See id., 85 FR 52247. SUMMARY: The Office of Fossil Energy SUPPLEMENTARY INFORMATION: On May 5 See id., 85 FR 52247. (FE) of the Department of Energy (DOE) 28, 2019, in Order No. 4374, DOE/FE 6 Id., 85 FR 52247.
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Accordingly, in reviewing FLEX4’s The National Environmental Policy ADDRESSES. All filings must include a Application, DOE/FE will consider any Act (NEPA), 42 U.S.C. 4321 et seq., reference to FE Docket No. 18–26–LNG. issues required by law or policy under requires DOE to give appropriate Please Note: If submitting a filing via NGA section 3(a), as informed by the consideration to the environmental email, please include all related Policy Statement. To the extent effects of its proposed decisions. No documents and attachments (e.g., appropriate, DOE will consider the final decision will be issued in this exhibits) in the original email study entitled, Macroeconomic proceeding until DOE has met its correspondence. Please do not include Outcomes of Market Determined Levels environmental responsibilities. any active hyperlinks or password of U.S. LNG Exports (2018 LNG Export Public Comment Procedures protection in any of the documents or Study),7 DOE’s response to public attachments related to the filing. All comments received on that Study,8 and In response to this Notice, any person electronic filings submitted to DOE the following environmental may file a protest, comments, or a must follow these guidelines to ensure documents: motion to intervene or notice of that all documents are filed in a timely • Addendum to Environmental intervention, as applicable, addressing manner. Any hardcopy filing submitted Review Documents Concerning Exports the Application. Interested parties will greater in length than 50 pages must of Natural Gas From the United States, be provided 15 days from the date of also include, at the time of the filing, a 79 FR 48132 (Aug. 15, 2014); 9 publication of this Notice in which to digital copy on disk of the entire • Life Cycle Greenhouse Gas submit comments, protests, motions to submission. intervene, or notices of intervention. Perspective on Exporting Liquefied A decisional record on the Natural Gas From the United States, 79 The public previously was given an 10 opportunity to intervene in, protest, and Application will be developed through FR 32260 (June 4, 2014); and responses to this Notice by parties, • Life Cycle Greenhouse Gas comment on FLEX4’s long-term non- including the parties’ written comments Perspective on Exporting Liquefied FTA application. Therefore, DOE will and replies thereto. If no party requests Natural Gas From the United States: not consider comments or protests that additional procedures, a final Opinion 2019 Update, 84 FR 49278 (Sept. 19, do not bear directly on the requested and Order may be issued based on the 2019), and DOE/FE’s response to public term extension. official record, including the comments received on that study.11 Any person wishing to become a party Parties that may oppose the to the proceeding must file a motion to Application and responses filed by Application should address these issues intervene or notice of intervention. The parties pursuant to this notice, in and documents in their comments and/ filing of comments or a protest with accordance with 10 CFR 590.316. or protests, as well as other issues respect to the Application will not serve The Application is available for deemed relevant to the Application. to make the commenter or protestant a inspection and copying in the Office of party to the proceeding, although Regulation, Analysis, and Engagement 7 See NERA Economic Consulting, protests and comments received from docket room, Room 3E–042, 1000 Macroeconomic Outcomes of Market Determined persons who are not parties will be Independence Avenue SW, Washington, Levels of U.S. LNG Exports (June 7, 2018), available considered in determining the DC 20585. The docket room is open at: https://www.energy.gov/sites/prod/files/2018/ appropriate action to be taken on the 06/f52/Macroeconomic%20LNG%20 between the hours of 8:00 a.m. and 4:30 Export%20Study%202018.pdf. Application. All protests, comments, p.m., Monday through Friday, except 8 U.S. Dep’t of Energy, Study on Macroeconomic motions to intervene, or notices of Federal holidays. The Application and Outcomes of LNG Exports: Response to Comments intervention must meet the any filed protests, motions to intervene Received on Study; Notice of Response to requirements specified by the or notice of interventions, and Comments, 83 FR 67251 (Dec. 28, 2018). regulations in 10 CFR part 590. 9 The Addendum and related documents are comments will also be available available at: http://energy.gov/fe/draft-addendum- Filings may be submitted using one of electronically by going to the following environmental-review-documents-concerning- the following methods: (1) Emailing the DOE/FE Web address: http:// exports-natural-gas-united-states. filing to [email protected], with FE www.fe.doe.gov/programs/ 10 The 2014 Life Cycle Greenhouse Gas Report is Docket No. 18–26–LNG in the title line; gasregulation/index.html. available at: http://energy.gov/fe/life-cycle- (2) mailing an original and three paper greenhouse-gas-perspective-exporting-liquefied- copies of the filing to the Office of Signed in Washington, DC, on September natural-gas-united-states. 15, 2020. 11 U.S. Dep’t of Energy, Life Cycle Greenhouse Regulation, Analysis, and Engagement Gas Perspective on Exporting Liquefied Natural Gas at the address listed in ADDRESSES; or (3) Amy Sweeney, From the United States: 2019 Update—Response to hand delivering an original and three Director, Office of Regulation, Analysis, and Comments, 85 FR 72 (Jan. 2, 2020). The 2019 Engagement, Office of Fossil Energy. Update and related documents are available at: paper copies of the filing to the Office https://fossil.energy.gov/app/docketindex/docket/ of Regulation, Analysis, and [FR Doc. 2020–20744 Filed 9–18–20; 8:45 am] index/21. Engagement at the address listed in BILLING CODE 6450–01–P
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DEPARTMENT OF ENERGY Notice of Orders Issued Under Section 3 of The Natural Gas Act During August 2020
FE Docket Nos.
BLUEWATER GAS STORAGE, LLC ...... 20–76–NG ENERGIA AZTECA X, S.A. DE C.V ...... 20–78–NG ARM ENERGY MANAGEMENT LLC ...... 20–79–NG ALASKA LNG PROJECT LLC ...... 14–96–LNG TECHGEN S.A. DE C.V ...... 20–80–NG
AGENCY: Office of Fossil Energy, found on the FE website at https:// (202) 586–9387. The Docket Room is Department of Energy. www.energy.gov/fe/listing-doefe- open between the hours of 8:00 a.m. and ACTION: Notice of orders. authorizationsorders-issued-2020. 4:30 p.m., Monday through Friday, except Federal holidays. SUMMARY: The Office of Fossil Energy They are also available for inspection (FE) of the Department of Energy gives and copying in the U.S. Department of Signed in Washington, DC, on September notice that during August 2020, it Energy (FE–34), Division of Natural Gas 15, 2020. issued orders granting authority to Regulation, Office of Regulation, Amy Sweeney, import and export natural gas, and to Analysis, and Engagement, Office of Director, Office of Regulation, Analysis, and import and export liquefied natural gas Fossil Energy, Docket Room 3E–033, Engagement, Office of Oil and Natural Gas. (LNG). These orders are summarized in Forrestal Building, 1000 Independence the attached appendix and may be Avenue SW, Washington, DC 20585, APPENDIX
DOE/FE ORDERS GRANTING IMPORT/EXPORT AUTHORIZATIONS
4568 ...... 08/12/20 20–76–NG Bluewater Gas Storage, LLC ...... Order 4543 granting blanket authority to import/ export natural gas from/to Canada. 4569 ...... 08/12/20 20–78–NG Energia Azteca X, S.A. de C.V ...... Order 4544 granting blanket authority to export natural gas to Mexico. 4570 ...... 08/12/20 20–79–NG ARM Energy Management LLC ...... Order 4545 granting blanket authority to import natural gas from Canada/Mexico. 3643–A ... 08/20/20 14–96–LNG Alaska LNG Project LLC ...... Final Opinion and Order 3643–A granting long- term authority to export LNG to Non-Free Trade Agreement Nations. 4571 ...... 08/26/20 20–80–NG Techgen S.A. de C.V ...... Order 4571 granting blanket authority to export natural gas to Mexico.
[FR Doc. 2020–20743 Filed 9–18–20; 8:45 am] NERC’s September 18, 2015 annual 2019 and a sample of 38 CE instances 2 BILLING CODE 6450–01–P Compliance Filing. The Commission of noncompliance out of 957 CE supported NERC’s plan to coordinate instances of noncompliance posted by with Commission staff to review the NERC between October 2018 and DEPARTMENT OF ENERGY same sample of possible violations, September 2019. thereby reducing the burden on the Commission staff believes that the Federal Energy Regulatory Regional Entities of providing evidence FFT and CE programs are meeting Commission for two different samples. Furthermore, expectations, with one minor [Docket No. RC11–6–010] NERC and Commission staff agreed to observation. Specifically, Commission exclude the Florida Reliability staff identified one CE with an North American Electric Reliability Coordinating Council Regional Entity incomplete description of the Corporation; Notice of Staff Review of (FRCC) from the survey, reducing the noncompliance. Sampling for the 2019 Enforcement Programs burden on FRCC as it continued toward program year indicated that the a planned and approved termination of Regional Entities appropriately included Commission staff coordinated with its responsibilities as a Regional Entity all 62 of the sampled possible violations the staff of the North American Electric by June 30, 2019. in the FFT and CE programs, and that Reliability Corporation (NERC) to Commission staff reviewed a sample all 62 of the sampled FFTs and CEs have conduct the annual oversight of the of 24 FFT possible violations out of 102 been adequately remediated. Find, Fix, Track and Report (FFT) FFT possible violations posted by NERC Commission staff’s sample analysis program, as outlined in the March 15, between October 2018 and September indicated a decreasing number of 2012 Order,1 and the Compliance documentation concerns, particularly Exception (CE) Program, as proposed by 2 North American Electric Reliability Corp., with regard to the clear identification of Docket No. RC11–6–004, at 1 (Nov. 13, 2015) root cause in the FFT and/or CE 1 North American Electric Reliability Corp., 138 (delegated letter order) (stating ‘‘NERC’s intention postings. Specifically, the identification FERC ¶ 61,193, at P 73 (2012) (discussing to combine the evaluation of Compliance Commission plans to survey a random sample of Exceptions with the annual sampling of FFTs to of root cause in FFTs and CEs has FFTs submitted each year to gather information on further streamline oversight of the FFT and improved significantly over the past five how the FFT program is working). compliance exception programs’’). years, moving from 5 percent missing an
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identification of root cause to all now Enter the docket number excluding the and public power district members being included in this year’s sampling. last three digits in the docket number (Members). Basin Electric Power Commission staff subsequently field to access the document. At this Cooperative, 172 FERC ¶ 61,221 (2020). reviewed the supporting information for time, the Commission has suspended The refund effective date in Docket these FFTs or CEs and agreed with the access to the Commission’s Public No. EL20–68–000, established pursuant final risk determinations for all 62 Reference Room, due to the to section 206(b) of the FPA, will be the samples. Commission staff also noted a proclamation declaring a National date of publication of this notice in the significant improvement in the clear Emergency concerning the Novel Federal Register. identification of factors affecting the risk Coronavirus Disease (COVID–19), issued Any interested person desiring to be prior to mitigation (such as potential by the President on March 13, 2020. For heard in Docket No. EL20–68–000 must and actual risk), and actual harm, which assistance, contact the Federal Energy file a notice of intervention or motion to was identified in all samples. In Regulatory Commission at intervene, as appropriate, with the addition, Commission staff noted that [email protected] or call Federal Energy Regulatory Commission, the FFTs and CEs sampled did not toll-free, (886) 208–3676 or TYY, (202) in accordance with Rule 214 of the contain any material misrepresentations 502–8659. Commission’s Rules of Practice and by the registered entities. The Commission strongly encourages Procedure, 18 CFR 385.214 (2020), Dated: September 14, 2020. electronic filings of comments, protests and interventions in lieu of paper using within 21 days of the date of issuance Kimberly D. Bose, the ‘‘eFiling’’ link at http:// of the order. Secretary. www.ferc.gov. Persons unable to file In addition to publishing the full text [FR Doc. 2020–20684 Filed 9–18–20; 8:45 am] electronically may mail similar of this document in the Federal BILLING CODE 6717–01–P pleadings to the Federal Energy Register, the Commission provides all Regulatory Commission, 888 First Street interested persons an opportunity to NE, Washington, DC 20426. Hand view and/or print the contents of this DEPARTMENT OF ENERGY delivered submissions in docketed document via the internet through the Federal Energy Regulatory proceedings should be delivered to Commission’s Home Page (http:// Commission Health and Human Services, 12225 www.ferc.gov) using the ‘‘eLibrary’’ link. Wilkins Avenue, Rockville, Maryland Enter the docket number excluding the [Docket No. NJ20–14–000] 20852. last three digits in the docket number Comment Date: 5:00 p.m. Eastern field to access the document. At this Oncor Electric Delivery Company LLC; Time on October 6, 2020. time, the Commission has suspended Notice of Filing Dated: September 15, 2020. access to Commission’s Public Take notice that on September 15, Kimberly D. Bose, Reference Room, due to the proclamation declaring a National 2020, the Oncor Electric Delivery Secretary. Company LLC submitted its tariff filing: Emergency concerning the Novel [FR Doc. 2020–20753 Filed 9–18–20; 8:45 am] Oncor TFO Tariff Rate Changes to be Coronavirus Disease (COVID–19), issued effective 9/8/2020. BILLING CODE 6717–01–P by the President on March 13, 2020. For Any person desiring to intervene or to assistance, contact FERC at protest this filing must file in DEPARTMENT OF ENERGY [email protected] or call accordance with Rules 211 and 214 of toll-free, (886) 208–3676 or TYY, (202) the Commission’s Rules of Practice and Federal Energy Regulatory 502–8659. Procedure (18 CFR 385.211, 385.214). Commission The Commission strongly encourages Protests will be considered by the [Docket No. EL20–68–000] electronic filings of comments, protests Commission in determining the and interventions in lieu of paper using appropriate action to be taken but will Basin Electric Power Cooperative; the ‘‘eFile’’ link at http://www.ferc.gov. not serve to make protestants parties to Notice of Institution of Section 206 In lieu of electronic filing, you may the proceeding. Any person wishing to Proceeding and Refund Effective Date submit a paper copy. Submissions sent become a party must file a notice of via the U.S. Postal Service must be intervention or motion to intervene, as On September 14, 2020, the addressed to: Kimberly D. Bose, appropriate. Such notices, motions, or Commission issued an order in Docket Secretary, Federal Energy Regulatory protests must be filed on or before the No. EL20–68–000, pursuant to section Commission, 888 First Street NE, Room comment date. On or before the 206 of the Federal Power Act (FPA), 16 1A, Washington, DC 20426. comment date, it is not necessary to U.S.C. 824e, instituting an investigation Submissions sent via any other carrier serve motions to intervene or protests concerning the justness and must be addressed to: Kimberly D. Bose, on persons other than the Applicant. reasonableness of Basin Electric Power Secretary, Federal Energy Regulatory In addition to publishing the full text Cooperative’s (Basin) Rate Schedule A Commission, 12225 Wilkins Avenue, of this document in the Federal intended to be effective from January 1, Rockville, Maryland 20852. Register, the Commission provides all 2020 forward (2020 Rate Schedule A) interested persons an opportunity to and Rate Schedules No. 1 through No. Dated: September 15, 2020. view and/or print the contents of this 19, representing long-term, wholesale Nathaniel J. Davis, Sr., document via the internet through the power supply contracts (Wholesale Deputy Secretary. Commission’s Home Page (http:// Power Contracts) between Basin and 19 [FR Doc. 2020–20767 Filed 9–18–20; 8:45 am] ferc.gov) using the ‘‘eLibrary’’ link. of its electric cooperative, municipality, BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY Federal Energy Regulatory Commission
Central 40, LLC ...... EG20–176–000 Pioneer Solar (CO), LLC ...... EG20–177–000 Maverick Creek Wind, LLC ...... EG20–178–000 Northern Colorado Wind Energy Center II, LLC ...... EG20–179–000 Assembly Solar I, LLC ...... EG20–180–000 Clyde OnSite Generation, LLC ...... EG20–181–000 Rattlesnake Flat, LLC ...... EG20–182–000 Aviator Wind, LLC ...... EG20–183–000 Hardin Wind LLC ...... EG20–184–000 Altavista Solar, LLC ...... EG20–185–000 Ellwood Power, LLC ...... EG20–186–000 Ormond Beach Power, LLC ...... EG20–187–000 Fern Solar LLC ...... EG20–188–000 Orbit Bloom Energy, LLC ...... EG20–189–000 Antelope Expansion 3A, LLC ...... EG20–190–000 Antelope Expansion 3B, LLC ...... EG20–191–000 SR Snipesville, LLC ...... EG20–192–000 Titan Solar 1, LLC ...... EG20–193–000 Coachella Hills Wind, LLC ...... EG20–194–000 Voyager Wind IV Expansion, LLC ...... EG20–195–000 Hardin Solar Energy LLC ...... EG20–196–000 Deuel Harvest Wind Energy LLC ...... EG20–197–000 Cassadaga Wind LLC ...... EG20–198–000 Boswell Wind, LLC ...... EG20–199–000 Maryneal Windpower, LLC ...... EG20–200–000 HO Clarke Generating, LLC ...... EG20–201–000 G.S.E. One LLC ...... EG20–202–000 SR Baxley, LLC ...... EG20–203–000 Milford Solar I, LLC ...... EG20–204–000 Odom Solar, LLC ...... EG20–206–000 Energy Center Fajardo LLC ...... FC20–10–000 Faro Energy Ltd...... FC20–11–000
Notice of Effectiveness of Exempt the Federal Power Act of Golden Fields 009; ER20–1722–000; ER18–2158–001; Wholesale Generator and Foreign Solar III, LLC. ER11–3959–008. Utility Company Status Filed Date: 9/3/20. Applicants: Broadview Energy JN, Take notice that during the month of Accession Number: 20200903–5209. LLC, Broadview Energy KW, LLC, Grady Comments Due: 5 p.m. ET 9/17/20. August 2020, the status of the above- Wind Energy Center, LLC, Fowler Ridge captioned entities as Exempt Wholesale Take notice that the Commission IV Wind Farm LLC, Hatchet Ridge Generators or Foreign Utility Companies received the following electric rate Wind, LLC, Spring Valley Wind LLC, became effective by operation of the filings: Ocotillo Express LLC, Lost Creek Wind, Commission’s regulations. 18 CFR Docket Numbers: ER10–2906–015; LLC, Post Rock Wind Power Project, 366.7(a) (2020). ER10–2908–015; ER19–1716–003; LLC, Stillwater Wind, LLC. ER11–4393–009. Description: Third Supplement to Dated: September 15, 2020. Applicants: Morgan Stanley Capitol April 20, 2020 Notice of Change in Nathaniel J. Davis, Sr., Group Inc., MS Solar Solutions Corp., Status of the Pattern MBR Entities, et al. Deputy Secretary. Morgan Stanley Energy Structuring, Filed Date: 9/2/20. [FR Doc. 2020–20765 Filed 9–18–20; 8:45 am] L.L.C, TAQA Gen X LLC. Accession Number: 20200902–5299. BILLING CODE 6717–01–P Description: Notice of Non-Material Comments Due: 5 p.m. ET 9/23/20. Change in Status of the MS Public Docket Numbers: ER20–1593–001; Utilities, et al. ER20–2715–002; ER17–380–002; ER19– DEPARTMENT OF ENERGY Filed Date: 9/4/20. 997–002; ER16–2549–003. Accession Number: 20200904–5178. Applicants: Highlander Solar Energy Federal Energy Regulatory Comments Due: 5 p.m. ET 9/25/20. Station 1, LLC, Stored Solar, LLC, Commission Docket Numbers: ER13–1667–005. Stored Solar J&WE, LLC, Stored Solar Applicants: Battery Utility of Ohio, Bethlehem, LLC, Stored Solar Combined Notice of Filings #1 LLC. Tamworth, LLC. Take notice that the Commission Description: Market Power Update for Description: Notice of Non-Material received the following electric corporate the Northeast region of Battery Utility of Change in Status of Highlander Solar filings: Ohio, LLC. Energy Station 1, LLC, et al. Docket Numbers: EC20–82–000. Filed Date: 9/14/20. Filed Date: 9/11/20. Applicants: Golden Fields Solar III, Accession Number: 20200914–5159. Accession Number: 20200911–5339. LLC. Comments Due: 5 p.m. ET 11/13/20. Comments Due: 5 p.m. ET 10/2/20. Description: Informational Docket Numbers: ER17–105–005; Docket Numbers: ER20–1593–002. Submission to July 20, 2020 Application ER17–104–005; ER17–556–004; ER15– Applicants: Highlander Solar Energy for Authorization Under Section 203 of 1019–007; ER10–1362–004; ER12–2639– Station 1, LLC.
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Description: Compliance filing: Filed Date: 9/15/20. Docket Numbers: ER20–2886–000. Highlander Solar Energy Station 1, Accession Number: 20200915–5001. Applicants: Pinetree Power- LLC—Market-Based Rate Tariff Update Comments Due: 5 p.m. ET 10/6/20. Tamworth, LLC. to be effective 9/15/2020. Docket Numbers: ER20–2879–000. Description: § 205(d) Rate Filing: Filed Date: 9/14/20. Applicants: Tri-State Generation and Notice of succession filing to be Accession Number: 20200914–5119. Transmission Association, Inc. effective 9/16/2020. Comments Due: 5 p.m. ET 10/5/20. Description: § 205(d) Rate Filing: Filed Date: 9/15/20. Docket Numbers: ER20–1594–002. Accession Number: 20200915–5063. Filing of Service Agreement No. 887 to Comments Due: 5 p.m. ET 10/6/20. Applicants: Highlander IA, LLC. be effective 2/25/2020. The filings are accessible in the Description: Compliance filing: Filed Date: 9/15/20. Commission’s eLibrary system (https:// Highlander IA, LLC—Market-Based Rate Accession Number: 20200915–5002. elibrary.ferc.gov/idmws/search/ Tariff Update to be effective 9/15/2020. Comments Due: 5 p.m. ET 10/6/20. Filed Date: 9/14/20. fercgensearch.asp) by querying the Docket Numbers: ER20–2880–000. docket number. Accession Number: 20200914–5120. Applicants: Tri-State Generation and Comments Due: 5 p.m. ET 10/5/20. Any person desiring to intervene or Transmission Association, Inc. protest in any of the above proceedings Docket Numbers: ER20–1596–002. Description: Tariff Cancellation: must file in accordance with Rules 211 Applicants: Pleinmont Solar 1, LLC. Notice of Cancellation of Rate Schedule and 214 of the Commission’s Description: Compliance filing: FERC No. 258 to be effective 8/26/2020. Regulations (18 CFR 385.211 and Pleinmont Solar 1, LLC—Market-Based Filed Date: 9/15/20. 385.214) on or before 5:00 p.m. Eastern Rate Tariff Update to be effective 9/15/ Accession Number: 20200915–5003. time on the specified comment date. 2020. Comments Due: 5 p.m. ET 10/6/20. Protests may be considered, but Filed Date: 9/14/20. Docket Numbers: ER20–2881–000. intervention is necessary to become a Accession Number: 20200914–5121. Applicants: Harts Mill Solar, LLC. party to the proceeding. Comments Due: 5 p.m. ET 10/5/20. Description: Baseline eTariff Filing: eFiling is encouraged. More detailed Docket Numbers: ER20–1597–002. Application for Market-Based Rate information relating to filing Applicants: Pleinmont Solar 2, LLC. Authority to be effective 11/14/2020. requirements, interventions, protests, Description: Compliance filing: Filed Date: 9/15/20. service, and qualifying facilities filings Pleinmont Solar 2, LLC—Market-Based Accession Number: 20200915–5023. can be found at: http://www.ferc.gov/ Rate Tariff Update to be effective 9/15/ Comments Due: 5 p.m. ET 10/6/20. docs-filing/efiling/filing-req.pdf. For 2020. Docket Numbers: ER20–2882–000. other information, call (866) 208–3676 Filed Date: 9/14/20. (toll free). For TTY, call (202) 502–8659. Accession Number: 20200914–5123. Applicants: Southwest Power Pool, Comments Due: 5 p.m. ET 10/5/20. Inc. Dated: September 15, 2020. Description: § 205(d) Rate Filing: Docket Numbers: ER20–1599–002. Nathaniel J. Davis, Sr., Revisions to Attachment X to Modify Applicants: Richmond Spider Solar, Deputy Secretary. Credit Application to be effective 1/1/ LLC. [FR Doc. 2020–20766 Filed 9–18–20; 8:45 am] 2021. Description: Compliance filing: BILLING CODE 6717–01–P Filed Date: 9/15/20. Richmond Spider Solar, LLC—Market- Accession Number: 20200915–5026. Based Rate Tariff Update to be effective Comments Due: 5 p.m. ET 10/6/20. 9/15/2020. DEPARTMENT OF ENERGY Docket Numbers: ER20–2883–000. Filed Date: 9/14/20. Federal Energy Regulatory Accession Number: 20200914–5118. Applicants: AES Laurel Mountain, Commission Comments Due: 5 p.m. ET 10/5/20. LLC. Docket Numbers: ER20–1837–002 Description: Baseline eTariff Filing: [Docket No. CP20–522–000] Applicants: Duke Energy Florida, Reactive Power Compensation Filing to LLC, Duke Energy Progress, LLC, Duke be effective 11/14/2020. Delaware River Partners LLC; Notice of Energy Carolinas, LLC. Filed Date: 9/15/20. Petition for Declaratory Order Accession Number: 20200915–5029. Description: Compliance filing: Take notice that on September 11, Comments Due: 5 p.m. ET 10/6/20. Second Amendment to Joint OATT 2020, pursuant to Rule 207(a)(2) of the Order 864 Compliance Filing to be Docket Numbers: ER20–2884–000. Federal Energy Regulatory effective 1/27/2020. Applicants: Midcontinent Commission’s (Commission) Rules of Filed Date: 9/14/20. Independent System Operator, Inc. Practice and Procedure, Delaware River Accession Number: 20200914–5122. Description: § 205(d) Rate Filing: Partners LLC (DRP or Petitioner) filed a _ Comments Due: 5 p.m. ET 10/5/20. 2020–09–15 SA 3356 METC-Isabella petition for declaratory order. The Docket Numbers: ER20–2877–000. Renewables II 1st Rev GIA (J728) to be petition seeks a declaratory order from Applicants: Pinetree Power LLC. effective 8/31/2020. the Commission stating that DRP’s Description: § 205(d) Rate Filing: Filed Date: 9/15/20. proposed liquefied natural gas Notice of Succession filing to be Accession Number: 20200915–5038. transloading operations, as part of its effective 9/15/2020. Comments Due: 5 p.m. ET 10/6/20. multi-use deep-water seaport and Filed Date: 9/14/20. Docket Numbers: ER20–2885–000. industrial logistics center in Gibbstown, Accession Number: 20200914–5124. Applicants: Duke Energy Florida, New Jersey (facility), would not subject Comments Due: 5 p.m. ET 10/5/20. LLC. the facility to the Commission’s Docket Numbers: ER20–2878–000. Description: § 205(d) Rate Filing: jurisdiction under section 3 or section 7 Applicants: Pacific Gas and Electric DEF–FPL Affected System Study of the Natural Gas Act, 15 U.S.C. 717b Company. Agreement to be effective 9/14/2020. and 717f (2018), as more fully explained Description: § 205(d) Rate Filing: Filed Date: 9/15/20. in DRP’s petition. Wholesale Distribution Tariff Rate Case Accession Number: 20200915–5047. Any person desiring to intervene or to 2020 (WDT3) to be effective 11/15/2020. Comments Due: 5 p.m. ET 10/6/20. protest this filing must file in
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accordance with Rules 211 and 214 of TIME AND DATE: Tuesday, September 29, to the public, and parts will be closed. the Commission’s Rules of Practice and 2020 at 10:00 a.m. If you wish to observe the open portion, Procedure (18 CFR 385.211, 385.214). PLACE: The meeting will be held via follow the instructions above in the Protests will be considered by the teleconference. ‘‘Attendance’’ section at least 24 hours Commission in determining the STATUS: The meeting will be open to before the meeting. Please note that this appropriate action to be taken, but will public observation by teleconference meeting begins at 2:00 p.m. EDT with a not serve to make protestants parties to only. session that is closed to the public. You the proceeding. Any person wishing to may join this meeting at 3:15 p.m. EDT. MATTERS TO BE CONSIDERED: Item No. 1— become a party must file a notice of We will begin the open session Extension of the Special Delegated intervention or motion to intervene, as promptly at 3:30 p.m. EDT. Authority and EXIM Actions to Address appropriate. Such notices, motions, or Assistance: If you need assistance for Urgent Under-Supply of Medical protests must be filed on or before the accessibility reasons or if you have any Supplies. comment date. Anyone filing a motion questions, contact Dale Aultman, to intervene or protest must serve a copy CONTACT PERSON FOR MORE INFORMATION: Secretary to the Farm Credit of that document on the Petitioner. Joyce Stone at [email protected] or Administration Board, at (703) 883– The Commission encourages 202–257–4086. Members of the public 4009. electronic submission of protests and who wish to attend the meeting should The matters to be considered at the interventions in lieu of paper using the use the following link: https:// meeting are as follows: ‘‘eFiling’’ link at http://www.ferc.gov. attendee.gotowebinar.com/register/ 4463446971882318094. Individuals will A. Closed Session—Risk Management Persons unable to file electronically may Reports mail similar pleadings to the Federal be given call-in information. • Energy Regulatory Commission, 888 Joyce B. Stone, FCSIC Report on Insurance Risk/ First Street NE, Washington, DC 20426. Assistant Corporate Secretary. Premium Risk Factors Hand delivered submissions in [FR Doc. 2020–20865 Filed 9–17–20; 11:15 am] B. Open Session docketed proceedings should be BILLING CODE 6690–01–P delivered to Health and Human Approval of Minutes • Services, 12225 Wilkins Avenue, June 25, 2020 Rockville, Maryland 20852. FARM CREDIT SYSTEM INSURANCE C. Quarterly Business Reports In addition to publishing the full text CORPORATION • FCSIC Financial Report of this document in the Federal • Register, the Commission provides all Report on Insured Obligations Regular Meeting; Farm Credit System • Report on Annual Performance Plan interested persons an opportunity to Insurance Corporation Board view and/or print the contents of this D. New Business document via the internet through the AGENCY: Farm Credit System Insurance • Annual Performance Plan FY 2021– Commission’s Home Page (http:// Corporation. 2022 ferc.gov) using the ‘‘eLibrary’’ link. ACTION: Notice; regular meeting. • Budget for 2021 and 2022 Enter the docket number excluding the • Insurance Fund Progress Review and last three digits in the docket number SUMMARY: Notice is hereby given, in Setting of Premium Range Guidance field to access the document. At this accordance with the provisions of for 2021 time, the Commission has suspended Article VI of the Bylaws of the Farm access to the Commission’s Public Credit System Insurance Corporation Dated: September 15, 2020. Reference Room, due to the (FCSIC), that a regular meeting of the Dale Aultman, proclamation declaring a National Board of Directors of FCSIC will be held Secretary, Farm Credit System Insurance Emergency concerning the Novel September 24, 2020, at 2:00 p.m. EDT, Corporation. Coronavirus Disease (COVID–19), issued until such time as the Board may [FR Doc. 2020–20717 Filed 9–18–20; 8:45 am] by the President on March 13, 2020. For conclude its business. Note: Because of BILLING CODE 6710–01–P assistance, contact the Federal Energy the COVID–19 pandemic, we will Regulatory Commission at conduct the board meeting virtually. If you would like to observe the open [email protected] or call FEDERAL COMMUNICATIONS portion of the virtual meeting, see toll-free, (886) 208–3676 or TYY, (202) COMMISSION 502–8659. instructions below for board meeting Comment Date: 5:00 p.m. Eastern time visitors. [OMB 3060–0430; FRS 17071] on October 15, 2020. Attendance: To observe the open portion of the virtual meeting, go to Information Collection Being Dated: September 15, 2020. FCSIC.gov, select ‘‘News & Events,’’ Submitted for Review and Approval to Kimberly D. Bose, then ‘‘Board Meetings.’’ There you will Office of Management and Budget Secretary. find a description of the meeting and AGENCY: Federal Communications [FR Doc. 2020–20754 Filed 9–18–20; 8:45 am] ‘‘Instructions for board meeting Commission. BILLING CODE 6717–01–P visitors.’’ See SUPPLEMENTARY ACTION: INFORMATION for further information Notice and request for about attendance requests. comments. FOR FURTHER INFORMATION CONTACT: Dale SUMMARY: As part of its continuing effort EXPORT-IMPORT BANK Aultman, Secretary to the Board of the to reduce paperwork burdens, as Farm Credit System Insurance Sunshine Act Meetings required by the Paperwork Reduction Corporation (703) 883–4009. TTY is Act (PRA) of 1995, the Federal Notice of an Open Meeting of the (703) 883–4056. Communications Commission (FCC or Board of Directors of the Export-Import SUPPLEMENTARY INFORMATION: Parts of the Commission) invites the general Bank of the United States. this meeting of the Board will be open public and other Federal Agencies to
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take this opportunity to comment on the (44 U.S.C. 3501–3520), the FCC invited the paper filing is submitted, and that following information collection. the general public and other Federal the redacted version must be machine- Pursuant to the Small Business Agencies to take this opportunity to readable whenever technically possible. Paperwork Relief Act of 2002, the FCC comment on the following information Privacy Act Impact Assessment: No seeks specific comment on how it might collection. Comments are requested impact(s). ‘‘further reduce the information concerning: (a) Whether the proposed Needs and Uses: The Commission’s collection burden for small business collection of information is necessary rules, under 47 CFR 1.1206, require that concerns with fewer than 25 for the proper performance of the a public record be made of ex parte employees.’’ functions of the Commission, including presentations (i.e., written presentations The Commission may not conduct or whether the information shall have not served on all parties to the sponsor a collection of information practical utility; (b) the accuracy of the proceeding or oral presentations as to unless it displays a currently valid Commission’s burden estimates; (c) which all parties have not been given Office of Management and Budget ways to enhance the quality, utility, and notice and an opportunity to be present) (OMB) control number. No person shall clarity of the information collected; and to decision-making personnel in be subject to any penalty for failing to (d) ways to minimize the burden of the ‘‘permit-but-disclose’’ proceedings, such comply with a collection of information collection of information on the as notice-and-comment rulemakings and subject to the PRA that does not display respondents, including the use of declaratory ruling proceedings. a valid OMB control number. automated collection techniques or On February 2, 2011, the FCC released DATES: Written comments and other forms of information technology. a Report and Order and Further Notice recommendations for the proposed Pursuant to the Small Business of Proposed Rulemaking, GC Docket information collection should be Paperwork Relief Act of 2002, Public Number 10–43, FCC 11–11, which submitted on or before October 21, Law 107–198, see 44 U.S.C. 3506(c)(4), amended and reformed the 2020. the FCC seeks specific comment on how Commission’s rules on ex parte it might ‘‘further reduce the information presentations (47 CFR 1.1206(b)(2)) ADDRESSES: Comments should be sent to made in the course of Commission collection burden for small business www.reginfo.gov/public/do/PRAMain. rulemakings and other permit-but- concerns with fewer than 25 Find this particular information disclose proceedings. The modifications collection by selecting ‘‘Currently under employees.’’ OMB Control Number: 3060–0430. to the existing rules adopted in this 30-day Review—Open for Public Report and Order require that parties Comments’’ or by using the search Title: Section 1.1206, Permit-but- Disclose Proceedings. file more descriptive summaries of their function. Your comment must be ex parte contacts, by ensuring that other submitted into www.reginfo.gov per the Form Number: N/A. Type of Review: Extension of a parties and the public have an adequate above instructions for it to be opportunity to review and respond to considered. In addition to submitting in currently approved collection. Respondents: Individuals or information submitted ex parte, and by www.reginfo.gov also send a copy of improving the FCC’s oversight and your comment on the proposed households; Business or other for-profit; Not-for-profit institutions; Federal enforcement of the ex parte rules. The information collection to Nicole Ongele, modified ex parte rules which contain FCC, via email to [email protected] and to Government; and State, local, or tribal governments. information collection requirements [email protected]. Include in the which OMB approved on December 6, comments the OMB control number as Number of Respondent and Responses: 11,500 respondents; 34,500 2011, are as follows: (1) Ex parte notices shown in the SUPPLEMENTARY responses. will be required for all oral ex parte INFORMATION below. Frequency of Response: On occasion presentations in permit-but-disclose FOR FURTHER INFORMATION CONTACT: For reporting requirement. proceedings, not just for those additional information or copies of the Obligation to Respond: Required to presentations that involve new information collection, contact Nicole obtain benefits. Statutory authority for information or arguments not already in Ongele at (202) 418–2991. To view a this collection of information is the record; (2) If an oral ex parte copy of this information collection contained in sections 4(i) and (j), 303(r), presentation is limited to material request (ICR) submitted to OMB: (1) Go and 409 of the Communications Act of already in the written record, the notice to the web page http://www.reginfo.gov/ 1934, as amended, 47 U.S.C. 154(i) and must contain either a succinct summary public/do/PRAMain, (2) look for the (j), 303(r), and 409. of the matters discussed or a citation to section of the web page called Estimated Time per Response: 45 the page or paragraph number in the ‘‘Currently Under Review,’’ (3) click on minutes (0.75 hours). party’s written submission(s) where the the downward-pointing arrow in the Total Annual Burden: 25,875 hours. matters discussed can be found; (3) ‘‘Select Agency’’ box below the Total Annual Costs: No cost. Notices for all ex parte presentations ‘‘Currently Under Review’’ heading, (4) Nature and Extent of Confidentiality: must include the name of the person(s) select ‘‘Federal Communications Consistent with the Commission’s rules who made the ex parte presentation as Commission’’ from the list of agencies on confidential treatment of well as a list of all persons attending or presented in the ‘‘Select Agency’’ box, submissions, under 47 CFR 0.459, a otherwise participating in the meeting at (5) click the ‘‘Submit’’ button to the presenter may request confidential which the presentation was made; (4) right of the ‘‘Select Agency’’ box, (6) treatment of ex parte presentations. In Notices of ex parte presentations made when the list of FCC ICRs currently addition, the Commission will permit outside the Sunshine period must be under review appears, look for the Title parties to remove metadata containing filed within two business days of the of this ICR and then click on the ICR confidential or privileged information, presentation; (5) The Sunshine period Reference Number. A copy of the FCC and the Commission will also not will begin on the day (including submission to OMB will be displayed. require parties to file electronically ex business days, weekends, and holidays) SUPPLEMENTARY INFORMATION: As part of parte notices that contain confidential after issuance of the Sunshine notice, its continuing effort to reduce information. The Commission will, rather than when the Sunshine Agenda paperwork burdens, as required by the however, require a redacted version to is issued (as the current rules provide); Paperwork Reduction Act (PRA) of 1995 be filed electronically at the same time (6) If an ex parte presentation is made
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on the day the Sunshine notice is know of and respond to the arguments of information unless it displays a released, an ex parte notice must be made to the decision-making officials. currently valid Office of Management submitted by the next business day, and Federal Communications Commission. and Budget (OMB) control number. No any reply would be due by the following Marlene Dortch, person shall be subject to any penalty business day. If a permissible ex parte for failing to comply with a collection Secretary. Office of the Secretary. presentation is made during the of information subject to the PRA that Sunshine period (under an exception to [FR Doc. 2020–20722 Filed 9–18–20; 8:45 am] does not display a valid OMB control the Sunshine period prohibition), the ex BILLING CODE 6712–01–P number. parte notice is due by the end of the As part of its continuing effort to same day on which the presentation was reduce paperwork burdens, and as FEDERAL COMMUNICATIONS made, and any reply would need to be required by the PRA of 1995 (44 U.S.C. COMMISSION filed by the next business day. Any 3501–3520), the FCC invites the general reply must be in writing and limited to [OMB 3060–1205; FRS 17070] public and other Federal agencies to the issues raised in the ex parte notice take this opportunity to comment on the to which the reply is directed; (7) Information Collection Being Reviewed following information collections. Commissioners and agency staff may by the Federal Communications Comments are requested concerning: continue to request ex parte Commission under Delegated Whether the proposed collection of presentations during the Sunshine Authority information is necessary for the proper performance of the functions of the period, but these presentations should AGENCY: Federal Communications be limited to the specific information Commission. Commission, including whether the required by the Commission; (8) Ex information shall have practical utility; ACTION: Notice and request for parte notices must be submitted the accuracy of the Commission’s comments. electronically in machine-readable burden estimate; ways to enhance the format. PDF images created by scanning SUMMARY: As part of its continuing effort quality, utility, and clarity of the a paper document may not be to reduce paperwork burdens, and as information collected; ways to minimize submitted, except in cases in which a required by the Paperwork Reduction the burden of the collection of word-processing version of the Act (PRA), the Federal Communications information on the respondents, document is not available. Confidential Commission (FCC or Commission) including the use of automated information may continue to be invites the general public and other collection techniques or other forms of submitted by paper filing, but a redacted Federal agencies to take this information technology; and ways to version must be filed electronically at opportunity to comment on the further reduce the information the same time the paper filing is following information collections. collection burden on small business submitted. An exception to the Comments are requested concerning: concerns with fewer than 25 employees. electronic filing requirement will be Whether the proposed collection of OMB Control No.: 3060–1205. made in cases in which the filing party information is necessary for the proper Title: Section 74.802, Low Power claims hardship. The basis for the performance of the functions of the Auxiliary Stations Co-channel hardship claim must be substantiated in Commission, including whether the Coordination with TV Broadcast the ex parte filing; (9) To facilitate information shall have practical utility; Stations. stricter enforcement of the ex parte Form No.: Not Applicable. the accuracy of the Commission’s Type of Review: Extension of a rules, the Enforcement Bureau is burden estimate; ways to enhance the authorized to levy forfeitures for ex currently approved collection. quality, utility, and clarity of the Respondents: Individuals and parte rule violations; (10) Copies of information collected; ways to minimize electronically filed ex parte notices households; business or other for-profit the burden of the collection of entities; not-for-profit institutions; must also be sent electronically to all information on the respondents, staff and Commissioners present at the Federal government; and state, local or including the use of automated tribal government. ex parte meeting so as to enable them collection techniques or other forms of to review the notices for accuracy and Number of Respondents and information technology; and ways to Responses: 200 respondents and 200 completeness. Filers may be asked to further reduce the information submit corrections or further responses. collection burden on small business Estimated Time per Response: 1.0 information as necessary for compliance concerns with fewer than 25 employees. hour. with the rules; and (11) Parties making DATES: Written comments should be Frequency of Response: On occasion permissible ex parte presentations in submitted on or before November 17, reporting requirement and third-party restricted proceedings must conform 2020. If you anticipate that you will be disclosure requirement. and clarify rule changes when filing an submitting comments, but find it Obligation to Respond: Required to ex parte notice with the Commission. difficult to do so within the period of obtain or retain benefits. The statutory The information is used by parties to time allowed by this notice, you should authority for this collection of permit-but-disclose proceedings, advise the contacts below as soon as information is contained in 47 U.S.C. including interested members of the possible. 151, 154, 301, 303, 307, 308, 309, 310, public, to respond to the arguments 316, 319, 325(b), 332, 336(f), 338, 339, ADDRESSES: Direct all PRA comments to made and data offered in the 340, 399b, 403, 534, 535, 1404, 1452, presentations. The responses may then Cathy Williams, FCC, via email PRA@ fcc.gov and to [email protected]. and 1454. be used by the Commission in its Total Annual Burden: 200 hours. decision-making. FOR FURTHER INFORMATION CONTACT: For Total Annual Cost: $25,000. The availability of the ex parte additional information about the Privacy Act Impact Assessment: This materials ensures that the Commission’s information collection, contact Cathy information collection may affect decisional processes are fair, impartial, Williams at (202) 418–2918. individuals or households. However, and comport with the concept of due SUPPLEMENTARY INFORMATION: The FCC the information collection consists of process in that all interested parties can may not conduct or sponsor a collection third-party disclosures in which the
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Commission has no direct involvement. FEDERAL DEPOSIT INSURANCE 3. At least semiannually, the FDIC Personally identifiable information (PII) CORPORATION will update its analysis and projections is not being collected by, made available for the fund and, if necessary, to, or made accessible by the Federal Deposit Insurance Corporation recommend any modifications to the Commission. There are no additional Restoration Plan Plan, such as increasing assessment impacts under the Privacy Act. AGENCY: Federal Deposit Insurance rates. Nature and Extent of Confidentiality: Corporation (FDIC). While subject to considerable In general there is no need for ACTION: Notice of establishment of uncertainty, based on a range of confidentiality with this collection of restoration plan. reasonable (though highly uncertain) information. estimates of future losses and assuming Extraordinary growth in insured a return to normal insured deposit Needs and Uses: On June 2, 2014, the deposits during the first and second growth, the reserve ratio would return to Commission released a Report and quarters of 2020 caused the Deposit 1.35 percent without further action by Order, FCC 14–50, GN Docket No. 12– Insurance Fund (the DIF or the fund) the FDIC before the end of the 8-year 268, ‘‘Expanding the Economic and reserve ratio to decline below the period beginning upon the Innovation Opportunities of Spectrum statutory minimum of 1.35 percent.1 As implementation of the Plan, as required Through Incentive Auctions.’’ This of June 30, 2020, the reserve ratio had by law. order adopted a revision to a fallen below the statutory minimum and Commission rule, 47 CFR 74.802(b), to stood at 1.30 percent, 9 basis points Detailed Analysis and Basis for Actions permit low power auxiliary stations below the reserve ratio as of March 31, Taken by the Restoration Plan (LPAS), including wireless 2020, and 11 basis points below its microphones, to operate in the bands recent peak of 1.41 percent as of The FDI Act requires that the FDIC allocated for TV broadcasting at revised December 31, 2019. Prior to 2020, the publish in the Federal Register a DIF reserve ratio had not decreased detailed analysis of the factors distances from a co-channel television’s since the fourth quarter of 2009. considered and the basis for the actions contour, and provided LPAS operators The Federal Deposit Insurance Act taken with regard to the Restoration to operate even closer to television (the FDI Act) requires that the FDIC’s Plan.4 The following summarizes the stations proved that any such operations Board of Directors (Board) adopt a analysis the FDIC conducted that are coordinated with TV broadcast restoration plan when the DIF reserve formed the basis of the Restoration Plan. stations that could be affected by the ratio falls below 1.35 percent or is LPAS operations. expected to within 6 months.2 Under Source of Decline in Reserve Ratio the FDI Act, the restoration plan must The Commission seeks Office of The decline in the reserve ratio during Management and Budget (OMB) restore the reserve ratio to at least 1.35 percent within 8 years of establishing the first half of 2020 was solely a result approval for an extension of the of extraordinary insured deposit growth. currently approved information the Plan, absent extraordinary 3 Table 1 shows the components of the collection for the coordination process circumstances. Therefore, pursuant to section reserve ratio for the last quarter of 2019 adopted in the Commission’s Report 7(b)(3)(E) (12 U.S.C. 1817(b)(3)(E)), the and the first two quarters of 2020. Over and Order, FCC 14–50 for such co- FDIC established the following this period, the DIF balance grew and channel operations, in 47 CFR Restoration Plan (or the Plan) on did not experience material losses. As of 74.802d(b)(2). September 15, 2020. June 30, 2020, the DIF balance totaled Federal Communications Commission. 1. The FDIC will monitor deposit a record $114.7 billion, up $4.3 billion Marlene Dortch, balance trends, potential losses, and from the end of 2019. Meanwhile, other factors that affect the reserve ratio. insured deposits grew by an estimated Secretary. 2. The FDIC will maintain the current $1 trillion, resulting in an 11 basis point [FR Doc. 2020–20723 Filed 9–18–20; 8:45 am] schedule of assessment rates for all decline in the reserve ratio from the end BILLING CODE 6712–01–P insured depository institutions (IDIs). of 2019.
TABLE 1—FUND BALANCE, ESTIMATED INSURED DEPOSITS, AND RESERVE RATIO [$ In billions]
4th Qtr 2019 1st Qtr 2020 2nd Qtr 2020
Beginning Fund Balance ...... 108.9 110.3 113.2 Plus: Net Assessment Revenue ...... 1.3 1.4 1.8 Plus: Investment Income a ...... 0.5 2.0 0.1 Less: Loss Provisions ...... ¥0.1 * * Less: Operating Expenses ...... 0.5 0.5 0.5 Ending Fund Balance b ...... 110.3 113.2 114.7 Estimated Insured Deposits ...... 7,815.2 8,164.2 8,837.3 Ending Reserve Ratio ...... 1.41% 1.39% 1.30% * = Less than $50 million. a Includes unrealized gains/losses on available-for-sale securities. b Components of fund balance changes may not sum to totals due to rounding.
1 The reserve ratio is calculated as the ratio of the insured deposits at the end of a given quarter. See 3 12 U.S.C. 1817(b)(3)(E)(ii). net worth of the Deposit Insurance Fund (fund 12 U.S.C. 1813(y)(3). 4 12 U.S.C. 1817(b)(3)(E)(v). balance) to the value of the aggregate estimated 2 12 U.S.C. 1817(b)(3)(E)(i).
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The extraordinary growth in insured government policy actions in response quarter—two of the highest growth rates deposits during the first half of 2020 to the Coronavirus 2019 (COVID–19) since quarterly reporting began in was also unprecedented. As described pandemic. During the first half of 2020, 1991.5 Together, estimated insured in more detail below, this increase estimated insured deposits grew by 4.5 deposits grew by an amount equal to largely stemmed from actions percent (17.9 percent, annualized) in the approximately three years of insured undertaken by depositors, both first quarter and by 8.2 percent (33.0 deposit growth in the first two quarters businesses and individuals, as well as percent, annualized) in the second of 2020 (Chart 1).
As of June 30, 2020, the actions taken by monetary and fiscal more than $1 trillion and, with it, grew unprecedented rate of insured deposit authorities, and by individuals, IDI reserve balances and deposits. growth stemming from the pandemic businesses, and financial market As deposit growth associated with a had reduced the reserve ratio to below participants in response to the COVID– flight to safety began to stabilize, fiscal the statutory minimum of 1.35 percent. 19 pandemic. Deposit growth initially stimulus and reduced spending applied intensified in March upon the outbreak Factors That Affect the Ability of the additional upward pressure on deposit of the COVID–19 pandemic. As COVID– Reserve Ratio to Return to 1.35 Percent growth. As part of the Coronavirus Aid, 19 infections spread throughout the Relief, and Economic Security Act Deposit balance trends, potential United States, individual states or major (CARES Act), the U.S. government losses, and other factors will affect the metropolitan areas ordered millions of provided over $1 trillion in direct ability of the reserve ratio to return to Americans to stay home, severely support to consumers and businesses 1.35 percent within 8 years of reducing their ability to engage in usual implementing the Restoration Plan. To commerce and forcing many businesses through business loans, expanded determine whether the reserve ratio has to close temporarily or furlough unemployment insurance, and one-time 7 reached the statutory minimum, the employees. Faced with economic checks to individuals. Lending to small FDIC will rely on the reserve ratio as of disruption and uncertainty, businesses businesses resulted in an increase in September 30, 2028.6 Under the Plan, drew on their lines of credit and deposits. For individuals, the resulting the FDIC will closely monitor the factors conserved cash, increasing deposits. surge in personal incomes from direct affecting the reserve ratio and, as they Market volatility pushed investors to government assistance, combined with become clearer, will update the Plan, as safer assets, including cash and insured the dramatic reduction in discretionary necessary, to reflect any updated deposits. Beginning in March, the Board spending, fueled deposit growth and assumptions. of Governors of the Federal Reserve lifted the personal savings rate to a record high of 33.7 percent in April. The Deposit Balance Trends System (Federal Reserve) announced a series of emergency actions, including personal savings rate remained elevated The extraordinary growth in insured large-scale asset purchases and through July at 17.8 percent, and deposits during the first and second emergency lending facilities, which monthly savings more than doubled to quarters of 2020 is largely a result of rapidly expanded its balance sheet by $280 billion in June from $116 billion
5 The growth in estimated insured deposits 2010, the third quarter of 2009, and the fourth 7 The CARES Act established the Paycheck experienced during the first and second quarters of quarter of 2008. Protection Program, which facilitated credit to 2020 was surpassed only by quarters in which the 6 The reserve ratio is based on total estimated small businesses through loans backed by the full growth rate was substantially impacted by a insured deposits at the end of a given quarter. The faith and credit of the U.S. Government. The temporary increase in coverage for noninterest- CARES Act also provided Economic Impact FDIC will rely on the reserve ratio as of September bearing transaction accounts or a permanent Payments of up to $1,200 per adult and $500 per increase in the standard maximum deposit 30, 2028, the first quarter-end date for which the child, based on income, and expanded the amount insurance amount from $100,000 to $250,000, reserve ratio will be known after September 15, of and eligibility for unemployment benefits. See including specifically only the fourth quarter of 2028, the end date of the 8-year period. Pub. L. 116–136 (Mar. 27, 2020).
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in February, or $3.4 trillion compared to Potential Losses to project potential losses from past and $1.4 trillion on an annualized basis. Losses from past and future bank future IDI failures and their impact on Insured deposit growth rates are failures affect the reserve ratio by the ability of the reserve ratio to return expected to decline compared to rates lowering the fund balance. In recent to 1.35 percent within 8 years of experienced during the first two years, the DIF has experienced low establishing the Plan. quarters of 2020. During the third losses from IDI failures. On average, five Other Factors IDIs per year failed between 2015 and quarter of 2020 to the week ending Other factors that affect the reserve August 19, 2020, estimated domestic 2019, at an annual cost to the fund of about $400 million. Two IDIs have ratio include changes in IDI risk deposits (including both insured and profiles, which influence assessment uninsured deposits) for all domestically failed thus far in 2020, marking the sixth year in a row with few or no rates; growth in the assessment base; chartered commercial banks declined by DIF investment income and unrealized 8 failures. 0.7 percent. In the near term, low Future losses to the DIF remain gains and losses on investments; and interest rates and reduced fiscal support uncertain as the length of the pandemic operating expenses. For example, under in the face of weak economic and the resulting potential economic the current rate schedule adopted conditions, including weak labor and banking effects are unclear. The pursuant to the FDIC’s long-term fund markets, incomes, and reduced uncertainties include, among others, the management plan,10 the weighted consumer spending may place length of time necessary for a full average assessment rate for all IDIs is downward pressure on deposit growth economic recovery, how quickly approximately 4.0 basis points for the as depositors draw down savings. Even businesses are able to reopen and return assessment period ending June 30, as economic conditions improve, to pre-pandemic operations, and 2020.11 In future quarters, this rate may deposits may decline as the consumer behavior during and after the increase or decrease based on the risk precautionary behavior exhibited by pandemic, which could have longer- profiles of institutions, affecting the DIF depositors subsides and individuals and term effects on the condition and balance and, thus, the reserve ratio businesses redirect deposits toward performance of the banking industry. through assessment income. Under the consumption and higher-yielding Thus far, the industry has remained a Restoration Plan, the FDIC will monitor investments. source of strength for the economy, in these factors and their impact on the part, because banks’ stronger capital ability of the reserve ratio to return to While insured deposit growth rates position has better positioned them to 1.35 percent within 8 years of are expected to decline, deposit withstand losses compared to 2008. As establishing the Plan. balances, including insured deposits, of June 30, 2020, capital remained above Current Schedule of Assessment Rates could remain elevated until the factors regulatory minimums and the industry and Fund Projections that supported their recent growth ratios for tier 1 risk-based capital and decline from their current levels, total risk-based capital exceeded the In developing this Restoration Plan, particularly monetary and fiscal policy ratios reported at year-end 2007 by the FDIC projected the DIF balance and and economic uncertainty. The Federal several percentage points. associated reserve ratio at the end of 8 Reserve has indicated that it will To anticipate declines in capital that years, using the current rate schedule continue to provide monetary policy could trigger losses from IDI failures, the and assuming different rates of insured support in the near-term with a FDIC also monitors other measures, deposit growth.12 While subject to continuation of asset purchases. In the such as earnings, asset quality, and considerable uncertainty, it is the medium- to long-term, if the Federal supervisory ratings. Thus far, while FDIC’s view that raising assessments Reserve implements a gradual approach economic stress related to COVID–19 based on two quarters of extraordinary to unwinding monetary policy, as it did has impacted IDI earnings and lowered insured deposit growth would be in the post-2008 period, reserves may net interest margins, asset quality and premature. remain elevated for years, even after supervisory ratings generally remain Table 2 depicts the amount of losses that the DIF could absorb and still reach economic conditions improve. The strong. As of June 30, 2020, 1.08 percent of loan and lease balances were 1.35 percent within 8 years. For impact on deposits of a prolonged noncurrent, up from a year ago, but example, if insured deposits grow at an period of economic weakness is difficult below the peak of 5.46 percent in the annual rate of 2.5 percent over the next to predict, but it is possible deposits first quarter of 2010. The total number 8 years, the DIF could absorb losses of may remain elevated if businesses and of institutions on the FDIC’s Problem up to $23.7 billion and still reach the consumers continue to hold back Bank List fell to 52 in the second quarter minimum reserve ratio requirement spending under such a scenario. Under of 2020, continuing the decline in the within 8 years. Alternatively, if insured the Restoration Plan, the FDIC will number of problem banks that has deposits grow at an annual rate of 4.5 monitor these deposit balance trends occurred in every quarter since its peak percent over the next 8 years, the DIF and their impact on the ability of the of 888 institutions in March 2011.9 would need an additional $1.5 billion reserve ratio to return to 1.35 percent Under the Restoration Plan, the FDIC for the reserve ratio to reach the 1.35 within 8 years of establishing the Plan. will monitor these and other measures percent minimum.
8 Percent change for estimated weekly aggregate 9 ‘‘Problem’’ institutions are institutions with a Consolidated Reports of Condition and Income or domestic deposits, which includes insured and CAMELS composite rating of ‘‘4’’ or ‘‘5’’ due to quarterly Reports of Assets and Liabilities of U.S. uninsured deposits, at domestically chartered financial, operational, or managerial weaknesses Branches and Agencies of Foreign Banks (as commercial banks only. This statistic is based on that threaten their continued financial viability. applicable). data that are reported weekly by a sample of banks 10 See 12 CFR 327.10(b); see also 76 FR 10672, 12 For simplicity, the analysis shown in Table 2 and does not include deposits at other IDIs, 10718 (Feb. 25, 2011) and 81 FR 32180, 32202 (May including savings institutions. Federal Reserve, H.8 20, 2016). assumes that: (1) The assessment base grows 4.5 Data Release, Assets and Liabilities of Commercial 11 The quarterly weighted average assessment rate percent, annually; (2) the average assessment rate Banks in the United States, data as of August 19, was calculated based on FDIC data as of August 24, remains at 4.0 basis points; (3) interest income on 2020, available at https://www.federalreserve.gov/ 2020, and is subject to change due to amendments the deposit insurance fund balance is zero; and (4) releases/h8/current/default.htm. made through September 28, 2020, to IDIs’ quarterly operating expenses grow at 1 percent per year.
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TABLE 2—PROJECTED RESERVE RATIO AT THE END OF 8 YEARS ASSUMING DIFFERENT RATES OF INSURED DEPOSIT GROWTH
Amount available Annual insured Industry insured DIF Balance needed to absorb losses and deposit growth rate deposits DIF Reserve ratio to reach 1.35 percent reach 1.35 percent [percent] [billions of dollars] [percent] reserve ratio reserve ratio [billions of dollars] [billions of dollars]
2.5 ...... 10,835 1.56 145.7 23.7 3.0 ...... 11,279 1.50 151.7 17.7 3.5 ...... 11,739 1.44 157.9 11.5 4.0 ...... 12,215 1.39 164.3 5.1 4.5 ...... 12,708 1.33 170.9 (1.5)
It is reasonable that annual insured differ from projected amounts if FEDERAL RESERVE SYSTEM deposit growth could average less than economic conditions worsen or 4.5 percent over the next 8 years for two financial stresses facing IDIs prove more Notice of Proposals To Engage in or main reasons. First, annualized growth or less severe. For example, DIF loss To Acquire Companies Engaged in has been less than 4.5 percent or projections may increase if the quality Permissible Nonbanking Activities negative during most (57 percent) of IDI assets quickly deteriorates or The companies listed in this notice quarters since quarterly reporting was capital markets become severely adopted in 1991. Most importantly, as have given notice under section 4 of the constrained, and income could be Bank Holding Company Act (12 U.S.C. previously discussed, deposit growth affected by the factors described could face downward pressure in the 1843) (BHC Act) and Regulation Y, (12 previously. Insured deposit growth near-term based on economic CFR part 225) to engage de novo, or to could be higher or lower based on future conditions, as the consumption and acquire or control voting securities or investment patterns of individuals and economic conditions and the response assets of a company, including the households exhibit less precautionary of fiscal and monetary authorities and companies listed below, that engages behavior and as surge deposits are depositors. either directly or through a subsidiary or disbursed or leave the banking system, Future updates to the Board may other company, in a nonbanking activity with growth rates normalizing over the result in changes in assumptions that that is listed in § 225.28 of Regulation Y next 8 years. result in different assessment revenue (12 CFR 225.28) or that the Board has For example, if insured deposits grow needs. Consequently, in order to fulfill determined by Order to be closely at an annual rate of approximately 3.3 the statutory requirement to return the related to banking and permissible for percent over the next 8 years, reflecting fund reserve ratio to 1.35 percent, the bank holding companies. Unless the flow of surge deposits out of the FDIC may need to adopt higher otherwise noted, these activities will be banking system and a return to normal assessment rates than those included in conducted throughout the United States. consumer behavior, then the long-term the current assessment rate schedule. The public portions of the growth rate (including extraordinary Under assessment regulations, the Board applications listed below, as well as growth during the first two quarters of has the authority to adjust assessment other related filings required by the 2020) would equal the long-term Board, if any, are available for average rate of 4.5 percent that the fund rates for all IDIs by up to two basis points, without notice and comment, if immediate inspection at the Federal has experienced since the 1990s. Under Reserve Bank(s) indicated below and at conditions warrant such an increase.13 this scenario, the table above shows that the offices of the Board of Governors. Any increase greater than two basis losses would have to exceed $11.5 This information may also be obtained points would require notice and billion to prevent the reserve ratio from on an expedited basis, upon request, by reaching 1.35 percent in 8 years. comment. Given the considerable contacting the appropriate Federal Due to the uncertainties discussed uncertainty of long-range projections Reserve Bank and from the Board’s elsewhere, losses from bank failures and because the statutory deadline is 8 Freedom of Information Office at remain difficult to project. However, the years away, the Restoration Plan https://www.federalreserve.gov/foia/ banking industry is well capitalized, the maintains the current assessment rate request.htm. Interested persons may problem bank list remains low, and the schedule for all IDIs. express their views in writing on the banking industry has appeared resilient question whether the proposal complies to the early stages of the economic Federal Deposit Insurance Corporation. By order of the Board of Directors. with the standards of section 4 of the effects of the pandemic. As the effect of BHC Act. the pandemic on the banking industry Dated at Washington, DC, on September becomes more apparent, the FDIC will 15, 2020. Unless otherwise noted, comments regarding the applications must be reassess its analysis of insured deposit James P. Sheesley, received at the Reserve Bank indicated growth, potential losses, and other Assistant Executive Secretary. factors that affect the reserve ratio. or the offices of the Board of Governors, [FR Doc. 2020–20690 Filed 9–18–20; 8:45 am] Ann E. Misback, Secretary of the Board, Semiannual Updates of Income and BILLING CODE 6714–01–P 20th Street and Constitution Avenue Loss Projections NW, Washington, DC 20551–0001, not It is the FDIC’s view that frequent 13 The Board may increase or decrease the total later than October 6, 2020. updates are necessary because loss and base assessment rate schedule up to a maximum A. Federal Reserve Bank of Richmond increase of 2 basis points or a fraction thereof or a reserve ratio projections made so far maximum decrease of 2 basis points or a fraction (Adam M. Drimer, Assistant Vice into the future are subject to thereof (after aggregating increases and decreases), President) 701 East Byrd Street, considerable uncertainty. Losses could as the Board deems necessary. See 12 CFR 327.10(f). Richmond, Virginia 23219. Comments
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can also be sent electronically to or on an expedited basis, upon request, by DATES: The virtual meeting will be held [email protected] contacting the appropriate Federal on Thursday, October 8, 2020, 1. Congressional Bancshares, Inc., Reserve Bank and from the Board’s beginning at 1:00p.m., ET (Eastern Chevy Chase, Maryland; to engage de Freedom of Information Office at Time) and ending no later than 3:30 novo in commercial lending activities https://www.federalreserve.gov/foia/ p.m., ET. through its proposed new wholly- request.htm. Interested persons may ADDRESSES: The meeting will be virtual. owned subsidiary pursuant to express their views in writing on the The public may join the meeting via § 225.28(b)(1) of the Board’s Regulation standards enumerated in paragraph 7 of Zoom using the following link: https:// Y. the Act. zoom.us/j/98203039140. Board of Governors of the Federal Reserve Comments regarding each of these FOR FURTHER INFORMATION CONTACT: System, September 16, 2020. applications must be received at the Stephanie Marsellos, Designated Federal Yao-Chin Chao, Reserve Bank indicated or the offices of Officer, Women’s Suffrage Centennial Assistant Secretary of the Board. the Board of Governors, Ann E. Commission, P.O. Box 2020 Misback, Secretary of the Board, 20th [FR Doc. 2020–20797 Filed 9–18–20; 8:45 am] Washington, DC 20013; phone: 202–707 Street and Constitution Avenue NW, BILLING CODE P 0106; email: stephanie@ Washington DC 20551–0001, not later womensvote100.org. than October 6, 2020. SUPPLEMENTARY INFORMATION: FEDERAL RESERVE SYSTEM A. Federal Reserve Bank of Atlanta (Kathryn Haney, Assistant Vice Background Sunshine Act Meetings President) 1000 Peachtree Street, NE, Atlanta, Georgia 30309. Comments can Congress passed legislation to create AGENCY: Board of Governors of the also be sent electronically to the Women’s Suffrage Centennial Federal Reserve System [email protected]: Commission Act, a bill, ‘‘to ensure a TIME AND DATE: 2:00 p.m., Thursday, 1. The Vanguard Group, Inc., suitable observance of the centennial of September 24, 2020 Malvern, Pennsylvania; on behalf of the passage and ratification of the 19th Amendment of the Constitution of the PLACE: Virtual Meeting via Video/Audio itself, its subsidiaries and affiliates, Conference including investment companies United States providing for women’s suffrage.’’ STATUS: Closed registered under the Investment Company Act of 1940, other pooled The duties of the Commission, as MATTER(S) TO BE CONSIDERED: written in the law, include: (1) To 1. Personnel Matter. investment vehicles, and institutional accounts that are sponsored, managed, encourage, plan, develop, and execute CONTACT PERSON FOR MORE INFORMATION: programs, projects, and activities to Michelle Smith, Director, Division of or advised by Vanguard; to acquire additional voting shares of Regions commemorate the centennial of the Board Members at 202–452–2955. For passage and ratification of the 19th users of Telecommunication Device for Financial Corporation, and thereby indirectly acquire additional voting Amendment; (2) To encourage private the Deaf (TDD) call 202–263–4869. organizations and State and local You may access the Board’s website at shares of Regions Bank, both of Birmingham, Alabama. Governments to organize and participate www.federalreserve.gov for an electronic in activities commemorating the announcement. Board of Governors of the Federal Reserve centennial of the passage and System, September 16, 2020. Dated: September 17, 2020. ratification of the 19th Amendment; (3) Yao-Chin Chao, Ann E. Misback, To facilitate and coordinate activities Assistant Secretary of the Board. Secretary of the Board. throughout the United States relating to [FR Doc. 2020–20796 Filed 9–18–20; 8:45 am] the centennial of the passage and [FR Doc. 2020–20934 Filed 9–17–20; 4:15 pm] BILLING CODE P ratification of the 19th Amendment; (4) BILLING CODE 6210–01– P To serve as a clearinghouse for the collection and dissemination of information about events and plans for FEDERAL RESERVE SYSTEM GENERAL SERVICES the centennial of the passage and ADMINISTRATION Change in Bank Control Notices; ratification of the 19th Amendment; and Acquisitions of Shares of a Bank or [Notice-WSCC–2020–02; Docket No. 2020– (5) To develop recommendations for Bank Holding Company 0004; Sequence No. 2] Congress and the President for commemorating the centennial of the The notificants listed below have Women’s Suffrage Centennial passage and ratification of the 19th applied under the Change in Bank Commission; Notification of Public Amendment. Control Act (Act) (12 U.S.C. 1817(j)) and Meeting § 225.41 of the Board’s Regulation Y (12 Meeting Agenda for October 8, 2020 CFR 225.41) to acquire shares of a bank AGENCY: Women’s Suffrage Centennial • Call to Order, Opening Remarks, Roll or bank holding company. The factors Commission, General Services Call that are considered in acting on the Administration. • Housekeeping Announcement applications are set forth in paragraph 7 ACTION: Meeting Notice. • Approval of Meeting Minutes of the Act (12 U.S.C. 1817(j)(7)). • Chair Remarks, Vice Chair Remarks The public portions of the SUMMARY: Notice is being provided • Executive Director Remarks applications listed below, as well as according to the requirements of the • Legacy Video Presentation other related filings required by the Federal Advisory Committee Act. This • Final Report Presentation Board, if any, are available for notice provides the schedule and • Commissioner Discussion immediate inspection at the Federal agenda for the October 8, 2020 virtual • Commissioner Vote Reserve Bank(s) indicated below and at meeting of the Women’s Suffrage • Public Comment the offices of the Board of Governors. Centennial Commission (Commission). • Wrap Up This information may also be obtained The meeting is open to the public. • Adjourn
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The meetings are open to the public, GENERAL SERVICES may waive FTR §§ 302–2.14(d) and 302– but pre-registration is required. Any ADMINISTRATION 3.505(d), meaning that RAT travelers are individual who wishes to attend the not required to have 12 months of [Notice–MA–2020–11; Docket No. 2020– service remaining on their second meeting should register via email at 0002; Sequence No. 30] [email protected] or overseas tour of duty after taking RAT, telephone 202–707–0106. Relocation Allowances—Waiver of in order to be eligible for RAT. The requirements at FTR §§ 302–3.223 and Interested persons may choose to Certain Federal Travel Regulation 302–3.224 remain in effect. This make a public comment at the meeting (FTR) Provisions for Renewal Agreement Travel (RAT) During the bulletin can be viewed at https:// during the designated time for this www.gsa.gov/ftrbulletins. purpose. Public comments shall be COVID–19 Pandemic limited by minutes based on the number AGENCY: Office of Government-wide Jessica Salmoiraghi, of participants signed up to comment Policy (OGP), General Services Associate Administrator, Office of for the allotted time, and subject to Administration (GSA). Government-wide Policy. [FR Doc. 2020–20683 Filed 9–18–20; 8:45 am] agenda time changes based on the speed ACTION: Notice of GSA Bulletin FTR 21– of the commission’s work through the 02. BILLING CODE P agenda. Speakers who wish to expand upon their oral statements, or those who SUMMARY: This FTR bulletin informs had wished to speak but could not be agencies that certain FTR provisions DEPARTMENT OF HEALTH AND accommodated on the agenda, may governing RAT are temporarily waived HUMAN SERVICES submit written statements up to 30 days as a result of impacts to travel from the Coronavirus Disease 2019 (COVID–19). Agency for Healthcare Research and after the meeting. Quality DATES: Applicability Date: This notice is Members of the public may also retroactively effective for employees choose to submit written comments by Agency Information Collection whose official RAT was delayed or Activities: Proposed Collection; mailing them to Stephanie Marsellos, suspended after March 13, 2019 (one Designated Federal Officer, P.O. Box Comment Request; Voluntary year prior to the date of the national Customer Survey Generic Clearance 2020, Washington, DC 20013, or via emergency issued by the President email at [email protected]. for the Agency for Healthcare concerning COVID–19), and who have Research and Quality Please contact Ms. Marsellos at the not yet taken RAT. email address above to obtain meeting FOR FURTHER INFORMATION CONTACT: For AGENCY: Agency for Healthcare Research materials. All written comments clarification of content, contact Mr. and Quality, HHS. received will be provided to the Rodney (Rick) Miller, Senior Program ACTION: Notice. Commission. Detailed minutes of the Analyst, Office of Government-wide SUMMARY: This notice announces the meeting will be available for public Policy, Office of Asset and intention of the Agency for Healthcare inspection within 90 days of the Transportation Management, at 202– Research and Quality (AHRQ) to request meeting. 501–3822, or by email at travelpolicy@ that the Office of Management and gsa.gov. Please cite Notice of FTR Individuals requiring special Budget (OMB) approve the proposed Bulletin 21–02. accommodations to access the public information collection project: meeting should contact Ms. Marsellos at SUPPLEMENTARY INFORMATION: ‘‘Voluntary Customer Survey Generic least five business days prior to each Background: Federal agencies Clearance for the Agency for Healthcare meeting, so that appropriate authorize relocation entitlements to Research and Quality.’’ This proposed arrangements can be made. those individuals listed at FTR § 302– information collection was previously 1.1. Such individuals must sign a published in the Federal Register on Public Disclosure of Comments service agreement stating that the June 11, 2020 and allowed 60 days for individual agrees to serve for a Before including your address, phone public comment. AHRQ received no minimum time period after they have substantive comments. The purpose of number, email address, or other relocated, and as prescribed in FTR personally identifiable information (PII) this notice is to allow an additional 30 § 302–2.14. Before successfully days for public comment. in your comment, you should be aware completing the initial tour of duty, an DATES: Comments on this notice must be that your entire comment—including agency may offer RAT for an employee your PII—may be made publicly received 30 days after date of to serve a new tour of duty at the same publication. available at any time. or different OCONUS location, if the While you can ask us in your employee agrees to the conditions under ADDRESSES: Written comments and comment to withhold your PII from FTR § 302–3.212. recommendations for the proposed public review, we cannot guarantee that As a result of COVID–19, employees information collection should be sent within 30 days of publication of this we will be able to do so. and their immediate family members may be, or may have been, required to notice to www.reginfo.gov/public/do/ Dated: September 9, 2020. delay taking RAT despite the PRAMain. Find this particular David Coscia, employee’s successful completion of information collection by selecting Agency Liaison Officer,Office of Presidential their initial tour of duty and ‘‘Currently under 30-day Review—Open & Congressional Agency Liaison commitment to a second overseas tour for Public Comments’’ or by using the Services,Office of Administrative Services. of duty. As a result of the delay, search function. [FR Doc. 2020–20803 Filed 9–18–20; 8:45 am] employees might not have 12 months FOR FURTHER INFORMATION CONTACT: BILLING CODE 3420–37–P remaining in their second tour of duty Doris Lefkowitz, AHRQ Reports upon their return from RAT as Clearance Officer, (301) 427–1477, or by prescribed at FTR §§ 302–2.14(d) and email at [email protected]. 302–3.505(d)). Accordingly, agencies SUPPLEMENTARY INFORMATION:
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Proposed Project and will not be used by AHRQ to service to the lay and health regulate or sanction its customers. professional public. Voluntary Customer Survey Generic Clearance for the Agency for Healthcare Surveys will be entirely voluntary, and Estimated Annual Respondent Burden Research and Quality information provided by respondents will be combined and summarized so Exhibit 1 shows the estimated total This is a request for the Office of that no individually identifiable burden hours for the respondents. Mail Management and Budget (OMB) to re- information will be released. Proposed surveys are estimated to average 15 approve for an additional 3 years, under information collections submitted under minutes, telephone surveys 40 minutes, the Paperwork Reduction Act of 1995, this generic clearance will be reviewed web-based surveys 10 minutes, focus the generic clearance for the Agency for and acted upon by OMB within 14 days groups two hours, and in-person Healthcare Research and Quality of submission to OMB. interviews are estimated to average 50 (AHRQ) to survey the users of AHRQ’s minutes. Mail surveys may also be sent work products and services, OMB Method of Collection to respondents via email, and may control number 0935–0106. The current include a telephone non-response clearance was approved on December The information collected through follow-up. Telephone non-response 13th, 2017 and will expire on December focus groups and voluntary customer follow-up for mailed surveys does not 31st, 2020. surveys will be used by AHRQ to count as a telephone survey. The total Customer surveys will be undertaken identify strengths and weaknesses in burden hours for the 3 years of the by AHRQ to assess its work products products and services to make clearance is estimated to be 10,900 and services provided to its customers, improvements that are practical and hours. to identify problem areas, and to feasible. Information from these Exhibit 2 shows the estimated cost determine how they can be improved. customer surveys will be used to plan burden for the respondents. The total Surveys conducted under this generic and redirect resources and efforts to cost burden for the 3 years of the clearance are not required by regulation improve or maintain a high quality of clearance is estimated to be $136,031.
EXHIBIT 1—ESTIMATED BURDEN HOURS OVER 3 YEARS
Number of Type of information collection Number of responses per Hours per Total burden respondents respondent response hours
Mail/email * ...... 5,000 1 15/60 1,250 Telephone ...... 200 1 40/60 133 Web-based ...... 5,000 1 10/60 833 Focus Groups ...... 500 1 2.0 1,000 In-person ...... 200 1 50/60 167
Total ...... 10,900 na na 3,383 * May include telephone non-response follow-up in which case the burden will not change.
EXHIBIT 2—ESTIMATED COST BURDEN OVER 3 YEARS
Average Type of information collection Number of Total burden hourly wage Total cost respondents hours rate * burden
Mail/email ...... 5,000 1,250 $40.21 $50,263 Telephone ...... 200 133 40.21 5,348 Web-based ...... 5,000 833 40.21 33,495 Focus Groups ...... 500 1,000 40.21 40,210 In-person ...... 200 167 40.21 6,715
Total ...... 10,900 3,383 40.21 136,031 * Bureau of Labor & Statistics on ‘‘Occupational Employment and Wages, May 2019’’ found at the following URL: https://www.bls.gov/oes/cur- rent/oes_nat.htm#b29-0000.htm for the respondents.
Request for Comments hours and costs) of the proposed comments will become a matter of collection(s) of information; (c) ways to public record. In accordance with the Paperwork enhance the quality, utility, and clarity Dated: September 15, 2020. Reduction Act, comments on AHRQ’s of the information to be collected; and information collection are requested (d) ways to minimize the burden of the Marquita Cullom-Stott, with regard to any of the following: (a) collection of information upon the Associate Director. Whether the proposed collection of respondents, including the use of [FR Doc. 2020–20715 Filed 9–18–20; 8:45 am] information is necessary for the proper automated collection techniques or BILLING CODE 4160–90–P performance of AHRQ healthcare other forms of information technology. research and healthcare information Comments submitted in response to dissemination functions, including this notice will be summarized and whether the information will have included in the Agency’s subsequent practical utility; (b) the accuracy of request for OMB approval of the AHRQ’s estimate of burden (including proposed information collection. All
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DEPARTMENT OF HEALTH AND ‘‘Currently under 30-day Review—Open This information is used to inform the HUMAN SERVICES for Public Comments’’ or by using the overall real-time COVID–19 response search function. Direct written efforts and possible resource allocation, Centers for Disease Control and comments and/or suggestions regarding including an understanding of cases that Prevention the items contained in this notice to the are community-acquired versus [30 Day–20–20LW] Attention: CDC Desk Officer, Office of healthcare-associated. CDC and health Management and Budget, 725 17th departments alike will use this Agency Forms Undergoing Paperwork Street NW, Washington, DC 20503 or by surveillance data to prioritize the Reduction Act Review fax to (202) 395–5806. Provide written allocation of resources and response comments within 30 days of notice efforts. In accordance with the Paperwork publication. The COVID–19 Module in the Patient Reduction Act of 1995, the Centers for Safety Component was used for daily Disease Control and Prevention (CDC) Proposed Project reporting by approximately 60% of the has submitted the information National Healthcare Safety Network nation’s hospitals from late March until collection request titled National (NHSN) Coronavirus (COVID–19) July 15th, 2020. The July 13, 2020 HHS Healthcare Safety Network (NHSN) Surveillance in Healthcare Facilities— Guidance for Hospital Reporting and Coronavirus (COVID–19) Surveillance New—National Center for Emerging and FAQ removed NHSN as a reporting in Healthcare Facilities, to the Office of Zoonotic Infectious Diseases (NCEZID), option for hospitals to continue Management and Budget (OMB) for Centers for Disease Control and fulfilling the HHS and White House review and approval. CDC previously Prevention (CDC). requested COVID–19 data reporting. NHSN released the COVID–19 published a ‘‘Proposed Data Collection Background and Brief Description Submitted for Public Comment and Module in the existing NHSN Long Recommendations’’ notice on April 16, The Division of Healthcare Quality Term Care (LTC) Component on April 2020 to obtain comments from the Promotion (DHQP), National Center for 27, 2020, to collect data from long term public and affected agencies. CDC has Emerging and Zoonotic Infectious care facilities (LTCFs) on confirmed and received six comments related to the Diseases (NCEZID), Centers for Disease suspected resident COVID–19 cases and previous notice. This notice serves to Control and Prevention (CDC) collects deaths, number of beds and access to allow an additional 30 days for public data from healthcare facilities in the testing, staff and personnel shortages and affected agency comments. National Healthcare Safety Network and cases of COVID–19 and deaths, CDC will accept all comments for this (NHSN) under OMB Control Number personal protective equipment proposed information collection project. 0920–0666. NHSN is a public health availability, and ventilator availability. The Office of Management and Budget surveillance system that collects, As with the initial data collection tool is particularly interested in comments analyzes, reports, and makes available approved under Emergency OMB that: data for monitoring, measuring, and Control No. 0920–1290, facility-level (a) Evaluate whether the proposed responding to healthcare associated data collected through NHSN as part of collection of information is necessary infections (HAIs), antimicrobial use and the COVID–19 modules are being made for the proper performance of the resistance, blood transfusion safety available to a broader set of federal, functions of the agency, including events, and the extent to which state, and local agency data users than whether the information will have healthcare facilities adhere to infection data typically collected by NHSN. practical utility; prevention practices and antimicrobial Specifically, COVID–19 data at the state, (b) Evaluate the accuracy of the stewardship. county, territory, and facility level agencies estimate of the burden of the On March 11, 2020, the World Health submitted to NHSN will continue to be proposed collection of information, Organization declared COVID–19 a used for public health emergency including the validity of the pandemic, and the President of the response activities by CDC’s emergency methodology and assumptions used; United States (U.S.) proclaimed the COVID–19 response, by the U.S. (c) Enhance the quality, utility, and outbreak a national emergency on Department of Health and Human clarity of the information to be March 13, 2020. As rates of infection Services’ (HHS) COVID–19 tracking collected; continue to rise across the U.S., system maintained in the Office of the (d) Minimize the burden of the healthcare facilities and public health Assistant Secretary of Preparedness and collection of information on those who departments are facing significant strain Response as part of the National are to respond, including, through the on patient care and infection prevention Response Coordination Center at the use of appropriate automated, efforts. Federal Emergency Management Agency electronic, mechanical, or other In response to the COVID–19 (FEMA), and by the White House technological collection techniques or pandemic, NHSN has planned and Coronavirus Task Force. other forms of information technology, introduced new COVID–19 modules in COVID–19 poses an unprecedented e.g., permitting electronic submission of the Patient Safety Component, Long- threat to older populations living in responses; and term Care and Dialysis Components that long-term care facilities, as well as (e) Assess information collection enable hospitals, long-term care healthcare and non-healthcare workers costs. facilities and ambulatory hemodialysis taking care of these residents and their To request additional information on facilities to report daily COVID–19 homes. Examples of LTCFs include the proposed project or to obtain a copy patient counts to NHSN, and NHSN in nursing homes, chronic care facilities of the information collection plan and turn will enable state and local health for the developmentally disabled, instruments, call (404) 639–7570. departments to gain immediate access to skilled nursing facilities, and assisted Comments and recommendations for the the COVID–19 data reported by living facilities. As rates of infection and proposed information collection should healthcare facilities in their resulting mortality across LTCFs be sent within 30 days of publication of jurisdictions via existing NHSN groups. continue to rise across the nation, this notice to www.reginfo.gov/public/ NHSN’s role as a shared platform for LTCFs are facing significant barriers in do/PRAMain. Find this particular HAI surveillance provides a valuable facility capacity, staffing, and supplies, information collection by selecting foundation for COVID–19 surveillance. such as personal protective equipment.
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These barriers pose significant risk of requiring LTCFs report at a minimum well as resource allocation and medical COVID–19 transmission and infections. the following data to NHSN no less than capacity in nursing homes. Understanding the facilitators and weekly: In Fall 2020, NHSN plans to release barriers that impact these vulnerable (1) Facility name, address and CMS a COVID–19 Dialysis Module in the populations is critical to the effective Certification Number; existing NHSN Dialysis Component. (2) Number of beds in the facility; pandemic response across LTCFs. This Module will be used to collect The objectives of the data collection (3) Current census of the facility; (4) Number of current residents who voluntarily-reported data from are to: (1) Determine the impact of are confirmed cases; ambulatory hemodialysis facilities on COVID–19 among residents and facility (5) Number of current residents who confirmed and suspected patient workers, including morbidity and are suspected cases; and COVID–19 cases and deaths, staff and mortality (2) determine the nursing (6) Number of deaths among residents personnel shortages and cases of home capacity for housing suspected who are either confirmed COVID–19 COVID–19 and deaths, personal and confirmed cases, including in-house cases or suspected COVID–19 cases. protective equipment availability, and testing abilities; (3) identify staffing (7) Number of staff with suspected access to diagnostic testing. As with the shortages among care givers and other and confirmed COVID–19. LTC Module, facility-level data facility personnel; (4) identify personal (8) Staffing shortages. collected through NHSN as part of the protective availability in the facility; (9) PPE shortages. COVID–19 Modules are being made and (5) to identify the availability and CMS introduced this reporting available to a broader set of federal, use of mechanical ventilators in LTCF requirement for national surveillance of state, and local agency data users than with ventilator dependent units. COVID–19 in nursing homes. Long-term data typically collected by NHSN. In support of filling the gaps in care facilities are primarily responsible Specifically, COVID–19 data at the state, COVID–19 data from nursing homes, the for ensuring, in real time, they have county, territory, and facility level Centers for Medicare and Medicaid adequate staffing and are taking submitted to NHSN will continue to be Services (CMS) and CDC are partnering measures to mitigate any infectious used for public health emergency in an unprecedented data coordination disease occurrences among residents or response activities by CDC’s emergency effort with U.S. nursing homes to help staff. CMS’ role is to hold facilities COVID–19 response, by the U.S. fight COVID–19. On May 8, 2020, CMS accountable for the care they provide to Department of Health and Human published an Interim Final Rule with their residents. CMS is also providing Services’ (HHS) COVID–19 tracking Comment Period that requires nursing technical assistance to nursing homes system maintained in the Office of the homes to report cases of COVID–19 through a variety of mechanisms based Assistant Secretary of Preparedness and directly to CDC via NHSN. CMS also on needs identified via this data Response as part of the National requires nursing homes to fully collection. Finally, the associated Response Coordination Center at the cooperate with CDC surveillance efforts enforcement is focused on ensuring Federal Emergency Management Agency around COVID–19 spread and will make facilities report their data to NHSN in (FEMA), and by the White House the data publicly available. Failure to order inform CDC, FEMA, the White Coronavirus Task Force. There will be report a case of COVID–19 or persons House Coronavirus Task Force, and no cost to respondents other than their under investigation (PUI), may result in public health departments at all levels time to complete the COVID–19 Module an enforcement action. CMS is now of the magnitude of the pandemic, as data fields on a weekly basis.
ESTIMATED ANNUALIZED BURDEN HOURS
Average Number of Number of burden per Type of respondents Form name respondents responses per response respondent (in hours)
LTCF personnel ...... NHSN and Secure Access Management Services (SAMS) 11,500 1 60/60 enrollment. LTCF personnel ...... COVID–19 Module, Long Term Care Facility: Resident Im- 11,621 52 40/60 pact and Facility Capacity form (57.144). Business and financial oper- COVID–19 Module, Long Term Care Facility: Resident Im- 1,870 52 40/60 ations occupations. pact and Facility Capacity form (57.144). State and local health depart- COVID–19 Module, Long Term Care Facility: Resident Im- 1,870 52 40/60 ment occupations. pact and Facility Capacity form (57.144). LTCF personnel ...... COVID–19 Module, Long Term Care Facility Resident Im- 5,811 1 40/60 pact and Facility Capacity form (57.144) (retrospective data entry). Business and financial oper- COVID–19 Module, Long Term Care Facility Resident Im- 935 1 40/60 ations occupations. pact and Facility Capacity form (57.144) (retrospective data entry). State and local health depart- COVID–19 Module, Long Term Care Facility Resident Im- 935 1 40/60 ment occupations. pact and Facility Capacity form (57.144) (retrospective data entry). LTCF personnel ...... COVID–19 Module, Long Term Care Facility: Staff and Per- 11,621 52 15/60 sonnel Impact form (57.145). Business and financial oper- COVID–19 Module, Long Term Care Facility: Staff and Per- 1,870 52 15/60 ations occupations. sonnel Impact form (57.145). State and local health depart- COVID–19 Module, Long Term Care Facility: Staff and Per- 1,870 52 15/60 ment occupations. sonnel Impact form (57.145). LTCF personnel ...... COVID–19 Module, Long Term Care Facility Staff and Per- 5,811 1 15/60 sonnel Impact form (57.145) (retrospective data entry).
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ESTIMATED ANNUALIZED BURDEN HOURS—Continued
Average Number of Number of burden per Type of respondents Form name respondents responses per response respondent (in hours)
Business and financial oper- COVID–19 Module, Long Term Care Facility Staff and Per- 935 1 15/60 ations occupations. sonnel Impact form (57.145) (retrospective data entry). State and local health depart- COVID–19 Module, Long Term Care Facility Staff and Per- 935 1 15/60 ment occupations. sonnel Impact form (57.145) (retrospective data entry). LTCF personnel ...... COVID–19 Module, Long Term Care Facility: Supplies & 11,621 52 15/60 Personal Protective Equipment form (57.146). Business and financial oper- COVID–19 Module, Long Term Care Facility: Supplies & 1,870 52 15/60 ations occupations. Personal Protective Equipment form (57.146). State and local health depart- COVID–19 Module, Long Term Care Facility: Supplies & 1,870 52 15/60 ment occupations. Personal Protective Equipment form (57.146). LTCF personnel ...... COVID–19 Module, Long Term Care Facility: Ventilator Ca- 11,621 52 5/60 pacity & Supplies form (57.147). Business and financial oper- COVID–19 Module, Long Term Care Facility: Ventilator Ca- 1,870 52 5/60 ations occupations. pacity & Supplies form (57.147). State and local health depart- COVID–19 Module, Long Term Care Facility: Ventilator Ca- 1,870 52 5/60 ment occupations. pacity & Supplies form (57.147). Microbiologist (IP) ...... COVID–19 Dialysis Component Form ...... 4,900 104 20/60
Jeffrey M. Zirger, functions of the agency, including Proposed Project Lead, Information Collection Review Office, whether the information will have Pulmonary Function Testing Course Office of Scientific Integrity, Office of Science, practical utility; Centers for Disease Control and Prevention. Approval Program. (OMB Control No. (b) Evaluate the accuracy of the 0920–0138, Exp. 11/30/2020)— [FR Doc. 2020–20760 Filed 9–18–20; 8:45 am] agencies estimate of the burden of the Revision—National Institute for BILLING CODE 4163–18–P proposed collection of information, Occupational Safety and Health including the validity of the (NIOSH), Centers for Disease Control methodology and assumptions used; DEPARTMENT OF HEALTH AND and Prevention (CDC). HUMAN SERVICES (c) Enhance the quality, utility, and Background and Brief Description clarity of the information to be Centers for Disease Control and collected; NIOSH has the responsibility under the Occupational Safety and Health Prevention (d) Minimize the burden of the Administration’s Cotton Dust Standard, collection of information on those who [30Day–20–0138] 29 CFR 1920.1043, for approving are to respond, including, through the courses to train technicians to perform Agency Forms Undergoing Paperwork use of appropriate automated, pulmonary function testing in the cotton Reduction Act Review electronic, mechanical, or other industry. Successful completion of a technological collection techniques or NIOSH-approved course is mandatory In accordance with the Paperwork other forms of information technology, under this Standard. In addition, Reduction Act of 1995, the Centers for e.g., permitting electronic submission of regulations at 42 CFR 37.95(a) specify Disease Control and Prevention (CDC) responses; and has submitted the information that persons administering spirometry collection request titled Pulmonary (e) Assess information collection tests for the national Coal Workers Function Testing Course Approval costs. ‘Health Surveillance Program must Program to the Office of Management To request additional information on successfully complete a NIOSH- and Budget (OMB) for review and the proposed project or to obtain a copy approved spirometry training course approval. CDC previously published a of the information collection plan and and maintain a valid certificate by ‘‘Proposed Data Collection Submitted instruments, call (404) 639–7570. periodically completing NIOSH- for Public Comment and Comments and recommendations for the approved spirometry refresher training Recommendations’’ notice on June 2, proposed information collection should courses. Also, 29 CFR 2020 to obtain comments from the be sent within 30 days of publication of 1910.1053(i)(2)(iv), 29 CFR public and affected agencies. CDC this notice to www.reginfo.gov/public/ 1910.1053(i)(3), 29 CFR received one non-substantial comment do/PRAMain. Find this particular 1926.1153(h)(2)(iv) and 29 CFR related to the previous notice. This information collection by selecting 1926.1153(h)(3) specify that pulmonary notice serves to allow an additional 30 ‘‘Currently under 30-day Review—Open function tests for initial and periodic days for public and affected agency for Public Comments’’ or by using the examinations in general industry and comments. search function. Direct written construction performed under the CDC will accept all comments for this comments and/or suggestions regarding respirable crystalline silica standard proposed information collection project. the items contained in this notice to the should be administered by a spirometry The Office of Management and Budget Attention: CDC Desk Officer, Office of technician with a current certificate is particularly interested in comments Management and Budget, 725 17th from a NIOSH-approved spirometry that: Street NW, Washington, DC 20503 or by course. NIOSH is requesting a three-year (a) Evaluate whether the proposed fax to (202) 395–5806. Provide written approval. collection of information is necessary comments within 30 days of notice To carry out its responsibility, NIOSH for the proper performance of the publication. maintains a Pulmonary Function
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Testing Course Approval Program. The inform NIOSH of their class activity NIOSH will disseminate a one-time program consists of an application level and any faculty changes. customer satisfaction survey to course submitted by potential sponsors Sponsors who elect to have their directors and sponsor representatives to (universities, hospitals, and private approval renewed for an additional five evaluate our service to courses, the consulting firms) who seek NIOSH year period, submit a renewal effectiveness of the program changes approval to conduct courses, and if application and supporting implemented since 2005, and the approved, notification to NIOSH of any documentation for review by NIOSH usefulness of potential Program course or faculty changes during the staff to ensure the course curriculum enhancements. meets all current standard requirements. approval period, which is limited to five Application form changes consist of Approved courses that elect to offer years. The application form and added minor text edits that clarify questions NIOSH-Approved Spirometry Refresher materials, including an agenda, Courses must submit a separate and information, thereby reducing the curriculum vitae, and course materials application and supporting documents need for applicants to contact NIOSH are reviewed by NIOSH to determine if for review by NIOSH staff. Institutions for guidance. In addition, parts of the the applicant has developed a program and organizations throughout the forms were reformatted to reduce which adheres to the criteria required in country voluntarily submit applications redundancy and increase clarity for the Standard. Following approval, any and materials to become course applicants. Two of the forms have subsequent changes to the course are sponsors and carry out training. updated titles which reflect the purpose submitted by course sponsors via letter Submissions are required for NIOSH to of the applications (initial sponsorship or email and reviewed by NIOSH staff evaluate a course and determine and sponsorship renewal forms). to assure that the changes in faculty or whether it meets the criteria in the The estimated annual burden to course content continue to meet course Standard and whether technicians will respondents is 147 hours. There will be requirements. Course sponsors also be adequately trained as mandated no cost to respondents other than their voluntarily submit an annual report to under the Standard. time.
ESTIMATED ANNUALIZED BURDEN HOURS
Average Number of Number of burden per Type of respondents Form name respondents responses per response respondent (in hours)
Potential Sponsors ...... Initial Application ...... 3 1 3.5 Annual Report ...... 34 1 28/60 Report for Course Changes ...... 24 1 30/60 Renewal Application ...... 13 1 6 Refresher Course Application ...... 3 1 8 One-Time Customer Satisfaction Survey ...... 32 1 12/60
Jeffrey M. Zirger, (SDRR) of the Advisory Board on FOR FURTHER INFORMATION CONTACT: Lead, Information Collection Review Office, Radiation and Worker Health (ABRWH Rashaun Roberts, Ph.D., Designated Office of Scientific Integrity, Office of Science, or the Advisory Board). This meeting is Federal Officer, NIOSH, CDC, 1090 Centers for Disease Control and Prevention. open to the public, but without a public Tusculum Avenue, Mailstop C–24, [FR Doc. 2020–20759 Filed 9–18–20; 8:45 am] comment period. The public is welcome Cincinnati, Ohio 45226, Telephone: BILLING CODE 4163–18–P to submit written comments in advance (513) 533–6800, Toll Free 1(800)CDC– of the meeting, to the contact person INFO, Email: [email protected]. below. Written comments received in SUPPLEMENTARY INFORMATION: DEPARTMENT OF HEALTH AND advance of the meeting will be included HUMAN SERVICES in the official record of the meeting. The Background: The Advisory Board was public is also welcomed to listen to the established under the Energy Employees Centers for Disease Control and meeting by joining the audio conference Occupational Illness Compensation Prevention (information below). The audio Program Act of 2000 to advise the President on a variety of policy and Advisory Board on Radiation and conference line has 150 ports for callers. technical functions required to Worker Health (ABRWH), DATES: The meeting will be held on implement and effectively manage the Subcommittee on Dose November 4, 2020, from 10:30 a.m. to new compensation program. Key Reconstruction Reviews (SDRR), 4:00 p.m., EST. Written comments must functions of the Advisory Board include National Institute for Occupational be received on or before October 28, providing advice on the development of Safety and Health (NIOSH); Meeting 2020. probability of causation guidelines that AGENCY: Centers for Disease Control and ADDRESSES: You may submit comments have been promulgated by the Prevention (CDC), Department of Health by mail to: Sherri Diana, National Department of Health and Human and Human Services (HHS). Institute for Occupational Safety and Services (HHS) as a final rule; advice on ACTION: Notice of meeting. Health, 1090 Tusculum Avenue, MS C– methods of dose reconstruction, which 34, Cincinnati, Ohio 45226. have also been promulgated by HHS as SUMMARY: In accordance with the Meeting Information: Audio a final rule; advice on the scientific Federal Advisory Committee Act, the Conference Call via FTS Conferencing. validity and quality of dose estimation CDC announces the following meeting The USA toll-free dial-in number is 1– and reconstruction efforts being for the Subcommittee for Dose 866–659–0537; the pass code is performed for purposes of the Reconstruction Reviews Subcommittee 9933701. compensation program; and advice on
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petitions to add classes of workers to the committee management activities, for documents or comments received, go to Special Exposure Cohort (SEC). both the Centers for Disease Control and https://www.regulations.gov. In December 2000, the President Prevention and the Agency for Toxic FOR FURTHER INFORMATION CONTACT: delegated responsibility for funding, Substances and Disease Registry. Stephanie Thomas, ACIP Committee staffing, and operating the Advisory Kalwant Smagh, Management Specialist, Centers for Board to HHS, which subsequently Disease Control and Prevention, delegated this authority to CDC. NIOSH Director, Strategic Business Initiatives Unit, Office of the Chief Operating Officer, Centers National Center for Immunization and implements this responsibility for CDC. Respiratory Diseases, 1600 Clifton Road The charter was issued on August 3, for Disease Control and Prevention. [FR Doc. 2020–20706 Filed 9–18–20; 8:45 am] NE, MS–H24–8, Atlanta, GA 30329– 2001, renewed at appropriate intervals, 4027; Telephone: 404–639–8367; Email: BILLING CODE 4163–18–P and rechartered under Executive Order [email protected]. 13889 on March 22, 2020, and will SUPPLEMENTARY INFORMATION: terminate on March 22, 2022. Purpose: Purpose: The Advisory Board is DEPARTMENT OF HEALTH AND The committee is charged with advising charged with (a) providing advice to the HUMAN SERVICES the Director, CDC, on the use of Secretary, HHS, on the development of immunizing agents. In addition, under Centers for Disease Control and guidelines under Executive Order 42 U.S.C. 1396s, the committee is Prevention 13179; (b) providing advice to the mandated to establish and periodically Secretary, HHS, on the scientific [Docket No. CDC–2020–0100] review and, as appropriate, revise the validity and quality of dose list of vaccines for administration to reconstruction efforts performed for this Advisory Committee on Immunization vaccine-eligible children through the program; and (c) upon request by the Practices (ACIP) Vaccines for Children (VFC) program, Secretary, HHS, advise the Secretary on along with schedules regarding dosing AGENCY: Centers for Disease Control and whether there is a class of employees at interval, dosage, and contraindications Prevention (CDC), Department of Health to administration of vaccines. Further, any Department of Energy facility who and Human Services (HHS). were exposed to radiation but for whom under provisions of the Affordable Care it is not feasible to estimate their ACTION: Notice of meeting and request Act, section 2713 of the Public Health radiation dose, and on whether there is for comment. Service Act, immunization recommendations of the ACIP that have reasonable likelihood that such SUMMARY: In accordance with the radiation doses may have endangered been approved by the Director of the Federal Advisory Committee Act, the Centers for Disease Control and the health of members of this class. Centers for Disease Control and SDRR was established to aid the Prevention and appear on CDC Prevention (CDC), announces the immunization schedules must be Advisory Board in carrying out its duty following meeting of the Advisory to advise the Secretary, HHS, on dose covered by applicable health plans. Committee on Immunization Practices Matters to be Considered: The agenda reconstruction. (ACIP). This meeting is open to the Matters to be Considered: The agenda will include discussions on COVID–19 public. Time will be available for public will include discussions on the vaccines, CDC immunization schedules, comment. The meeting will be webcast following dose reconstruction program seasonal influenza vaccines, live via the World Wide Web. quality management and assurance pneumococcal vaccines, orthopoxvirus activities: Dose reconstruction cases DATES: The meeting will be held on vaccine, dengue vaccine, recombinant under review from Set 28, possibly October 28–29, 2020 from 10:00 a.m. to zoster vaccine, rabies vaccines, and including cases involving, Oak Ridge 5:30 p.m., EDT (times subject to tickborne encephalitis vaccine. A Gaseous Diffusion Plant (K25), Y–12 change). recommendation vote on the CDC Plant, and Savannah River Site (SRS) Written comments must be received immunization schedules is scheduled. and potentially other Department of on or before October 29, 2020. Agenda items are subject to change as Energy and Atomic Weapons Employers ADDRESSES: For more information on priorities dictate. For more information facilities; Dose reconstruction cases ACIP please visit the ACIP website: on the meeting agenda visit https:// under review from Set 25, possibly http://www.cdc.gov/vaccines/acip/ www.cdc.gov/vaccines/acip/meetings/ including cases involving, Hooker index.html. meetings-info.html. Electrochemical, Nuclear Metals Inc., You may submit comments, identified Meeting Information: The meeting West Valley Demonstration Project, by Docket No. CDC–2020–0100 by any will be webcast live via the World Wide Carborundum, Metals and Controls Corp of the following methods: Web; for more information on ACIP and potentially other Department of • Federal eRulemaking Portal: please visit the ACIP website: http:// Energy and Atomic Weapons Employers https://www.regulations.gov. Follow the www.cdc.gov/vaccines/acip/index.html. facilities; and Dose reconstruction cases instructions for submitting comments. Public Participation under review from Set 27, possibly • Mail: Docket No. CDC–2020–0100, including cases involving, Oak Ridge c/o Attn: October ACIP Meeting, Centers Interested persons or organizations Gaseous Diffusion Plant (K25), Paducah for Disease Control and Prevention, are invited to participate by submitting Gaseous Diffusion Plant, SRS and 1600 Clifton Road NE, MS H24–8, written views, recommendations, and potentially other Department of Energy Atlanta, GA 30329–4027. data. Comments received are part of the and Atomic Weapons Employers Instructions: All submissions received public record and are subject to public facilities. must include the Agency name and disclosure. Do not include any The Director, Strategic Business Docket Number. All relevant comments information in your comment or Initiatives Unit, Office of the Chief received in conformance with the supporting materials that you consider Operating Officer, Centers for Disease https://www.regulations.gov suitability confidential or inappropriate for public Control and Prevention, has been policy will be posted without change to disclosure. If you include your name, delegated the authority to sign Federal https://www.regulations.gov, including contact information, or other Register notices pertaining to any personal information provided. For information that identifies you in the announcements of meetings and other access to the docket to read background body of your comments, that
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information will be on public display. Operating Officer, Centers for Disease between 30 and 60 days after CDC will review all submissions and Control and Prevention, has been publication of this document in the may choose to redact, or withhold, delegated the authority to sign Federal Federal Register. Therefore, a comment submissions containing private or Register notices pertaining to is best assured of having its full effect proprietary information such as Social announcements of meetings and other if OMB receives it within 30 days of Security numbers, medical information, committee management activities, for publication. inappropriate language, or duplicate/ both the Centers for Disease Control and near duplicate examples of a mass-mail Prevention and the Agency for Toxic ADDRESSES: Written comments and campaign. CDC will carefully consider Substances and Disease Registry. recommendations for the proposed all comments submitted into the docket. information collection should be sent Kalwant Smagh, CDC does not accept comment by email. within 30 days of publication of this Director, Strategic Business Initiatives Unit, Oral Public Comment: This meeting notice to www.reginfo.gov/public/do/ will include time for members of the Office of the Chief Operating Officer, Centers for Disease Control and Prevention. PRAMain. Find this particular public to make an oral comment. Oral information collection by selecting public comment will occur before any [FR Doc. 2020–20705 Filed 9–18–20; 8:45 am] BILLING CODE 4163–18–P ‘‘Currently under 30-day Review—Open scheduled votes including all votes for Public Comments’’ or by using the relevant to the ACIP’s Affordable Care search function. Act and Vaccines for Children Program DEPARTMENT OF HEALTH AND roles. Priority will be given to SUPPLEMENTARY INFORMATION: HUMAN SERVICES individuals who submit a request to Description: The ACF Office of make an oral public comment before the Administration for Children and Planning, Research, and Evaluation is meeting according to the procedures Families proposing a new information collection below. to learn more about how MIECHV- Procedure for Oral Public Comment: Submission for OMB Review; Family funded home visiting programs recruit All persons interested in making an oral Level Assessment and State of Home families for home visiting services. The public comment at the October ACIP Visiting (FLASH–V) Outreach and voluntary study will include a national meeting must submit a request at http:// Recruitment Study (New Collection) www.cdc.gov/vaccines/acip/meetings/ survey of MIECHV-funded program no later than 11:59 p.m., EDT, October AGENCY: Office of Planning, Research, managers, semi-structured interviews 21, 2020 according to the instructions and Evaluation, Administration for with program staff, and a review of provided. Children and Families, HHS. program outreach and recruitment If the number of persons requesting to ACTION: Request for public comment. materials. This descriptive work will speak is greater than can be reasonably capture how programs identify and accommodated during the scheduled SUMMARY: The Administration for recruit families to home visiting time, CDC will conduct a lottery to Children and Families (ACF) Office of services. The study will also capture determine the speakers for the Planning, Research, and Evaluation is how outreach and recruitment scheduled public comment session. requesting public comment on new data challenges and accomplishments related CDC staff will notify individuals collection activities to gather to capacity have changed since COVID– regarding their request to speak by email information about how Maternal, Infant, 19 and identify strategies programs have and Early Childhood Home Visiting by October 22, 2020. To accommodate used to address associated challenges. (MIECHV) state and territory local the significant interest in participation The activities and products from this implementing agencies (LIAs) and tribal in the oral public comment session of project will help ACF and the Health ACIP meetings, each speaker will be grantees recruit families for program participation and work with their Resources and Services Administration limited to 3 minutes, and each speaker to identify actionable bottlenecks in the may only speak once per meeting. community referral partners to recruit families. The project is designed to outreach and recruitment process to Written Public Comment: Written allow for the development and testing of comments must be received on or before examine challenges programs strategies to improve the delivery of October 29, 2020. Written public experience reaching caseload capacity MIECHV funded services. comments submitted by 72 hours prior and promising strategies to address how to the ACIP meeting will be provided to challenges might be overcome. Respondents: MIECHV funded state, ACIP members before the meeting. DATES: Comments due within 30 days of territory, or tribal grantee The Director, Strategic Business publication. OMB must make a decision administrators; program administrators; Initiatives Unit, Office of the Chief about the collection of information program managers; and frontline staff.
ANNUAL BURDEN ESTIMATES
Number of Average Instrument Total number responses per burden hours Total burden Annual burden of respondents respondent per response hours hours
Request for LIA Contact Information from MIECHV Leads 56 1 .25 14 7 LIA Survey ...... 779 1 .50 390 195 Interview Protocol Local Implementing Agency ...... 120 1 .75 90 45
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Estimated Total Annual Burden Comments submitted electronically, redacted/blacked out, will be available Hours: 247 hours. including attachments, to https:// for public viewing and posted on Authority: Social Security Act Title V www.regulations.gov will be posted to https://www.regulations.gov. Submit § 511 [42 U.S.C. 711]. As extended by the the docket unchanged. Because your both copies to the Dockets Management Bipartisan Budget Act of 2018 (Pub. L. 115– comment will be made public, you are Staff. If you do not wish your name and 123) through FY 22. solely responsible for ensuring that your contact information to be made publicly comment does not include any available, you can provide this John M. Sweet Jr., confidential information that you or a information on the cover sheet and not ACF/OPRE Certifying Officer. third party may not wish to be posted, in the body of your comments and you [FR Doc. 2020–20733 Filed 9–18–20; 8:45 am] such as medical information, your or must identify this information as BILLING CODE 4182–74–P anyone else’s Social Security number, or ‘‘confidential.’’ Any information marked confidential business information, such as ‘‘confidential’’ will not be disclosed as a manufacturing process. Please note except in accordance with 21 CFR 10.20 DEPARTMENT OF HEALTH AND that if you include your name, contact and other applicable disclosure law. For HUMAN SERVICES information, or other information that more information about FDA’s posting identifies you in the body of your Food and Drug Administration of comments to public dockets, see 80 comments, that information will be FR 56469, September 18, 2015, or access [Docket No. FDA–2020–D–1825] posted on https://www.regulations.gov. the information at: https:// • If you want to submit a comment www.govinfo.gov/content/pkg/FR-2015- Investigational COVID–19 with confidential information that you 09-18/pdf/2015-23389.pdf. Convalescent Plasma; Guidance for do not wish to be made available to the Docket: For access to the docket to Industry; Availability public, submit the comment as a read background documents or the written/paper submission and in the AGENCY: Food and Drug Administration, electronic and written/paper comments manner detailed (see ‘‘Written/Paper Health and Human Services (HHS). received, go to https:// Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the ACTION: Notice of availability. Written/Paper Submissions docket number, found in brackets in the SUMMARY: The Food and Drug heading of this document, into the Submit written/paper submissions as Administration (FDA or Agency) is ‘‘Search’’ box and follow the prompts follows: and/or go to the Dockets Management announcing the availability of a final • Mail/Hand delivery/Courier (for Staff, 5630 Fishers Lane, Rm. 1061, guidance entitled ‘‘Investigational written/paper submissions): Dockets Rockville, MD 20852, 240–402–7500. COVID–19 Convalescent Plasma.’’ The Management Staff (HFA–305), Food and You may submit comments on any guidance document provides Drug Administration, 5630 Fishers guidance at any time (see 21 CFR recommendations to healthcare Lane, Rm. 1061, Rockville, MD 20852. 10.115(g)(5)). providers and investigators on the use of • For written/paper comments Submit written requests for single investigational convalescent plasma for submitted to the Dockets Management copies of the guidance to the Office of the treatment of the Coronavirus Disease Staff, FDA will post your comment, as Communication, Outreach and 2019 (COVID–19) during the public well as any attachments, except for Development, Center for Biologics health emergency. The guidance information submitted, marked and Evaluation and Research (CBER), Food announced in this notice supersedes the identified, as confidential, if submitted and Drug Administration, 10903 New guidance of the same title dated April as detailed in ‘‘Instructions.’’ 2020 and updated in May 2020. The Instructions: All submissions received Hampshire Ave., Bldg. 71, Rm. 3128, guidance includes a discussion to must include the Docket No. FDA– Silver Spring, MD 20993–0002. Send facilitate the availability of 2020–D–1825 for ‘‘Investigational one self-addressed adhesive label to investigational convalescent plasma COVID–19 Convalescent Plasma.’’ assist the office in processing your when blood establishments, hospitals, Received comments will be placed in requests. The guidance may also be and healthcare providers collect plasma the docket and, except for those obtained by mail by calling CBER at 1– that does not meet the Conditions of submitted as ‘‘Confidential 800–835–4709 or 240–402–8010. See Authorization of the Emergency Use Submissions,’’ publicly viewable at the SUPPLEMENTARY INFORMATION section Authorization (EUA). The guidance also https://www.regulations.gov or at the for electronic access to the guidance provides recommendations for Dockets Management Staff between 9 document. healthcare providers who wish to a.m. and 4 p.m., Monday through FOR FURTHER INFORMATION CONTACT: administer and study convalescent Friday, 240–402–7500. Shruti Modi, Center for Biologics plasma under an investigational new • Confidential Submissions—To Evaluation and Research, Food and drug (IND) application. submit a comment with confidential Drug Administration, 10903 New DATES: The announcement of the information that you do not wish to be Hampshire Ave., Bldg. 71, Rm. 7301, guidance is published in the Federal made publicly available, submit your Silver Spring, MD 20993–0002, 240– Register on September 21, 2020. comments only as a written/paper 402–7911. ADDRESSES: You may submit either submission. You should submit two SUPPLEMENTARY INFORMATION: electronic or written comments on copies total. One copy will include the I. Background Agency guidances at any time as information you claim to be confidential follows: with a heading or cover note that states FDA is announcing the availability of ‘‘THIS DOCUMENT CONTAINS a guidance entitled ‘‘Investigational Electronic Submissions CONFIDENTIAL INFORMATION.’’ The COVID–19 Convalescent Plasma.’’ The Submit electronic comments in the Agency will review this copy, including guidance provides recommendations to following way: the claimed confidential information, in healthcare providers and investigators • Federal eRulemaking Portal: its consideration of comments. The on the use of investigational https://www.regulations.gov. Follow the second copy, which will have the convalescent plasma for the treatment of instructions for submitting comments. claimed confidential information COVID–19 during the public health
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emergency. The guidance announced in enforcement discretion and beyond, III. Electronic Access this notice supersedes the guidance of FDA will continue to work with any Persons with access to the internet the same title dated April 2020 and investigators who wish to submit INDs may obtain the guidance at either updated in May 2020, and provides for the study of investigational https://www.fda.gov/vaccines-blood- recommendations and additional convalescent plasma and that ongoing biologics/guidance-compliance- information related to the August 23, clinical trials of investigational regulatory-information-biologics/ 2020, EUA for COVID–19 convalescent convalescent plasma should not be biologics-guidances or https:// plasma for the treatment of hospitalized amended because of this enforcement www.regulations.gov. patients with COVID–19.1 Accordingly, discretion policy. The guidance also FDA is replacing the May 2020 guidance provides recommendations for Dated: September 16, 2020. to provide recommendations to healthcare providers who wish to Lauren K. Roth, healthcare providers for administering administer and study convalescent Associate Commissioner for Policy. COVID–19 convalescent plasma under plasma under an IND. [FR Doc. 2020–20800 Filed 9–18–20; 8:45 am] the EUA. The new guidance also In light of this public health BILLING CODE 4164–01–P provides recommendations to blood emergency, FDA has determined that establishments on collection of COVID– prior public participation for this 19 convalescent plasma under the EUA, guidance is not feasible or appropriate DEPARTMENT OF HEALTH AND including on donor eligibility and and is issuing this guidance without HUMAN SERVICES qualification, testing plasma for anti- prior public comment (see section SARS-CoV2 antibodies, and labeling. Food and Drug Administration In addition, the guidance describes 701(h)(1)(C)(i) of the Federal Food, [Docket No. FDA–2020–D–1825] FDA’s interim compliance and Drug, and Cosmetic Act (21 U.S.C. 371(h)(1)(C)(i)) and § 10.115(g)(2)). enforcement policy regarding the IND Investigational COVID–19 requirements for the use of Although this guidance is immediately in effect, FDA will consider all Convalescent Plasma; Guidance for investigational convalescent plasma. Industry; Withdrawal of Guidance Following issuance of the EUA for comments received and revise the COVID–19 convalescent plasma on guidance document as appropriate. AGENCY: Food and Drug Administration, August 23, 2020, FDA has received In the Federal Register of May 26, Health and Human Services (HHS). numerous inquiries from blood 2020 (85 FR 31513), FDA announced the ACTION: Notice; withdrawal. establishments and healthcare providers availability of a guidance of the same regarding investigational convalescent title. Elsewhere in this issue of the SUMMARY: The Food and Drug plasma that was collected prior to the Federal Register, FDA is announcing Administration (FDA or Agency) is EUA and that remains in inventory. the withdrawal of the guidance of the announcing the withdrawal of a final FDA understands that investigational same title that was announced on May guidance for industry entitled convalescent plasma collected prior to 26, 2020. ‘‘Investigational COVID–19 the EUA may not meet the Conditions This guidance is being issued Convalescent Plasma,’’ which was of Authorization set forth in the EUA. consistent with FDA’s good guidance issued in April 2020 and updated in FDA also understands that it will take practices regulation (21 CFR 10.115). May 2020. FDA is withdrawing the time for blood establishments to The guidance represents the current guidance because the Agency is issuing develop the necessary operating thinking of FDA on investigational a new guidance for industry of the same procedures to manufacture COVID–19 COVID–19 convalescent plasma. It does title. convalescent plasma pursuant to the not establish any rights for any person DATES: The withdrawal is applicable Conditions of Authorization in the EUA. and is not binding on FDA or the public. September 21, 2020. In addition, the Agency is aware that You can use an alternative approach if FOR FURTHER INFORMATION CONTACT: enrollment into the National Expanded it satisfies the requirements of the Shruti Modi, Center for Biologics Access Treatment Protocol sponsored by applicable statutes and regulations. Evaluation and Research, Food and the Mayo Clinical was discontinued as Drug Administration, 10903 New of August 28, 2020. II. Paperwork Reduction Act of 1995 Considering these issues and Hampshire Ave., Bldg. 71, Rm. 7301, recognizing the immediate need for While this guidance contains no Silver Spring, MD 20993–0002, 240– convalescent plasma to treat collection of information, it does refer to 402–7911. hospitalized patients with COVID–19, previously approved FDA collections of SUPPLEMENTARY INFORMATION: FDA is the guidance explains that FDA intends information. Therefore, clearance by the withdrawing the guidance for industry to exercise enforcement discretion with Office of Management and Budget entitled ‘‘Investigational COVID–19 respect to the IND requirements for the (OMB) under the Paperwork Reduction Convalescent Plasma’’ (May 2020 collection, shipment, and Act of 1995 (PRA) (44 U.S.C. 3501– guidance) dated April 2020 and updated administration of investigational 3521) is not required for this guidance. May 2020. The availability of this convalescent plasma for a period of 90 The previously approved collections of guidance was announced in the Federal days following the issuance of the information are subject to review by Register of May 26, 2020, (85 FR 31513) guidance document provided certain OMB under the PRA. The collections of and was posted on FDA’s website on circumstances are present. The guidance information in 21 CFR part 312 have May 1, 2020. outlines these circumstances and been approved under OMB control On August 23, 2020, the Agency explains that during this period of number 0910–0014; the collections of issued an emergency use authorization information in 21 CFR 606.121 and 21 (EUA) (available at: https:// 1 Emergency Use Authorization for COVID–19 CFR part 630 have been approved under www.fda.gov/emergency-preparedness- Convalescent Plasma available at https:// OMB control number 0910–0116; and and-response/mcm-legal-regulatory- www.fda.gov/emergency-preparedness-and- response/mcm-legal-regulatory-and-policy- the collections of information in Form and-policy-framework/emergency-use- framework/emergency-use- FDA 3926 have been approved under authorization#coviddrugs) for COVID– authorization#coviddrugs. OMB control number 0910–0814. 19 convalescent plasma for the
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treatment of hospitalized patients with 2012, respectively.2 Human 2. Improve the health of people by COVID–19. Given the issuance of this papillomavirus (HPV), the most reducing adverse outcomes of STIs EUA, FDA is issuing a new guidance of common STI, accounts for 14 million 3. Accelerate progress in STI research, the same title that provides new STI infections each year.3 Left technology, and innovation recommendations and additional untreated, STIs can lead to significant 4. Reduce STI-related health disparities information related to the EUA for the health consequences. and health inequities use of COVID–19 convalescent plasma To spur action to reduce STI rates and 5. Achieve integrated, coordinated to treat hospitalized patients with their adverse public health impact, efforts that address the STI epidemic COVID–19. The new guidance OASH through OIDP, in collaboration with federal partners throughout HHS A roadmap for stakeholders at all supersedes the May 2020 guidance. levels and sectors, the STI Plan Elsewhere in this issue of the Federal and other departments, led and coordinated development of the envisions a whole-of-nation response to Register, FDA is announcing the preventing and controlling STIs in the availability of the new guidance. inaugural STI Plan. Opportunities for public input were provided, and public United States. The STI Plan assumes the Dated: September 16, 2020. comments received were reviewed, and active participation of state, local, and Lauren K. Roth, analyzed and helped inform the tribal health departments and Associate Commissioner for Policy. components of the STI Plan. organizations, health plans and health [FR Doc. 2020–20801 Filed 9–18–20; 8:45 am] The STI Plan is intended to serve as care providers, schools and other BILLING CODE 4164–01–P a roadmap for all stakeholders at all academic institutions, community- and levels to guide development of policies, faith-based organizations, scientists, initiatives, and actions for STI researchers, and the public in this effort. DEPARTMENT OF HEALTH AND prevention and control. The STI Plan The priority populations, indicators, HUMAN SERVICES focuses on four of the STIs that have the and quantitative targets, especially the greatest impact on the health of the methods used to determine them, are Request for Information: STI National nation: chlamydia, gonorrhea, syphilis, intended to help focus efforts and Strategic Plan 2021–2025 Available for and HPV. However, most of its limited resources to realize the most Public Comment components are also applicable to other impact. Stakeholders are encouraged to AGENCY: Office of the Secretary, prevalent STIs. focus on activities that resonate the Department of Health and Human The STI Plan presents a strategic most with the needs of the populations Services. framework for integrating and they serve and services they provide, and, using the STI Plan as a framework, ACTION: Notice. leveraging synergistic policies, programs, and resources. It sets forth a develop their own plans to reverse the SUMMARY: The Department of Health and vision and goals for the nation, with rise of STIs and improve the health of Human Services (HHS) Office of objectives and strategies for each goal. their communities, states, tribal nations, Infectious Disease and HIV/AIDS Policy The objectives and strategies offered in and the nation. this plan are interrelated and may be (OIDP) in the Office of the Assistant Information Needs Secretary for Health (OASH) announces used to make progress toward more than the draft Sexually Transmitted one goal. The STI Plan identifies The draft STI Plan may be reviewed Infections National Strategic Plan 2021– priority populations (i.e., those at: www.hhs.gov/STI. 2025 (STI Plan) available for public populations disproportionately OIDP seeks to obtain feedback from comment. The draft STI Plan may be impacted by STIs based on national external stakeholders on the following: reviewed at www.hhs.gov/STI. data) to guide national efforts to realize 1. Do the draft plan’s goals, objectives, DATES: All comments must be received the highest impact on reducing STIs. and strategies appropriately address the by 5:00 p.m. ET on October 1, 2020 to The STI Plan also includes indicators to STI epidemic? ensure consideration. measure progress and quantitative 2. Are there any critical gaps in the targets for each indicator. Although it is ADDRESSES: All comments must be STI Plan’s goals, objectives, and submitted electronically to STDPlan@ a 5-year plan, it sets 10-year quantitative strategies? If so, please specify the gaps. hhs.gov. targets for each indicator—reflecting the 3. Do any of the STI Plan’s goals, reality that it will take more than 5 years objectives and strategies cause concern? FOR FURTHER INFORMATION CONTACT: to reverse, not just slow, the upward If so, please specify the goal, objective Carol Jimenez, OIDP, Carol.Jimenez@ trajectory of rising STI rates, and to or strategy, and describe the concern hhs.gov, 202–401–5131. eliminate the epidemic. The order in regarding it. SUPPLEMENTARY INFORMATION: Persistent which the goals, objectives, strategies, Please be succinct and limit your rises in the rates of sexually transmitted and indicators are presented is not comments to a maximum of seven infections (STIs) in the United States associated with any prioritization. pages. constitute an epidemic and public The following are the STI Plan’s health crisis with profound implications vision and goals. Vision: The United Authority: 77 FR 15761 (March 16, 2012). for all Americans. In recent decades, States will be a place where sexually Dated: September 15, 2020. rates of chlamydia, gonorrhea, syphilis, transmitted infections are prevented and B. Kaye Hayes, congenital syphilis, and human where every person has high-quality STI Acting Director, Office of Infectious Disease papillomavirus have increased prevention, care, and treatment while and HIV/AIDS Policy. significantly. The rate of chlamydia, the living free from stigma and most prevalent STI, increased by greater discrimination. This vision includes all Footnotes than 200% from 2011 to 2018.1 In just people, regardless of age, sex, gender 1. Centers for Disease Control and over a decade, the rate of gonorrhea rose identity, sexual orientation, race, Prevention. Sexually Transmitted by greater than 80% from a historic low. ethnicity, disability, geographic Disease Surveillance 2018. U.S. The rates of primary and secondary location, or socioeconomic Department of Health and Human syphilis and of congenital syphilis circumstance. Goals: Services; 2019. Accessed June 22, increased every year since 2001 and 1. Prevent new STIs 2020. https://www.cdc.gov/std/
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stats18/STDSurveillance2018-full- SUPPLEMENTARY INFORMATION: Notice of There will be multiple public report.pdf this meeting is given under the comment periods held during the 2. Centers for Disease Control and authority of the Federal Advisory meeting on October 7, 2020. Speakers Prevention. Sexually Transmitted Committee Act, 5 U.S.C. Appendix. The are requested to limit their comments to Disease Surveillance 2018. U.S. Commercial Customs Operations two (2) minutes or less to facilitate Department of Health and Human Advisory Committee (COAC) provides greater participation. Please note that Services; 2019. Accessed June 22, advice to the Secretary of Homeland the public comment period for speakers 2020. https://www.cdc.gov/std/ Security, the Secretary of the Treasury, may end before the time indicated on stats18/STDSurveillance2018-full- and the Commissioner of U.S. Customs the schedule that is posted on the CBP report.pdf and Border Protection (CBP) on matters web page, http://www.cbp.gov/trade/ 3. About HPV. Centers for Disease pertaining to the commercial operations stakeholder-engagement/coac. Control and Prevention. Accessed July of CBP and related functions within the Agenda 14, 2020. https://www.cdc.gov/hpv/ Department of Homeland Security and parents/about-hpv.html the Department of the Treasury. The COAC will hear from the current subcommittees on the topics listed [FR Doc. 2020–20677 Filed 9–18–20; 8:45 am] Pre-registration: For members of the below and then will review, deliberate, BILLING CODE 4150–43–P public who plan to participate via webinar, please register online at provide observations, and formulate https://teregistration.cbp.gov/ recommendations on how to proceed: index.asp?w=211 by 5:00 p.m. EDT by 1. The Intelligent Enforcement DEPARTMENT OF HOMELAND Subcommittee will discuss its White SECURITY October 6, 2020. For members of the public who are pre-registered to attend Paper on Enforcement Modernization to support CBP’s 21st Century Customs U.S. Customs and Border Protection the webinar and later need to cancel, please do so by October 6, 2020, Framework, which aims to further [Docket No. USCBP–2020–0053] utilizing the following link: https:// improve risk management and the teregistration.cbp.gov/ impact of efforts to detect high-risk Commercial Customs Operations cancel.asp?w=211. activity, deter non-compliance, and Advisory Committee (COAC); Meeting Please feel free to share this disrupt fraudulent behavior by better AGENCY: U.S. Customs and Border information with other interested utilizing technology, big data, and Protection (CBP), Department of members of your organization or predictive analysis to drive decision- Homeland Security (DHS). association. making. The subcommittee also will discuss prioritized past ACTION: To facilitate public participation, we Committee Management; notice recommendations and any new of Federal Advisory Committee meeting. are inviting public comment on the issues the committee will consider prior recommendations from the Anti- SUMMARY: The Commercial Customs to the formulation of recommendations Dumping/Countervailing Duty (AD/ Operations Advisory Committee (COAC) as listed in the Agenda section below. CVD), Bond, Intellectual Property Rights will hold its quarterly meeting on Comments must be submitted in (IPR), and Forced Labor Working Wednesday, October 7, 2020. The writing no later than October 6, 2020, Groups. The Forced Labor Working meeting will be open to the public via and must be identified by Docket No. Group will present recommendations on webinar only. There is no on-site, in- USCBP–2020–0053, and may be CBP’s existing forced labor allegations person option for this quarterly meeting. submitted by one (1) of the following submission mechanisms including the e-Allegations web portal. DATES: The COAC will meet on methods: • Federal eRulemaking Portal: http:// 2. The Secure Trade Lanes Wednesday, October 7, 2020, from 1:00 Subcommittee will provide updates on p.m. to 5:00 p.m. EDT. Please note that www.regulations.gov. Follow the instructions for submitting comments. the Trusted Trader Working Group’s the meeting may close early if the • activities specific to the CTPAT Trade committee has completed its business. Email: [email protected]. Include the docket number in the Compliance program enhancements Comments must be submitted in writing including benefits, Participating no later than October 6, 2020. subject line of the message. • Mail: Ms. Florence Constant- Government Agency engagement, and ADDRESSES: The meeting will be held Gibson, Office of Trade Relations, U.S. forced labor. The Export Modernization via webinar. The webinar link and Customs and Border Protection, 1300 Working Group will provide updates conference number will be provided to Pennsylvania Avenue NW, Room 3.5A, and recommendations focusing on all registrants by 10:00 a.m. EDT on Washington, DC 20229. improving current export processes. The October 7, 2020. For information on Instructions: All submissions received subcommittee will also report on the facilities or services for individuals with must include the words ‘‘Department of activities of the Remote and disabilities or to request special Homeland Security’’ and the docket Autonomous Cargo Processing Working assistance at the meeting, contact Ms. number (USCBP–2020–0053) for this Group. Florence Constant-Gibson, Office of action. Comments received will be 3. The Next Generation Facilitation Trade Relations, U.S. Customs and posted without alteration at http:// Subcommittee will provide an update Border Protection (CBP), at (202) 344– www.regulations.gov. Please do not on the progress of the One U.S. 1440, as soon as possible. submit personal information to this Government Working Group with FOR FURTHER INFORMATION CONTACT: Ms. docket. Partner Government Agencies regarding Florence Constant-Gibson, Office of Docket: For access to the docket or to advancement in Trusted Trader Trade Relations, U.S. Customs and read background documents or initiatives. There will be an update on Border Protection, 1300 Pennsylvania comments, go to http:// the progress of the Unified Entry Avenue NW, Room 3.5A, Washington, www.regulations.gov and search for Processing Working Group’s operational DC 20229; telephone (202) 344–1440; or Docket Number USCBP–2020–0053. To framework. Finally the Emerging Ms. Valarie Neuhart, Deputy Executive submit a comment, click the ‘‘Comment Technologies Working Group will Director and Designated Federal Officer, Now!’’ button located on the top-right provide an assessment of various at (202) 344–1440. hand side of the docket page. technologies evaluated this past quarter
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that could be adapted for CBP and the PRAMain. Find this particular whether the information shall have trade. information collection by selecting practical utility; (b) evaluate the 4. The Rapid Response Subcommittee ‘‘Currently under 30-day Review—Open accuracy of the agency’s estimate of the will provide updates on the United for Public Comments’’ or by using the burden of the proposed collection of States—Mexico—Canada Agreement search function. information, including the validity of (USMCA) Automotive Working Group FOR FURTHER INFORMATION CONTACT: the methodology and assumptions used; activities regarding the plans for Auto Requests for additional information or (c) enhance the quality, utility, and Certification Submissions and copies of the information collection clarity of the information to be challenges/concerns post entry into should be made to Director, Information collected; and (d) minimize the burden force of the USMCA. The Broker Exam Management Division, email address of the collection of information on those Modernization Working Group will FEMA-Information-Collections- who are to respond, including through discuss alternate locations for broker [email protected] or Office of the use of appropriate automated, exams and remote proctoring exam Policy and Program Analysis, Marc electronic, mechanical, or other options. Geier, Federal Emergency Management technological collection techniques or Meeting materials will be available by Agency, 500 C Street SW, Washington, other forms of information technology, October 5, 2020, at: http://www.cbp.gov/ DC 20472, (telephone) 202–924–0196, or e.g., permitting electronic submission of trade/stakeholder-engagement/coac/ (email) [email protected]. responses. coac-public-meetings. SUPPLEMENTARY INFORMATION: This Maile Arthur, Dated: September 16, 2020. proposed information collection Acting Records Management Branch Chief, Valarie M. Neuhart, previously published in the Federal Office of the Chief Administrative Officer, Deputy Executive Director, Office of Trade Register on July 17, 2020 at 85 FR 43592 Mission Support, Federal Emergency Relations. with a 60-day public comment period. Management Agency, Department of Homeland Security. [FR Doc. 2020–20747 Filed 9–18–20; 8:45 am] No comments were received. The [FR Doc. 2020–20774 Filed 9–18–20; 8:45 am] BILLING CODE 9111–14–P purpose of this notice is to notify the public that FEMA will submit the BILLING CODE 9111–19–P information collection abstracted below DEPARTMENT OF HOMELAND to the Office of Management and Budget SECURITY for review and clearance. DEPARTMENT OF HOMELAND SECURITY Federal Emergency Management Collection of Information Federal Emergency Management Agency Title: Letter of Attestation regarding Agency [Docket ID FEMA–2020–0018; OMB No. Export of Certain Scarce or Threatened 1660–0148] Medical Resources. [Docket ID FEMA–2020–0002; Internal Type of information collection: Agency Docket No. FEMA–B–2053] Agency Information Collection Revision of a currently approved Activities: Submission for OMB information collection. Proposed Flood Hazard Review; Comment Request; Letter of OMB Number: 1660–0148. Determinations Attestation Regarding Export of Form Titles and Numbers: None. AGENCY: Federal Emergency Certain Scarce or Threatened Medical Abstract: FEMA requires a letter of Management Agency, DHS. Resources attestation regarding the Export of ACTION: Notice. Certain Scarce or Threatened Medical AGENCY: Federal Emergency Resources be submitted to FEMA via SUMMARY: Comments are requested on Management Agency, DHS. CPB’s document imaging system and proposed flood hazard determinations, ACTION: 30 Day notice and request for placed on file with CBP, certifying to which may include additions or comments. FEMA the purpose of the shipment of modifications of any Base Flood covered materials. Elevation (BFE), base flood depth, SUMMARY: The Federal Emergency Affected Public: For-Profit Business. Special Flood Hazard Area (SFHA) Management Agency (FEMA) will Estimated Number of Respondents: boundary or zone designation, or submit the information collection 168. regulatory floodway on the Flood abstracted below to the Office of Estimated Number of Responses: 168. Insurance Rate Maps (FIRMs), and Management and Budget for review and Estimated Total Annual Burden where applicable, in the supporting clearance in accordance with the Hours: 84. Flood Insurance Study (FIS) reports for requirements of the Paperwork Estimated Total Annual Respondent the communities listed in the table Reduction Act of 1995. The submission Cost: $8,568. below. The purpose of this notice is to will describe the nature of the Estimated Respondents’ Operation seek general information and comment information collection, the categories of and Maintenance Costs: None. regarding the preliminary FIRM, and respondents, the estimated burden (i.e., Estimated Respondents’ Capital and where applicable, the FIS report that the the time, effort and resources used by Start-Up Costs: None. Federal Emergency Management Agency respondents to respond) and cost, and Estimated Total Annual Cost to the (FEMA) has provided to the affected the actual data collection instruments Federal Government: $9,933. communities. The FIRM and FIS report FEMA will use. are the basis of the floodplain DATES: Comments must be submitted on Comments management measures that the or before October 21, 2020. Comments may be submitted as community is required either to adopt ADDRESSES: Written comments and indicated in the ADDRESSES caption or to show evidence of having in effect recommendations for the proposed above. Comments are solicited to (a) in order to qualify or remain qualified information collection should be sent evaluate whether the proposed data for participation in the National Flood within 30 days of publication of this collection is necessary for the proper Insurance Program (NFIP). In addition, notice to www.reginfo.gov/public/do/ performance of the agency, including the FIRM and FIS report, once effective,
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will be used by insurance agents and determinations for each community other pertinent sciences established to others to calculate appropriate flood listed below, in accordance with section review conflicting scientific and insurance premium rates for new 110 of the Flood Disaster Protection Act technical data and provide buildings and the contents of those of 1973, 42 U.S.C. 4104, and 44 CFR recommendations for resolution. Use of buildings. 67.4(a). the SRP only may be exercised after DATES: Comments are to be submitted These proposed flood hazard FEMA and local communities have been on or before December 21, 2020. determinations, together with the engaged in a collaborative consultation floodplain management criteria required ADDRESSES: The Preliminary FIRM, and process for at least 60 days without a by 44 CFR 60.3, are the minimum that where applicable, the FIS report for mutually acceptable resolution of an are required. They should not be each community are available for appeal. Additional information construed to mean that the community inspection at both the online location must change any existing ordinances regarding the SRP process can be found https://www.fema.gov/ that are more stringent in their online at https://www.floodsrp.org/pdfs/ preliminaryfloodhazarddata and the _ floodplain management requirements. srp overview.pdf. respective Community Map Repository The community may at any time enact The watersheds and/or communities address listed in the tables below. stricter requirements of its own or affected are listed in the tables below. Additionally, the current effective FIRM pursuant to policies established by other and FIS report for each community are The Preliminary FIRM, and where Federal, State, or regional entities. accessible online through the FEMA applicable, FIS report for each These flood hazard determinations are Map Service Center at https:// community are available for inspection used to meet the floodplain msc.fema.gov for comparison. at both the online location https:// management requirements of the NFIP You may submit comments, identified www.fema.gov/ and are used to calculate the by Docket No. FEMA–B–2053, to Rick preliminaryfloodhazarddata and the appropriate flood insurance premium Sacbibit, Chief, Engineering Services respective Community Map Repository rates for new buildings built after the Branch, Federal Insurance and address listed in the tables. For FIRM and FIS report become effective. Mitigation Administration, FEMA, 400 The communities affected by the communities with multiple ongoing C Street SW, Washington, DC 20472, flood hazard determinations are Preliminary studies, the studies can be (202) 646–7659, or (email) provided in the tables below. Any identified by the unique project number [email protected]. request for reconsideration of the and Preliminary FIRM date listed in the FOR FURTHER INFORMATION CONTACT: Rick revised flood hazard information shown tables. Additionally, the current Sacbibit, Chief, Engineering Services on the Preliminary FIRM and FIS report effective FIRM and FIS report for each Branch, Federal Insurance and that satisfies the data requirements community are accessible online Mitigation Administration, FEMA, 400 outlined in 44 CFR 67.6(b) is considered through the FEMA Map Service Center C Street SW, Washington, DC 20472, an appeal. Comments unrelated to the at https://msc.fema.gov for comparison. (202) 646–7659, or (email) flood hazard determinations also will be [email protected]; or visit (Catalog of Federal Domestic Assistance No. considered before the FIRM and FIS 97.022, ‘‘Flood Insurance.’’) the FEMA Mapping and Insurance report become effective. eXchange (FMIX) online at https:// Use of a Scientific Resolution Panel Michael M. Grimm, www.floodmaps.fema.gov/fhm/fmx_ (SRP) is available to communities in Assistant Administrator for Risk main.html. support of the appeal resolution Management, Department of Homeland SUPPLEMENTARY INFORMATION: FEMA process. SRPs are independent panels of Security, Federal Emergency Management proposes to make flood hazard experts in hydrology, hydraulics, and Agency.
Community Community map repository address
Hampshire County, Massachusetts and Incorporated Areas Project: 17–01–0941S Preliminary Date: June 24, 2020
Town of Amherst ...... Town Hall, 4 Boltwood Avenue, Amherst, MA 01002.
Webster County, West Virginia and Incorporated Areas Project: 19–03–0002S Preliminary Date: November 22, 2019
Town of Camden-On-Gauley ...... Water Works Office, 9580 Webster Road, Camden-On-Gauley, WV 26208. Unincorporated Areas of Webster County ...... Webster County Office of Emergency Services Building, 210 Back Fork Street, Webster Springs, WV 26288.
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[FR Doc. 2020–20795 Filed 9–18–20; 8:45 am] for the coordination of services within subsistence, and other necessary BILLING CODE 9110–12–P the BIE and with other local, State and expenses incurred in the performance of Federal agencies; (2) Provide advice and their duties in the same manner as recommendations on a broad range of persons employed intermittently in DEPARTMENT OF THE INTERIOR policy issues dealing with the provision Government Service under 5 U.S.C. of educational services to American 5703. Bureau of Indian Affairs Indian children with disabilities; (3) (b) The Advisory Board meets at least Serve as advocates for American Indian twice a year, budget permitting, but [210A2100DD/AAKC001030/ A0A501010.999900 253G] students with special education needs additional meetings may be held as by providing advice and deemed necessary by the Assistant Request for Nominations of Members recommendations regarding best Secretary—Indian Affairs or the DFO. to Serve on the Bureau of Indian practices, effective program (c) All Advisory Board meetings are Education Advisory Board for coordination strategies, and open to the public in accordance with Exceptional Children recommendations for improved the Federal Advisory Committee Act educational programming; (4) Provide regulations. AGENCY: Bureau of Indian Affairs, advice and recommendations for the 4. Nomination Information Interior. preparation of information required to ACTION: Notice of request for be submitted to the Secretary of (a) Nominations are requested from nominations. Education under 20 U.S.C. 1411(h)(2); individuals, organizations, and federally (5) Provide advice and recommend recognized Tribes, as well as from State SUMMARY: Pursuant to the Federal policies concerning effective inter/intra Directors of Special Education (within Advisory Committee Act and the agency collaboration, including the 23 states in which BIE-funded Individuals with Disabilities Education modifications to regulations, and the schools are located) concerned with the Act of 2004 (IDEA), the Bureau of Indian elimination of barriers to inter- and education of Indian children with Education (BIE) requests nominations of intra-agency programs and activities; disabilities as described above. individuals to serve on the Advisory and (6) Report and direct all (b) Nominees should have expertise Board for Exceptional Children correspondence to the Assistant and knowledge of the issues and/or (Advisory Board). There will be seven Secretary—Indian Affairs through the needs of American Indian children with positions available. Board members Director, BIE with a courtesy copy to the disabilities. Such knowledge and serve a staggered term of two or three Designated Federal Officer (DFO). expertise are needed to provide advice years from the date of their and recommendations to the BIE appointment. The BIE will consider 2. Membership regarding the needs of American Indian nominations received in response to this (a) Pursuant to 20 U.S.C.1411(h)(6), children with disabilities. request for nominations, as well as other the Advisory Board will be composed of (c) A summary of the candidates’ sources. This notice provides committee up to 15 individuals involved in, or qualifications (resume or curriculum and membership criteria. concerned with, the education and vitae) must be included with a DATES: Please submit nominations by provision of services to American completed nomination application form, October 30, 2020. Indian infants, toddlers, children, and which is located on the Bureau of ADDRESSES: Please submit nominations youth with disabilities. The Advisory Indian Education website (see Section 6 to Ms. Jennifer Davis, Designated Board composition will reflect a broad of this notice, below). Nominees must Federal Officer (DFO), Bureau of Indian range of viewpoints and will include at have the ability to attend Advisory Education, Division of Performance and least one member representing each of Board meetings, carry out Advisory Accountability, 2600 N Central Ave., the following interests: American Board assignments, participate in Suite 800, Phoenix, AZ 85004, or Fax to Indians with disabilities; teachers of teleconference calls, and work in (602) 265–0293 or email to children with disabilities; American groups. [email protected]. Indian parents or guardians of children (d) The Department of the Interior is with disabilities; service providers; committed to equal opportunities in the FOR FURTHER INFORMATION CONTACT: State education officials; local education workplace and seeks diverse Committee Jennifer Davis, DFO, at Telephone (202) officials; State interagency coordinating membership, which is bound by Indian 860–7845; or email jennifer.davis@ councils (for States having Indian Preference Act of 1990 (25 U.S.C. 472). indianaffairs.gov. reservations); Tribal representatives or 5. Basis for Nominations SUPPLEMENTARY INFORMATION: The Tribal organization representatives; and Advisory Board was established in other members representing the various If you wish to nominate someone for accordance with the Federal Advisory divisions and entities of the BIE. appointment to the Advisory Board, Committee Act, Public Law 92–463. The (b) The Assistant Secretary—Indian please do not make the nomination until following provides information about Affairs may provide the Secretary of the the person has agreed to have his or her the Committee, the membership and the Interior recommendations for the name submitted to the BIE for this nomination process. chairperson; however, the chairperson purpose. A person can also self- and other Advisory Board members will nominate. 1. Objective and Duties be appointed by the Secretary of the 6. Nomination Application (a) Members of the Advisory Board Interior. Advisory Board members serve will provide guidance, advice, and staggered terms of two years or three Please submit a complete application recommendations with respect to years from the date of their form and a copy of the nominee’s special education and related services appointment. resume or curriculum vitae to the DFO for children with disabilities in BIE- by October 30, 2020. The nomination funded schools in accordance with the 3. Miscellaneous application form can be found on the requirements of IDEA; (a) Members of the Advisory Board BIE website at https://www.bie.edu/ (b) The Advisory Board will: (1) will not receive compensation, but will topic-page/special-education-advisory- Provide advice and recommendations be reimbursed for travel, including board
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7. Information Collection accordance with this legislative ADDRESSES: Written comments and This collection of information is mandate, the Bureau of Reclamation recommendations for the proposed authorized by OMB Control Number developed and published the Criteria for information collection should be sent 1076–0179, ‘‘Solicitation of Evaluating Water Management Plans within 30 days of publication of this Nominations for the Advisory Board for (Criteria). Each of the 13 entities listed notice to www.reginfo.gov/public/do/ Exceptional Children,’’ which expires below developed a Plan that PRAMain. Find this particular 02/28/2021. Reclamation evaluated and information collection by selecting preliminarily determined meets the ‘‘Currently under 30-day Review—Open (Authority: 5 U.S.C. Appendix 2; 20 U.S.C. requirements of the Criteria. The for Public Comments’’ or by using the 1400 et seq.). following Plans are available for review: search function. Please provide a copy Tara Sweeney, • City of Fairfield of your comments to Mark Gehlhar, Assistant Secretary—Indian Affairs. • City of Vacaville Office of Surface Mining Reclamation • [FR Doc. 2020–20749 Filed 9–18–20; 8:45 am] City of Vallejo and Enforcement, 1849 C. Street NW, • City of West Sacramento BILLING CODE 4337–15–P Room 4556–MIB, Washington, DC • Feather Water District 20240; or by email to mgehlhar@ • Maine Prairie Water District osmre.gov. Please reference OMB • DEPARTMENT OF THE INTERIOR Montectio Water District Control Number 1029–0118 in the • Orland-Artois Water District • subject line of your comments. Bureau of Reclamation Sacramento County Water Agency • Sacramento Municipal Utility District FOR FURTHER INFORMATION CONTACT: To [RR02054000, 20XR0687NA, • Solano Irrigation District request additional information about RX.18527901.3000000] • Stockton East Water District this ICR, contact Mark Gehlhar by email • Suisun-Solano Water Authority at [email protected], or by telephone Central Valley Project Improvement We invite the public to comment on at (202) 208–2716. You may also view Act Water Management Plans our preliminary (i.e., draft) the ICR at http://www.reginfo.gov/ public/do/PRAMain. AGENCY: Bureau of Reclamation, determination of Plan adequacy. Interior. A copy of these Plans will be SUPPLEMENTARY INFORMATION: In available for review at Reclamation’s accordance with the PRA and 5 CFR ACTION: Notice of availability. California Great Basin Regional Office, 1320.8(d)(1), we provide the general SUMMARY: The Bureau of Reclamation 2800 Cottage Way, CGB–410, public and other Federal agencies with has made available to the public the Sacramento, CA 95825. If you wish to an opportunity to comment on new, Water Management Plans for 13 entities. review a copy of these Plans or to proposed, revised, and continuing For the purpose of this announcement, receive an electronic copy via email, collections of information. This helps us Water Management Plans (Plans) are please contact Ms. Stemen listed in the assess the impact of our information considered the same as Water ADDRESSES section of this notice. collection requirements and minimize the public’s reporting burden. It also Conservation Plans. Reclamation is S. Looper, publishing this notice in order to allow helps the public understand our Acting Regional Resources Manager, CGB information collection requirements and the public an opportunity to review the Region, Bureau of Reclamation. Plans and comment on the preliminary provide the requested data in the determinations. [FR Doc. 2020–20719 Filed 9–18–20; 8:45 am] desired format. BILLING CODE 4332–90–P DATES: Submit written comments on the A Federal Register notice with a 60- preliminary determinations on or before day public comment period soliciting October 21, 2020. comments on this collection of DEPARTMENT OF THE INTERIOR information was published on June 16, ADDRESSES: Send written comments to 2020 (85 FR 36418). No comments were Ms. Charlene Stemen, Bureau of Office of Surface Mining Reclamation and Enforcement received. Reclamation, 2800 Cottage Way, CGB– As part of our continuing effort to 400, Sacramento, CA 95825; or via email [S1D1S SS08011000 SX064A000 reduce paperwork and respondent at [email protected]. 201S180110; S2D2S SS08011000 burdens, we are again soliciting FOR FURTHER INFORMATION CONTACT: To SX064A000 20XS501520; OMB Control comments from the public and other be placed on a mailing list for any Number 1029–0118] Federal agencies on the proposed ICR subsequent information, please contact Agency Information Collection that is described below. We are Ms. Charlene Stemen at cstemen@ especially interested in public comment usbr.gov, or at (916) 978–5218 (TDD Activities; Federal Inspections and Monitoring addressing the following: 978–5608). (1) Whether or not the collection of SUPPLEMENTARY INFORMATION: Section AGENCY: Office of Surface Mining information is necessary for the proper 3405(e) of the Central Valley Project Reclamation and Enforcement, Interior. performance of the functions of the Improvement Act (Title 34 Pub. L. 102– ACTION: Notice of information collection; agency, including whether or not the 575), requires the Secretary of the request for comment. information will have practical utility; Interior to, amongst other things, (2) The accuracy of our estimate of the ‘‘develop criteria for evaluating the SUMMARY: In accordance with the burden for this collection of adequacy of all water conservation Paperwork Reduction Act of 1995, we, information, including the validity of plans’’ developed by certain contractors. the Office of Surface Mining the methodology and assumptions used; According to Section 3405(e)(1), these Reclamation and Enforcement (OSMRE) (3) Ways to enhance the quality, criteria must promote, ‘‘the highest level are proposing to renew an information utility, and clarity of the information to of water use efficiency reasonably collection. be collected; and achievable by project contractors using DATES: Interested persons are invited to (4) How might the agency minimize best available cost-effective technology submit comments on or before October the burden of the collection of and best management practices.’’ In 21, 2020. information on those who are to
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respond, including through the use of INTERNATIONAL TRADE Samsung Electronics Co., Ltd. of South appropriate automated, electronic, COMMISSION Korea; Samsung Electronics America, mechanical, or other technological Inc. of Ridgefield Park, IL; Samsung collection techniques or other forms of Notice of Receipt of Complaint; Display Co., Ltd. of South Korea; and information technology, e.g., permitting Solicitation of Comments Relating To Sony Electronics Inc. of San Diego, CA. electronic submission of response. the Public Interest The complainant requests that the Commission issue a limited exclusion Comments that you submit in AGENCY: U.S. International Trade response to this notice are a matter of Commission. order, cease and desist orders, and impose a bond upon respondents’ public record. Before including your ACTION: Notice. address, phone number, email address, alleged infringing articles during the 60- or other personal identifying SUMMARY: Notice is hereby given that day Presidential review period pursuant information in your comment, you the U.S. International Trade to 19 U.S.C. 1337(j). should be aware that your entire Commission has received a complaint Proposed respondents, other comment—including your personal entitled Certain Active Matrix OLED interested parties, and members of the identifying information—may be made Display Devices and Components public are invited to file comments on publicly available at any time. While Thereof, DN 3490; the Commission is any public interest issues raised by the you can ask us in your comment to soliciting comments on any public complaint or § 210.8(b) filing. withhold your personal identifying interest issues raised by the complaint Comments should address whether information from public review, we or complainant’s filing pursuant to the issuance of the relief specifically cannot guarantee that we will be able to Commission’s Rules of Practice and requested by the complainant in this do so. Procedure. investigation would affect the public health and welfare in the United States, Abstract: For purposes of information FOR FURTHER INFORMATION CONTACT: Lisa competitive conditions in the United collection, this part establishes the R. Barton, Secretary to the Commission, procedures for any person to notify the States economy, the production of like U.S. International Trade Commission, or directly competitive articles in the Office of Surface Mining Reclamation 500 E Street SW, Washington, DC United States, or United States and Enforcement in writing of any 20436, telephone (202) 205–2000. The violation that may exist at a surface coal consumers. public version of the complaint can be In particular, the Commission is mining operation and to request a accessed on the Commission’s interested in comments that: Federal inspection. The information Electronic Document Information (i) Explain how the articles will be used to investigate potential System (EDIS) at https://edis.usitc.gov. potentially subject to the requested violations of the Act or applicable State For help accessing EDIS, please email remedial orders are used in the United regulations. [email protected]. States; Title of Collection: Federal General information concerning the (ii) identify any public health, safety, Inspections and Monitoring. Commission may also be obtained by or welfare concerns in the United States OMB Control Number: 1029–0118. accessing its internet server at United relating to the requested remedial Form Number: None. States International Trade Commission orders; (USITC) at https://www.usitc.gov . The Type of Review: Extension of a (iii) identify like or directly public record for this investigation may currently approved collection. competitive articles that complainant, be viewed on the Commission’s its licensees, or third parties make in the Respondents/Affected Public: Electronic Document Information Individuals/households. United States which could replace the System (EDIS) at https://edis.usitc.gov. subject articles if they were to be Total Estimated Number of Annual Hearing-impaired persons are advised Respondents: 15. excluded; that information on this matter can be (iv) indicate whether complainant, Total Estimated Number of Annual obtained by contacting the complainant’s licensees, and/or third Responses: 15. Commission’s TDD terminal on (202) party suppliers have the capacity to Estimated Completion Time per 205–1810. replace the volume of articles Response: 1 hour. SUPPLEMENTARY INFORMATION: The potentially subject to the requested Total Estimated Number of Annual Commission has received a complaint exclusion order and/or a cease and Burden Hours: 15. and a submission pursuant to § 210.8(b) desist order within a commercially Respondent’s Obligation: Required to of the Commission’s Rules of Practice reasonable time; and obtain or retain a benefit. and Procedure filed on behalf of Solas (v) explain how the requested Frequency of Collection: One time. OLED Ltd. on September 14, 2020. The remedial orders would impact United Total Estimated Annual Nonhour complaint alleges violations of section States consumers. Burden Cost: None. 337 of the Tariff Act of 1930 (19 U.S.C. Written submissions on the public An agency may not conduct or 1337) in the importation into the United interest must be filed no later than by sponsor and a person is not required to States, the sale for importation, and the close of business, eight calendar days respond to a collection of information sale within the United States after after the date of publication of this unless it displays a currently valid OMB importation of certain active matrix notice in the Federal Register. There control number. OLED display devices and components will be further opportunities for The authority for this action is the thereof. The complaint names as comment on the public interest after the Paperwork Reduction Act of 1995 (44 respondents: Apple Inc. of Cupertino, issuance of any final initial U.S.C. 3501 et seq.). CA; Dell Technologies Inc. of Round determination in this investigation. Any Rock, TX; LG Electronics Inc. of South written submissions on other issues Mark J. Gehlhar, Korea; LG Electronics USA, Inc. of must also be filed by no later than the Information Collection Clearance Officer, Englewood Cliffs, NJ; LG Display close of business, eight calendar days Division of Regulatory Support. America, Inc. of San Jose, CA; LG after publication of this notice in the [FR Doc. 2020–20757 Filed 9–18–20; 8:45 am] Display Co., Ltd. of South Korea; Federal Register. Complainant may file BILLING CODE 4310–05–P Motorola Mobility LLC of Chicago, IL; replies to any written submissions no
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later than three calendar days after the of 1930, as amended (19 U.S.C. 1337), respond, including the use of automated date on which any initial submissions and of §§ 201.10 and 210.8(c) of the collection techniques or other forms of were due. Any submissions and replies Commission’s Rules of Practice and information technology. filed in response to this Notice are Procedure (19 CFR 201.10, 210.8(c)). The Office of Workers’ Compensation limited to five (5) pages in length, By order of the Commission. Programs (OWCP) is the agency inclusive of attachments. Issued: September 15, 2020. responsible for administration of the Persons filing written submissions Federal Employees’ Compensation Act Lisa Barton, must file the original document (FECA), 5 U.S.C. 8101 et seq., the Black electronically on or before the deadlines Secretary to the Commission. Lung Benefits Act (BLBA), 30 U.S.C. 901 stated above. Submissions should refer [FR Doc. 2020–20721 Filed 9–18–20; 8:45 am] et seq., and the Energy Employees to the docket number (‘‘Docket No. BILLING CODE 7020–02–P Occupational Illness Compensation 3490’’) in a prominent place on the Program Act of 2000 (EEOICPA), 42 cover page and/or the first page. (See U.S.C. 7384 et seq. These statutes Handbook for Electronic Filing DEPARTMENT OF LABOR require OWCP to pay for appropriate Procedures, Electronic Filing medical and vocational rehabilitation Procedures 1). Please note the Office of the Secretary services provided to beneficiaries. In Secretary’s Office will accept only order for OWCP’s billing contractor to Agency Information Collection electronic filings during this time. pay providers of these services with its Activities; Submission for OMB Filings must be made through the automated bill processing system, Review; Comment Request; Provider Commission’s Electronic Document providers must ‘‘enroll’’ with one or Enrollment Form Information System (EDIS, https:// more of the OWCP programs that edis.usitc.gov.) No in-person paper- ACTION: Notice of availability; request administer the statutes by submitting based filings or paper copies of any for comments. certain profile information, including electronic filings will be accepted until identifying information, tax I.D. further notice. Persons with questions SUMMARY: The Department of Labor information, and whether they possess regarding filing should contact the (DOL) is submitting this Office of specialty or sub-specialty training. Form Secretary at [email protected]. Workers’ Compensation Programs OWCP–1168 is used to obtain this Any person desiring to submit a (OWCP)-sponsored information information from each provider. This document to the Commission in collection request (ICR) to the Office of ICR will be submitted to OMB as a confidence must request confidential Management and Budget (OMB) for follow-up to an emergency processing treatment. All such requests should be review and approval in accordance with request that was submitted to OMB on directed to the Secretary to the the Paperwork Reduction Act of 1995 February 14, 2020 which will allow for Commission and must include a full (PRA). Public comments on the ICR are implementation of the revised form as statement of the reasons why the invited. soon as possible. For additional Commission should grant such DATES: The OMB will consider all substantive information about this ICR, treatment. See 19 CFR 201.6. Documents written comments that agency receives see the related notice published in the for which confidential treatment by the on or before October 21, 2020. Federal Register on February 26, 2019 Commission is properly sought will be ADDRESSES: Written comments and (85 FR 11119). treated accordingly. All information, recommendations for the proposed This information collection is subject including confidential business information collection should be sent to the PRA. A Federal agency generally information and documents for which within 30 days of publication of this cannot conduct or sponsor a collection confidential treatment is properly notice to www.reginfo.gov/public/do/ of information, and the public is sought, submitted to the Commission for PRAMain. Find this particular generally not required to respond to an purposes of this Investigation may be information collection by selecting information collection, unless the OMB disclosed to and used: (i) By the ‘‘Currently under 30-day Review—Open approves it and displays a currently Commission, its employees and Offices, for Public Comments’’ or by using the valid OMB Control Number. In addition, and contract personnel (a) for search function. notwithstanding any other provisions of developing or maintaining the records law, no person shall generally be subject of this or a related proceeding, or (b) in FOR FURTHER INFORMATION CONTACT: Anthony May by telephone at 202–693– to penalty for failing to comply with a internal investigations, audits, reviews, collection of information that does not and evaluations relating to the 4129 (this is not a toll-free number) or by email at [email protected]. display a valid OMB Control Number. programs, personnel, and operations of See 5 CFR 1320.5(a) and 1320.6. the Commission including under 5 SUPPLEMENTARY INFORMATION: Comments DOL seeks PRA authorization for this U.S.C. Appendix 3; or (ii) by U.S. are invited on: (1) Whether the information collection for three (3) government employees and contract collection of information is necessary years. OMB authorization for an ICR personnel,2 solely for cybersecurity for the proper performance of the cannot be for more than three (3) years purposes. All nonconfidential written functions of the Department, including without renewal. The DOL notes that submissions will be available for public whether the information will have information collection requirements inspection at the Office of the Secretary practical utility; (2) if the information submitted to the OMB for existing ICRs and on EDIS.3 will be processed and used in a timely receive a month-to-month extension This action is taken under the manner; (3) the accuracy of the agency’s while they undergo review. authority of section 337 of the Tariff Act estimates of the burden and cost of the Agency: DOL–OWCP. collection of information, including the Title of Collection: Provider 1 Handbook for Electronic Filing Procedures: validity of the methodology and Enrollment Form. https://www.usitc.gov/documents/handbook_on_ assumptions used; (4) ways to enhance _ OMB Control Number: 1240–0021. filing procedures.pdf. the quality, utility and clarity of the Affected Public: Private Sector: 2 All contract personnel will sign appropriate nondisclosure agreements. information collection; and (5) ways to Businesses or other for-profits. 3 Electronic Document Information System minimize the burden of the collection of Total Estimated Number of (EDIS): https://edis.usitc.gov. information on those who are to Respondents: 64,325.
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Total Estimated Number of information collection; and (5) ways to If any unsafe condition is found during Responses: 64,325. minimize the burden of the collection of the examination, the person conducting Total Estimated Annual Time Burden: information on those who are to the examination must make a record of 32,163 hours. respond, including the use of automated the condition. All certifications and Total Estimated Annual Other Costs collection techniques or other forms of records must be retained for one year. Burden: $37,309. information technology. Section 77.1906 requires a daily Authority: 44 U.S.C. 3507(a)(1)(D). Section 103(h) of the Federal Mine examination of hoists used for shaft Dated: September 15, 2020. Safety and Health Act of 1977 (Mine sinking. If any unsafe condition is found Anthony May, Act), 30 U.S.C. 813(h), authorizes during the examination, the person MSHA to collect information necessary Management and Program Analyst. conducting the examination must make to carry out its duty in protecting the [FR Doc. 2020–20771 Filed 9–18–20; 8:45 am] a record of the condition. All safety and health of miners. Further, certifications and records must be BILLING CODE 4510–CR–P section 101(a) of the Mine Act, 30 U.S.C. retained for one year. For additional 811, authorizes the Secretary of Labor to substantive information about this ICR, develop, promulgate, and revise as may DEPARTMENT OF LABOR see the related notice published in the be appropriate, improved mandatory Federal Register on March 25, 2020 (85 Office of the Secretary health or safety standards for the FR 16961). protection of life and prevention of Agency Information Collection injuries in coal or other mines. Under This information collection is subject Activities; Submission for OMB Title 30 of the Code of Federal to the PRA. A Federal agency generally Review; Comment Request; Records Regulations (CFR), MSHA has cannot conduct or sponsor a collection of Tests and of Examinations of requirements that address hoists and of information, and the public is Personnel Hoisting Equipment appurtenances, including wire rope, generally not required to respond to an used for hoisting persons. The information collection, unless the OMB ACTION: Notice of availability; request requirements address both metal and approves it and displays a currently for comments. nonmetal surface and underground valid OMB Control Number. In addition, mines (30 CFR parts 56 and 57); and SUMMARY: The Department of Labor notwithstanding any other provisions of underground coal and surface work (DOL) is submitting this Mine Safety law, no person shall generally be subject areas of underground coal mines (30 and Health Administration (MSHA)- to penalty for failing to comply with a CFR parts 75 and 77). Sections 56/ sponsored information collection collection of information that does not 57.19022 and 75/77.1432 requires the request (ICR) to the Office of display a valid OMB Control Number. diameter of newly installed wire rope to Management and Budget (OMB) for See 5 CFR 1320.5(a) and 1320.6. be measured at least once in every third review and approval in accordance with interval of the rope’s active length to DOL seeks PRA authorization for this the Paperwork Reduction Act of 1995 establish a baseline for subsequent information collection for three (3) (PRA). Public comments on the ICR are semiannual measurements. A record of years. OMB authorization for an ICR invited. the measurements is required to be cannot be for more than three (3) years DATES: The OMB will consider all made and retained until the rope is without renewal. The DOL notes that written comments that agency receives retired from service. Sections 56/ information collection requirements on or before October 21, 2020. 57.19023 and 75/77.1433 require the submitted to the OMB for existing ICRs ADDRESSES: Written comments and wire rope to be visually examined at receive a month-to-month extension recommendations for the proposed least every fourteen days for visible while they undergo review. information collection should be sent structural damage, corrosion, and Agency: DOL–MSHA. within 30 days of publication of this improper lubrication or dressing. If the notice to www.reginfo.gov/public/do/ examination reveals weakening portions Title of Collection: Records of Tests PRAMain. Find this particular of the rope, the weakened portions must and of Examinations of Personnel information collection by selecting be monitored daily for further Hoisting Equipment. ‘‘Currently under 30-day Review—Open deterioration until retirement criteria OMB Control Number: 1219–0034. for Public Comments’’ or by using the require that the rope be removed from Affected Public: Private Sector: search function. service. The person conducting the Businesses or other for-profits. FOR FURTHER INFORMATION CONTACT: examination must certify that the Anthony May by telephone at 202–693– examination was made and the record Total Estimated Number of 4129 (this is not a toll-free number) or must be retained for one year. Sections Respondents: 225. by email at [email protected]. 56/57.19121 requires the person Total Estimated Number of SUPPLEMENTARY INFORMATION: Comments conducting the inspection, test or Responses: 61,366. are invited on: (1) Whether the examination of hoisting equipment Total Estimated Annual Time Burden: collection of information is necessary certify that these activities have been 5,133 hours. for the proper performance of the done. Any unsafe conditions must be functions of the Department, including noted in a record and dated. All Total Estimated Annual Other Costs whether the information will have certifications and records must be Burden: $270,000. practical utility; (2) if the information retained for one year. Section 75.1400– Authority: 44 U.S.C. 3507(a)(1)(D). will be processed and used in a timely 2 requires a record to be made of tests Dated: September 15, 2020. manner; (3) the accuracy of the agency’s conducted on safety catches. Safety estimates of the burden and cost of the catches are the last means to stop, Anthony May, collection of information, including the safely, a falling conveyance in the event Management and Program Analyst. validity of the methodology and of rope or equipment failure. Sections [FR Doc. 2020–20768 Filed 9–18–20; 8:45 am] assumptions used; (4) ways to enhance 75.1400–4 and 77.1404 require a record BILLING CODE 4510–43–P the quality, utility and clarity of the to be made of each daily examination.
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DEPARTMENT OF LABOR establishing a ‘‘web-based hotline’’ Division (WHD)-sponsored information monitored by the DOL. The hotline collection request (ICR) to the Office of Office of the Secretary serves as an electronic portal to collect Management and Budget (OMB) for ‘‘confidential information’’ or review and approval in accordance with Agency Information Collection ‘‘whistleblower tips’’ regarding labor the Paperwork Reduction Act of 1995 Activities; Comment Request; United issues among USMCA countries directly (PRA). Public comments on the ICR are States-Mexico-Canada Agreement from interested parties, including invited. (USMCA) Web-based Hotline Mexican workers. DATES: The OMB will consider all AGENCY: Bureau of International Labor This information collection is subject written comments that agency receives Affairs (ILAB), United States to the Paperwork Reduction Act (PRA). on or before October 21, 2020. Department of Labor (DOL). A Federal agency generally cannot ADDRESSES: Written comments and conduct or sponsor a collection of ACTION: Notice of information recommendations for the proposed information, and the public is generally collections and request for comments. information collection should be sent not required to respond to an within 30 days of publication of this SUMMARY: In compliance with the information collection, unless the OMB notice to www.reginfo.gov/public/do/ Paperwork Reduction Act of 1995, the approves it and displays a currently PRAMain. Find this particular DOL is soliciting public comments valid OMB Control Number. In addition, information collection by selecting regarding this ILAB-sponsored notwithstanding any other provisions of ‘‘Currently under 30-day Review—Open information collection to the Office of law, no person shall generally be subject for Public Comments’’ or by using the Management and Budget (OMB) for to penalty for failing to comply with a search function. review and approval. collection of information that does not Comments are invited on: (1) Whether DATES: Comments pertaining to this display a valid OMB Control Number. the collection of information is information collection are due on or See 5 CFR 1320.5(a) and 1320.6. necessary for the proper performance of The DOL seeks PRA authorization for before November 20, 2020. the functions of the Department, this information collection for three (3) including whether the information will ADDRESSES: Electronic submission: You years. OMB authorization for an have practical utility; (2) if the may submit comments and attachments Information Collection Review cannot information will be processed and used electronically at http:// be for more than three (3) years without in a timely manner; (3) the accuracy of www.regulations.gov. Follow the online renewal. The DOL notes that currently the agency’s estimates of the burden and instructions for submitting comments. approved information collection cost of the collection of information, Mail submission: 200 Constitution requirements submitted to the OMB including the validity of the Ave. NW, Room S–5315, Washington, receive a month-to-month extension methodology and assumptions used; (4) DC 2020. Comments are invited on: (1) while they undergo review. ways to enhance the quality, utility and Whether the collection of information is Agency: DOL–ILAB. clarity of the information collection; and necessary for the proper performance of Title of Collection: USMCA Web- (5) ways to minimize the burden of the the functions of the DOL, including based Hotline. collection of information on those who whether the information will have OMB Control Number: 1225–0NEW. are to respond, including the use of practical utility; (2) if the information Total Estimated Number of automated collection techniques or will be processed and used in a timely Respondents: 2,300. other forms of information technology. manner; (3) the accuracy of the DOL’s Total Estimated Number of FOR FURTHER INFORMATION CONTACT: estimates of the burden and cost of the Responses: 2,400. collection of information, including the Total Estimated Annual Time Burden: Anthony May by telephone at 202–693– 4129 (this is not a toll-free number), or validity of the methodology and 2,400 hours. _ _ assumptions used; (4) ways to enhance Total Estimated Annual Other Costs by email at DOL PRA [email protected]. the quality, utility and clarity of the Burden: $ 0. SUPPLEMENTARY INFORMATION: On March 18, 2020, President Trump signed into information collection; and (5) ways to (Authority: 44 U.S.C. 3506(c)(2)(A)). minimize the burden of the collection of law the Families First Coronavirus information on those who are to Dated: September 4, 2020. Response Act (FFCRA), which creates respond, including the use of automated Grant B. Lebens, two new emergency paid leave collection techniques or other forms of Chief of Staff, Bureau of International Labor requirements in response to the COVID– information technology. Affairs. 19 global pandemic. Division E of the FFCRA, ‘‘The Emergency Paid Sick FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–20726 Filed 9–18–20; 8:45 am] Leave Act’’ (EPSLA), entitles certain Chad Salitan by telephone at 202–693– BILLING CODE 4510–28–P employees to take up to two weeks of 4882 (this is not a toll-free number) or paid sick leave. Division C of the by email at [email protected]. DEPARTMENT OF LABOR FFCRA, ‘‘The Emergency Family and SUPPLEMENTARY INFORMATION: On Medical Leave Expansion Act’’ January 29, 2020, the President signed Office of the Secretary (EFMLEA), which amends Title I of the H.R. 5430—United States-Mexico- Family and Medical Leave Act, 29 Canada Agreement Implementation Act Agency Information Collection U.S.C. 2601 et seq. (FMLA), permits 1 (the Act). Section 711 of the Act Activities; Submission for OMB certain employees to take up to twelve prescribes the establishment of an Review; Comment Request; Paid weeks of expanded family and medical Interagency Labor Committee for Leave Under the Families First leave, ten of which are paid, for Monitoring and Enforcement (ILC) and Coronavirus Response Act specified reasons related to COVID–19. Section 717 charges the ILC with ACTION: Notice of availability; request On March 27, 2020, President Trump signed into law the Coronavirus Aid, 1 United States-Mexico-Canada Agreement for comments. Implementation Act, Public Law 116–113 (2020). Relief, and Economic Security Act, https://www.congress.gov/bill/116th-congress/ SUMMARY: The Department of Labor Public Law 116–136 (CARES Act), house-bill/5430/text. (DOL) is submitting this Wage and Hour which amends certain provisions of the
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EPSLA and the provisions of the FMLA providing certain technical corrections, Dated: September 15, 2020. added by the EFMLEA. In general, the as well as clarifying the caps for Anthony May, FFCRA requires covered employers to payment of leave; expanded family and Management and Program Analyst. provide eligible employees up to two medical leave to certain employees who [FR Doc. 2020–20770 Filed 9–18–20; 8:45 am] weeks of paid sick leave at full pay, up were laid off or terminated after March BILLING CODE 4510–27–P to a specified cap, when the employee 1, 2020, but are reemployed by the same is unable to work because the employee employer prior to December 31, 2020; is subject to a federal, state, or local and provided authority to the Director DEPARTMENT OF LABOR quarantine or isolation order related to of the Office of Management and Budget COVID–19, has been advised by a health (OMB) to exclude certain federal Office of the Secretary care provider to self-quarantine due to employees from paid sick leave and concerns related to COVID–19, or is expanded family and medical leave. The Agency Information Collection experiencing COVID–19 symptoms and FFCRA grants authority to the Secretary Activities; Submission for OMB seeking a medical diagnosis. The to issue regulations for certain purposes. Review; Comment Request; FFCRA also provides up to two weeks In particular, sections 3102(b), as Representative of Miners, Notification of Legal Identity, and Notification of of paid sick leave at partial pay, up to amended by section 3611(7) of the Commencement of Operations and a specified cap, when an employee is CARES Act, and 5111(3) of the FFCRA Closing of Mines unable to work because of a need to care grant the Secretary authority to issue for an individual subject to a federal, regulations ‘‘as necessary, to carry out the purposes of this Act, including to ACTION: Notice of availability; request state, or local quarantine or isolation for comments. order related to COVID–19 or who has ensure consistency’’ between the EPSLA been advised by a health care provider and the EFMLEA. The Department SUMMARY: The Department of Labor to selfquarantine due to concerns issued the temporary rule to carry out (DOL) is submitting this Mine Safety related to COVID–19; because of a need the purposes of the FFCRA. For and Health Administration (MSHA)- to care for the employee’s son or additional substantive information sponsored information collection daughter whose school or place of care about this ICR, see the related notice request (ICR) to the Office of is closed, or whose child care provider published in the Federal Register on Management and Budget (OMB) for is unavailable, due to COVID–19 related April 14, 2020 (85 FR 20723). review and approval in accordance with reasons; or because the employee is This information collection is subject the Paperwork Reduction Act of 1995 experiencing a substantially similar to the PRA. A Federal agency generally (PRA). Public comments on the ICR are condition, as specified by the Secretary cannot conduct or sponsor a collection invited. of Health and Human Services. The of information, and the public is DATES: The OMB will consider all FFCRA also requires covered employers generally not required to respond to an information collection, unless the OMB written comments that agency receives to provide up to twelve weeks of on or before October 21, 2020. expanded family and medical leave, up approves it and displays a currently to ten weeks of which must be paid at valid OMB Control Number. In addition, ADDRESSES: Written comments and partial pay, up to a specified cap, when notwithstanding any other provisions of recommendations for the proposed an eligible employee is unable to work law, no person shall generally be subject information collection should be sent because of a need to care for the to penalty for failing to comply with a within 30 days of publication of this employee’s son or daughter whose collection of information that does not notice to www.reginfo.gov/public/do/ school or place of care is closed, or display a valid OMB Control Number. PRAMain. Find this particular whose child care provider is See 5 CFR 1320.5(a) and 1320.6. information collection by selecting unavailable, due to COVID–19 related DOL seeks PRA authorization for this ‘‘Currently under 30-day Review—Open reasons. The FFCRA covers private information collection for three (3) for Public Comments’’ or by using the employers with fewer than 500 years. OMB authorization for an ICR search function. employees and certain public cannot be for more than three (3) years Comments are invited on: (1) Whether employers. Small employers with fewer without renewal. The DOL notes that the collection of information is than 50 employees may qualify for an information collection requirements necessary for the proper performance of exemption from the requirement to submitted to the OMB for existing ICRs the functions of the Department, provide paid leave due to school, place receive a month-to-month extension including whether the information will of care, or child care provider closings while they undergo review. have practical utility; (2) if the or unavailability, if the leave payments Agency: DOL–WHD. information will be processed and used would jeopardize the viability of their Title of Collection: Paid Leave Under in a timely manner; (3) the accuracy of business as a going concern. Under the the Families First Coronavirus Response the agency’s estimates of the burden and FFCRA, covered private employers Act. cost of the collection of information, qualify for reimbursement through OMB Control Number: 1235–0031. including the validity of the refundable tax credits, as administered Affected Public: Private Sector: methodology and assumptions used; (4) by the Department of the Treasury, for Businesses or other for-profits, farms, ways to enhance the quality, utility and all qualifying paid sick leave wages and not-for-profit institutions. clarity of the information collection; and qualifying family and medical leave Total Estimated Number of (5) ways to minimize the burden of the wages paid to an employee who takes Respondents: 11,931,108. collection of information on those who leave under the FFCRA, up to per diem Total Estimated Number of are to respond, including the use of and aggregate caps, and for allocable Responses: 11,931,108. automated collection techniques or costs related to the maintenance of Total Estimated Annual Time Burden: other forms of information technology. health care coverage under any group 870,193 hours. FOR FURTHER INFORMATION CONTACT: health plan while the employee is on Total Estimated Annual Other Costs Anthony May by telephone at 202–693– the leave provided under the FFCRA. Burden: $0. 4129 (this is not a toll-free number), or The CARES Act amended the FFCRA by Authority: 44 U.S.C. 3507(a)(1)(D). by email at [email protected].
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SUPPLEMENTARY INFORMATION: Section DEPARTMENT OF LABOR appendix requires that the agency 103(h) of the Federal Mine Safety and publish two notices in the Federal Health Act of 1977 (Mine Act), 30 U.S.C. Occupational Safety and Health Register in processing an application. In 813(h), authorizes MSHA to collect Administration the first notice, OSHA announces the information necessary to carry out its [Docket No. OSHA–2006–0040] application and provides the duty in protecting the safety and health preliminary finding and, in the second of miners. Further, section 101(a) of the SGS North America, Inc.: Grant of notice, the agency provides the final Mine Act, 30 U.S.C. 811, authorizes the Expansion of Recognition decision on the application. These Secretary of Labor (Secretary) to notices set forth the NRTL’s scope of develop, promulgate, and revise as may AGENCY: Occupational Safety and Health recognition or modifications of that be appropriate, improved mandatory Administration (OSHA), Labor. scope. OSHA maintains an health or safety standards for the ACTION: Notice. informational web page for each NRTL protection of life and prevention of that details the scope of recognition. SUMMARY: In this notice, OSHA injuries in coal or other mines. For These pages are available from the announces the final decision to expand agency’s website at http:// additional substantive information the scope of recognition for SGS North about this ICR, see the related notice www.osha.gov/dts/otpca/nrtl/ America, Inc., as a Nationally index.html. published in the Federal Register on Recognized Testing Laboratory (NRTL). SGS submitted an application, dated June 16, 2020 (85 FR 36424). DATES: The expansion of the scope of October 16, 2017 (OSHA–2006–0040– This information collection is subject recognition becomes effective on 0052), to expand the recognition to to the PRA. A Federal agency generally September 21, 2020. include the addition of one recognized cannot conduct or sponsor a collection FOR FURTHER INFORMATION CONTACT: testing and certification site located at: of information, and the public is Information regarding this notice is SGS Consumer and Retail France, 135, generally not required to respond to an available from the following sources: Rue Rene Descartes-CS 30584, 13857 information collection, unless the OMB Press inquiries: Contact Mr. Frank Aix en Provence Cedex 3, France. OSHA approves it and displays a currently Meilinger, Director, OSHA Office of staff performed a detailed analysis of the valid OMB Control Number. In addition, Communications, U.S. Department of application and other pertinent notwithstanding any other provisions of Labor, telephone: (202) 693–1999; information. OSHA staff also performed an on-site review of SGS France’s law, no person shall generally be subject email: [email protected]. testing and certification facility on July to penalty for failing to comply with a General and technical information: 23–24, 2018 and recommended collection of information that does not Contact Mr. Kevin Robinson, Director, expansion of SGS’s recognition to display a valid OMB Control Number. Office of Technical Programs and See 5 CFR 1320.5(a) and 1320.6. include this one site. Coordination Activities, Directorate of OSHA published the preliminary DOL seeks PRA authorization for this Technical Support and Emergency notice announcing SGS’s expansion information collection for three (3) Management, Occupational Safety and application in the Federal Register on years. OMB authorization for an ICR Health Administration, U.S. Department February 26, 2020 (85 FR 11117). The cannot be for more than three (3) years of Labor, phone: (202) 693–2110 or agency requested comments by March without renewal. The DOL notes that email: [email protected]. 12, 2020, but it received no comments information collection requirements SUPPLEMENTARY INFORMATION: in response to this notice. OSHA now is submitted to the OMB for existing ICRs I. Notice of Final Decision proceeding with this final notice to receive a month-to-month extension grant expansion of SGS’s scope of while they undergo review. OSHA hereby gives notice of the recognition. Agency: DOL–MSHA. expansion of the scope of recognition of To obtain or review copies of all SGS North America, Inc. (SGS), as a public documents pertaining to the SGS Title of Collection: Representative of NRTL. SGS’s expansion covers the Miners, Notification of Legal Identity, expansion application, go to addition of one recognized testing and www.regulations.gov or contact the and Notification of Commencement of certification site to their NRTL scope of Operations and Closing of Mines. Docket Office, Occupational Safety and recognition. Health Administration, U.S. Department OMB Control Number: 1219–0042. OSHA recognition of a NRTL signifies of Labor, 200 Constitution Avenue NW, Affected Public: Private Sector: that the organization meets the Room N–3653, Washington, DC 20210. Businesses or other for-profits. requirements in Section 1910.7 of Title Docket No. OSHA–2006–0040 contains 29, Code of Federal Regulations (29 CFR Total Estimated Number of all materials in the record concerning 1910.7). Recognition is an SGS’s recognition. Respondents: 10,344. acknowledgment that the organization Total Estimated Number of can perform independent safety testing II. Final Decision and Order Responses: 10,344. and certification of the specific products OSHA staff examined SGS’s Total Estimated Annual Time Burden: covered within the scope of recognition expansion application, conducted a 1,965 hours. and is not a delegation or grant of detailed on-site assessment, and government authority. As a result of examined other pertinent information. Total Estimated Annual Other Costs recognition, employers may use Based on review of this evidence, OSHA Burden: $838. products properly approved by the finds that SGS meets the requirements Authority: 44 U.S.C. 3507(a)(1)(D). NRTL to meet OSHA standards that of 29 CFR 1910.7 for expansion of Dated: September 15, 2020. require testing and certification. recognition, subject to the specified The agency processes applications by limitation and conditions. OSHA, Anthony May, a NRTL for initial recognition, or for therefore, is proceeding with this final Management and Program Analyst. expansion or renewal of this notice to grant SGS’s scope of [FR Doc. 2020–20769 Filed 9–18–20; 8:45 am] recognition, following requirements in recognition. OSHA limits the expansion BILLING CODE 4510–43–P Appendix A to 29 CFR 1910.7. This of SGS’s recognition to include the site
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in France as listed above. OSHA’s THE NATIONAL FOUNDATION FOR Library Services, 955 L’Enfant Plaza recognition of this site limits SGS to THE ARTS AND THE HUMANITIES North SW, Suite 4000, Washington DC performing product testing and 20024–2135. Mr. Reich can be reached certifications only to the test standards Institute of Museum and Library by Telephone: 202–653–4685, or by for which the site has the proper Services email at [email protected], or by teletype capability and programs, and for test (TTY/TDD) for persons with hearing Notice of Proposed Information difficulty at 202–653–4614. standards in SGS’s scope of recognition. Collection Requests: National SUPPLEMENTARY INFORMATION: IMLS is This limitation is consistent with the Collections Assessment Program recognition that OSHA grants to other particularly interested in public NRTLs that operate multiple sites. AGENCY: Institute of Museum and comment that help the agency to: Library Services, National Foundation • Evaluate whether the proposed A. Conditions for the Arts and the Humanities. collection of information is necessary ACTION: for the proper performance of the In addition to those conditions Notice, request for comments, collection of information. functions of the agency, including already required by 29 CFR 1910.7, SGS whether the information will have also must abide by the following SUMMARY: The Institute of Museum and practical utility; conditions of the recognition: Library Services (IMLS), as part of its • Evaluate the accuracy of the 1. SGS must inform OSHA as soon as continuing effort to reduce paperwork agency’s estimate of the burden of the possible, in writing, of any change of and respondent burden, conducts a proposed collection of information ownership, facilities, or key personnel, preclearance consultation program to including the validity of the and of any major change in the provide the general public and Federal methodology and assumptions used; • Enhance the quality, utility, and operations as a NRTL, and provide agencies with an opportunity to comment on proposed and/or clarity of the information to be details of the change(s); continuing collections of information in collected; and 2. SGS must meet all the terms of the accordance with the Paperwork • Minimize the burden of the recognition and comply with all OSHA Reduction Act. This pre-clearance collection of information on those who policies pertaining to this recognition; consultation program helps to ensure are to respond, including through the and that requested data can be provided in use of appropriate automated electronic, 3. SGS must continue to meet the the desired format, reporting burden mechanical, or other technological requirements for recognition, including (time and financial resources) is collection techniques, or other forms of information technology, e.g., permitting all previously published conditions on minimized, collection instruments are electronic submissions of responses. SGS’s scope of recognition, in all areas clearly understood, and the impact of for which it has recognition. collection requirements on respondents I. Background can be properly assessed. The purpose OSHA will publish a public notice of of this notice is to solicit comments The Institute of Museum and Library this final decision in the Federal concerning a plan to offer a national Services is the primary source of Register. collections assessment program to Federal support for the Nation’s libraries and museums. We advance, Pursuant to the authority in 29 CFR provide small and midsize museums support, and empower America’s 1910.7, OSHA hereby expands the with technical support to evaluate the museums, libraries, and related recognition of SGS, subject to these condition of their collections and the environmental conditions in which they organizations through grant making, limitations and conditions specified research, and policy development. Our above. are housed. A copy of the proposed information collection request can be vision is a nation where museums and III. Authority and Signature obtained by contacting the individual libraries work together to transform the listed below in the ADDRESSES section of lives of individuals and communities. Loren Sweatt, Principal Deputy this notice. To learn more, visit www.imls.gov. Assistant Secretary of Labor for DATES: Written comments must be II. Current Actions Occupational Safety and Health, submitted to the office listed in the authorized the preparation of this To administer a special initiative of addressee section below on or before the National Leadership Grants for notice. Accordingly, the agency is November 13, 2020. issuing this notice pursuant to 29 U.S.C. Museums program titled National ADDRESSES: Send comments to Connie 657(g)(2), Secretary of Labor’s Order No. Collections Assessment Program. Bodner, Ph.D., Director of Grants Policy The goal of the special initiative is to 1–2012 (77 FR 3912, Jan. 25, 2012), and and Management, Office of Grants provide an affordable and accessible 29 CFR 1910.7. Policy and Management, Institute of program for small to midsize museums Museum and Library Services, 955 to help them plan for the conservation Signed at Washington, DC, on September L’Enfant Plaza North SW, Suite 4000, of the collections entrusted to them by 15, 2020. Washington, DC 20024–2135. Dr. the public for preservation. Through Loren Sweatt, Bodner can be reached by Telephone: this program, IMLS wishes to increase Principal Deputy Assistant Secretary of Labor 202–653–4636 or by email at cbodner@ the capacity of museums to (1) for Occupational Safety and Health. imls.gov, or by teletype (TTY/TDD) for understand the conservation needs of [FR Doc. 2020–20727 Filed 9–18–20; 8:45 am] persons with hearing difficulty at 202– their collections; (2) strengthen the 653–4614. Office hours are from 8:30 knowledge of museum personnel about BILLING CODE 4510–26–P a.m. to 5 p.m., E.T., Monday through the care and conservation of collections; Friday, except Federal holidays. and (3) assist museums in planning FOR FURTHER INFORMATION CONTACT: strategically for the long-term care and Christopher J. Reich, Chief conservation of their collections. The Administrator, Office Of Museum national collections assessment program Services, Institute of Museum and is being offered as a special initiative
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with funding from the National ADDRESSES: Please refer to Docket ID Water Reactors located in Louisa, Leadership Grants for Museums NRC–2020–0201 when contacting the Virginia. The acceptability of the program. NRC about the availability of tendered application for docketing, and Agency: Institute of Museum and information regarding this document. other matters, including an opportunity Library Services. You may obtain publicly-available to request a hearing, will be the subject Title: National Collections information related to this document of subsequent Federal Register notices. Assessment Program. using any of the following methods: OMB Control Number: 3137–NEW. • Dated: September 15, 2020. Federal Rulemaking website: Go to For the Nuclear Regulatory Commission. Agency Number: 3137. https://www.regulations.gov and search Omid Tabatabai-Yazdi, Frequency: One time. for Docket ID NRC–2020–0201. Address Acting Chief, License Renewal Projects Respondents/Affected Public: questions about Docket IDs in Museums, colleges and universities, and Branch, Division of New and Renewed Regulations.gov to Jennifer Borges; Licenses, Office of Nuclear Reactor organizations or associations that engage telephone: 301–287–9127; email: in activities designed to advance the Regulation. [email protected]. For technical [FR Doc. 2020–20682 Filed 9–18–20; 8:45 am] wellbeing of museums and the museum questions, contact the individual listed profession. BILLING CODE 7590–01–P in the FOR FURTHER INFORMATION Total Estimated Number of CONTACT section of this document. Respondents: 15. • Average Hours per Response: 40. NRC’s Agencywide Documents Total Burden Hours: 600. Access and Management System OFFICE OF PERSONNEL Cost Burden (Dollars): $16,440. (ADAMS): You may obtain publicly- MANAGEMENT Public Comments Invited: Comments available documents online in the Submission for Review: 3206–0033, submitted in response to this notice will ADAMS Public Documents collection at Marital Status Certification Survey, RI be summarized and/or included in the https://www.nrc.gov/reading-rm/ 25–7 request for OMB’s clearance of this adams.html. To begin the search, select information collection. ‘‘Begin Web-based ADAMS Search.’’ For AGENCY: Office of Personnel problems with ADAMS, please contact Dated: September 15, 2020. Management. the NRC’s Public Document Room ACTION: Kim Miller, reference staff at 1–800–397–4209, 301– 60-Day notice and request for Senior Grants Management Specialist, 415–4737, or by email to pdr.resource@ comments. Institute of Museum and Library Services. nrc.gov. The ADAMS accession number SUMMARY: [FR Doc. 2020–20689 Filed 9–18–20; 8:45 am] Retirement Services, Office of for each document referenced (if it is Personnel Management (OPM) offers the BILLING CODE 7036–01–P available in ADAMS) is provided the general public and other federal first time that it is mentioned in this agencies the opportunity to comment on document. a revised information collection request NUCLEAR REGULATORY • Public Library: A copy of the (ICR), Marital Status Certification COMMISSION subsequent license renewal application Survey, RI 25–7. for North Anna can be accessed at the [Docket Nos. 50–338 and 50–339; NRC– DATES: Comments are encouraged and following public library (library access 2020–0201] will be accepted until November 20, and hours are determined by local 2020. Virginia Electric and Power Company; policy): North Anna Power Station, Units 1 and • Louisa County Library, 881 Davis ADDRESSES: You may submit comments, 2 Hwy, Mineral, VA, 23117 identified by docket number and/or Regulatory Information Number (RIN) AGENCY: Nuclear Regulatory FOR FURTHER INFORMATION CONTACT: and title, by the following method: Commission. David Drucker, Office of Nuclear Reactor Regulation, U.S. Nuclear —Federal Rulemaking Portal: http:// ACTION: Subsequent license renewal www.regulations.gov. Follow the application; receipt. Regulatory Commission, Washington, DC 20555–0001; telephone: 301–415– instructions for submitting comments. SUMMARY: The U.S. Nuclear Regulatory 6223, email: [email protected]. All submissions received must Commission (NRC) has received an SUPPLEMENTARY INFORMATION: On August include the agency name and docket application for the subsequent renewal 25, 2020, the NRC received an number or RIN for this document. The of Renewed Facility Operating License application (ADAMS Accession Nos. general policy for comments and other Nos. NPF–4 and NPF–7, which ML20246G696 and ML20246G698) from submissions from members of the public authorize Virginia Electric and Power Virginia Electric and Power Company is to make these submissions available Company (Dominion or the applicant) to (Dominion or the applicant), filed for public viewing at http:// operate North Anna Power Station, pursuant to Section 103 of the Atomic www.regulations.gov as they are Units 1 and 2 (North Anna). The Energy Act of 1954, as amended, and received without change, including any subsequent renewed licenses would part 54 of title 10 of the Code of Federal personal identifiers or contact authorize the applicant to operate North Regulations, to renew the operating information. Anna for an additional 20 years beyond licenses for North Anna. Renewal of the FOR FURTHER INFORMATION CONTACT: A the period specified in each of the licenses would authorize the applicant copy of this ICR with applicable current renewed licenses. The current to operate the facility for an additional supporting documentation, may be renewed operating licenses for North 20-year period beyond the period obtained by contacting the Retirement Anna expire as follows: Unit 1 on April specified in the respective current Services Publications Team, Office of 1, 2038, and Unit 2 on August 21, 2040. renewed operating licenses. The current Personnel Management, 1900 E Street DATES: The subsequent license renewal renewed operating licenses for North NW, Room 3316–L, Washington, DC application referenced in this document Anna expire as follows: Unit 1 on April 20415, Attention: Cyrus S. Benson, or became available on September 10, 1, 2038, and Unit 2 on August 21, 2040. sent via electronic mail to 2020. The North Anna units are Pressurized [email protected] or faxed to
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(202) 606–0910 or via telephone at (202) ACTION: Notice of virtual public meeting. • Organization, 606–4808. • Email address, and SUMMARY: The Federal Salary Council • SUPPLEMENTARY INFORMATION: As Area represented (if applicable). will meet via teleconference on required by the Paperwork Reduction Members of the press, in addition to Wednesday, October 21, 2020, at the Act of 1995 (Pub. L. 104–13, 44 U.S.C. registering for this event, must also time shown below. There will be no in- chapter 35) as amended by the Clinger- RSVP to [email protected] by October 20, person gathering for this meeting. Cohen Act (Pub. L. 104–106), OPM is 2020. The Council is an advisory body soliciting comments for this collection A confirmation email will be sent composed of representatives of Federal (OMB No. 3206–0033). The Office of upon receipt of the registration. Audio employee organizations and experts in Management and Budget is particularly teleconference information for the fields of labor relations and pay interested in comments that: participation will be sent to registrants policy. The Council makes 1. Evaluate whether the proposed the morning of the virtual meeting. recommendations to the President’s Pay collection of information is necessary Agent (the Secretary of Labor and the For The President’s Pay Agent. for the proper performance of functions Directors of the Office of Management Alexys Stanley, of the agency, including whether the and Budget and the Office of Personnel Federal Register Liaison. information will have practical utility; 2. Evaluate the accuracy of the Management) about the locality pay [FR Doc. 2020–20781 Filed 9–18–20; 8:45 am] agency’s estimate of the burden of the program for General Schedule BILLING CODE 6325–39–P proposed collection of information, employees under § 5304 of title 5, including the validity of the United States Code. The Council’s methodology and assumptions used; recommendations cover the POSTAL REGULATORY COMMISSION establishment or modification of locality 3. Enhance the quality, utility, and [Docket Nos. MC2020–245 and CP2020–275] clarity of the information to be pay areas, the coverage of salary surveys, the process of comparing collected; and New Postal Products 4. Minimize the burden of the Federal and non-Federal rates of pay, collection of information on those who and the level of comparability payments AGENCY: Postal Regulatory Commission. are to respond, including through the that should be paid. ACTION: Notice. use of appropriate automated, The Council will hear public electronic, mechanical, or other testimony about the locality pay SUMMARY: The Commission is noticing a technological collection techniques or program, review the results of pay recent Postal Service filing for the other forms of information technology, comparisons, and formulate its Commission’s consideration concerning e.g., permitting electronic submissions recommendations to the President’s Pay negotiated service agreements. This of responses. Agent on pay comparison methods, notice informs the public of the filing, RI 25–7 is used to determine whether locality pay rates, and locality pay areas invites public comment, and takes other widows, widowers, and former spouses and boundaries for 2022. administrative steps. receiving survivor annuities from OPM This meeting is open to the public, DATES: Comments are due: September have remarried before reaching age 55 with an audio option for listening. 23, 2020. Individuals who wish to provide and, thus, are no longer eligible for ADDRESSES: Submit comments testimony or present material at the benefits. electronically via the Commission’s meeting should contact the Office of Filing Online system at http:// Analysis Personnel Management using the email www.prc.gov. Those who cannot submit address provided below. In addition, Agency: Retirement Operations, comments electronically should contact please be aware that the Council asks Retirement Services, Office of Personnel the person identified in the FOR FURTHER that oral testimony at the meeting be Management. INFORMATION CONTACT section by limited to 5 minutes per speaker. Title: Marital Status Certification telephone for advice on filing Survey. DATES: The virtual meeting will be held alternatives. OMB Number: 3206–0033. on Wednesday, October 21, 2020, Frequency: Annually. beginning at 1:00 p.m. Eastern Time. FOR FURTHER INFORMATION CONTACT: Affected Public: Individuals or Location: The meeting will convene David A. Trissell, General Counsel, at Households. virtually. 202–789–6820. Number of Respondents: 24,000. SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: Estimated Time per Respondent: 15 Joe minutes. Ratcliffe by email at pay-leave-policy@ Table of Contents opm.gov. Total Burden Hours: 6,000. I. Introduction Office of Personnel Management. SUPPLEMENTARY INFORMATION: Public II. Docketed Proceeding(s) Participation: The October 21, 2020, Alexys Stanley, I. Introduction meeting of the Federal Salary Council is Regulatory Affairs Analyst. open to the public through registration. The Commission gives notice that the [FR Doc. 2020–20694 Filed 9–18–20; 8:45 am] Public participation is available for the Postal Service filed request(s) for the BILLING CODE 6325–38–P teleconference by audio access only. All Commission to consider matters related individuals who plan to attend the to negotiated service agreement(s). The virtual public meeting to listen must request(s) may propose the addition or OFFICE OF PERSONNEL register by sending an email to pay- removal of a negotiated service MANAGEMENT [email protected] with the subject agreement from the market dominant or Federal Salary Council; Virtual Public line ‘‘October 21 FSC Public Meeting’’ the competitive product list, or the Meeting Notice no later than Tuesday, October 20, 2020. modification of an existing product The following information must be currently appearing on the market AGENCY: Office of Personnel provided when registering: dominant or the competitive product Management. • Name/Title, list.
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Section II identifies the docket SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s number(s) associated with each Postal COMMISSION Statement on the Purpose of, and the Service request, the title of each Postal Statutory Basis for, the Proposed Rule 3 Service request, the request’s acceptance [Release No. 34–89877; File No. SR–LTSE– Change date, and the authority cited by the 2020–16] 1. Purpose Postal Service for each request. For each request, the Commission appoints an Self-Regulatory Organizations; Long- The Exchange proposes to amend the officer of the Commission to represent Term Stock Exchange, Inc.; Notice of Market Data Sources identified in LTSE the interests of the general public in the Filing and Immediate Effectiveness of Rule 11.410(a), which sets forth on a proceeding, pursuant to 39 U.S.C. 505 a Proposed Rule Change To Amend market-by-market basis the data feeds that the Exchange utilizes as its source (Public Representative). Section II also Rule 11.410(a). for quotes, trades and administrative establishes comment deadline(s) messages. Currently, LTSE utilizes the pertaining to each request. September 15, 2020. securities information processor (‘‘SIP’’) The public portions of the Postal Pursuant to Section 19(b)(1) of the consolidated quotation (i.e., CQS/ Service’s request(s) can be accessed via Securities Exchange Act of 1934 (the UQDF), trade and administrative (i.e., 1 2 the Commission’s website (http:// ‘‘Act’’), and Rule 19b–4 thereunder, CTS/UTDF) data feeds for data on all www.prc.gov). Non-public portions of notice is hereby given that on national securities exchanges. The the Postal Service’s request(s), if any, September 8, 2020, Long-Term Stock Exchange proposes to amend the table can be accessed through compliance Exchange, Inc. (‘‘LTSE’’ or the in Rule 11.410(a) to add a new with the requirements of 39 CFR ‘‘Exchange’’) filed with the Securities exchange, MIAX PEARL, and specify 3011.301.1 and Exchange Commission (the that the Exchange also will utilize the ‘‘Commission’’) the proposed rule consolidated quotation (i.e., CQS/ The Commission invites comments on change as described in Items I and II UQDF), trade and administrative (i.e., whether the Postal Service’s request(s) below, which Items have been prepared CTS/UTDF) data feeds for MIAX in the captioned docket(s) are consistent by the self-regulatory organization. The PEARL. with the policies of title 39. For Commission is publishing this notice to The Exchange proposes that this rule request(s) that the Postal Service states solicit comments on the proposed rule change become operative on or before concern market dominant product(s), change from interested persons. the day that MIAX PEARL launches applicable statutory and regulatory operations as an equities exchange, requirements include 39 U.S.C. 3622, 39 I. Self-Regulatory Organization’s which is currently expected on U.S.C. 3642, 39 CFR part 3030, and 39 Statement of the Terms of Substance of September 25, 2020.4 CFR part 3040, subpart B. For request(s) the Proposed Rule Change that the Postal Service states concern 2. Statutory Basis LTSE proposes a rule change to competitive product(s), applicable The Exchange believes that the amend Rule 11.410(a) to update the statutory and regulatory requirements proposed rule change is consistent with include 39 U.S.C. 3632, 39 U.S.C. 3633, Exchange’s source of data feeds for the provisions of Section 6 of the Act,5 39 U.S.C. 3642, 39 CFR part 3035, and purposes of order handling and in general, and furthers the objectives of 39 CFR part 3040, subpart B. Comment execution, and regulatory compliance, Section 6(b)(5) of the Act,6 in particular, deadline(s) for each request appear in to include data regarding MIAX PEARL, in that it is designed to prevent section II. LLC (‘‘MIAX PEARL’’). fraudulent and manipulative acts and The text of the proposed rule change practices, promote just and equitable II. Docketed Proceeding(s) is available at the Exchange’s website at principles of trade, to foster cooperation 1. Docket No(s).: MC2020–245 and https://longtermstockexchange.com/, at and coordination with persons engaged in facilitating transactions in securities, CP2020–275; Filing Title: USPS Request the principal office of the Exchange, and to remove impediments to and perfect to Add Priority Mail Contract 659 to at the Commission’s Public Reference Room. the mechanism of a free and open Competitive Product List and Notice of market and a national market system Filing Materials Under Seal; Filing II. Self-Regulatory Organization’s and, in general, to protect investors and Acceptance Date: September 15, 2020; Statement on the Purpose of, and the public interest. Filing Authority: 39 U.S.C. 3642, 39 CFR Statutory Basis for, the Proposed Rule The Exchange believes that the 3040.130 through 3040.135, and 39 CFR Change proposed rule change is consistent with 3035.105; Public Representative: the Act because including MIAX PEARL Christopher C. Mohr; Comments Due: In its filing with the Commission, the in the list of market data sources the September 23, 2020. self-regulatory organization included Exchange will use to determine each This Notice will be published in the statements concerning the purpose of, away trading center’s Top of Book Federal Register. and basis for, the proposed rule change quotes will facilitate transparency in the and discussed any comments it received Exchange’s operations and support the Erica A. Barker, on the proposed rule change. The text Exchange’s compliance with the Secretary. of these statements may be examined at applicable requirements of Regulation [FR Doc. 2020–20738 Filed 9–18–20; 8:45 am] the places specified in Item IV below. NMS. BILLING CODE 7710–FW–P The self-regulatory organization has prepared summaries, set forth in 3 Unless otherwise defined, capitalized terms are Sections A, B, and C below, of the most used herein as defined in the LTSE Rulebook. significant aspects of such statements. 4 See https://www.miaxoptions.com/sites/default/ 1 See Docket No. RM2018–3, Order Adopting files/press_release-files/MIAX_Press_Release_ Final Rules Relating to Non-Public Information, 08182020.pdf. June 27, 2018, Attachment A at 19–22 (Order No. 1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78f. 4679). 2 17 CFR 240.19b–4. 6 15 U.S.C. 78f(b)(5).
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The Exchange believes its proposal to filing. However, Rule 19b–4(f)(6)(iii) 10 Electronic Comments amend the table in Rule 11.410(a) to permits the Commission to designate a • update the data feed source for MIAX shorter time if such action is consistent Use the Commission’s internet PEARL will ensure that Rule 11.410 with the protection of investors and the comment form (http://www.sec.gov/ correctly identifies and publicly states public interest. The Exchange has asked rules/sro.shtml); or on a market-by-market basis all of the the Commission to waive the 30-day • Send an email to rule-comments@ specific data feeds that the Exchange operative delay so that the proposed sec.gov. Please include File Number SR– utilizes for the handling and execution rule change may become operative LTSE–2020–16 on the subject line. of orders, and for regulatory immediately. According to the Paper Comments compliance. The proposed rule change Exchange, the proposed rule change also removes impediments to and does not significantly affect the • Send paper comments in triplicate perfects the mechanism of a free and protection of investors or the public to Secretary, Securities and Exchange open market and protects investors and interest or impose a significant burden the public interest by providing Commission, 100 F Street NE, on competition because it merely Washington, DC 20549–1090. additional specificity, clarity, and provides specificity regarding the transparency in the Exchange’s rules. Exchange’s use of data feeds by All submissions should refer to File B. Self-Regulatory Organization’s identifying which data feed would be Number SR–LTSE–2020–16. This file Statement on Burden on Competition used for MIAX PEARL and enables number should be included on the market participants to understand how subject line if email is used. To help the The Exchange does not believe that Commission process and review your the proposed rule change will result in the Exchange views trade and quote information from other national comments more efficiently, please use any burden on competition that is not only one method. The Commission will necessary or appropriate in furtherance securities exchanges and does not post all comments on the Commission’s of the purposes of the Act. The impose any burden on Members or internet website (http://www.sec.gov/ proposed change is not designed to market participants. The Commission address any competitive issue, but believes that waiving the 30-day rules/sro.shtml). Copies of the rather would provide the public and operative delay is consistent with the submission, all subsequent market participants with up-to-date protection of investors and the public amendments, all written statements information about the data feeds the interest, as doing so will ensure that the with respect to the proposed rule Exchange will use for the handling and rule change becomes operative on or change that are filed with the execution of orders, as well as for before the day that MIAX PEARL Commission, and all written regulatory compliance. launches operations as an equities communications relating to the exchange, which is currently expected proposed rule change between the C. Self-Regulatory Organization’s on September 25, 2020. Accordingly, Commission and any person, other than Statement on Comments on the the Commission hereby waives the those that may be withheld from the Proposed Rule Change Received From operative delay and designates the public in accordance with the Members, Participants, or Others proposed rule change operative upon provisions of 5 U.S.C. 552, will be Written comments were neither filing.11 available for website viewing and solicited nor received. At any time within 60 days of the printing in the Commission’s Public III. Date of Effectiveness of the filing of the proposed rule change, the Reference Room, 100 F Street NE, Proposed Rule Change and Timing for Commission summarily may Washington, DC 20549 on official Commission Action temporarily suspend such rule change if business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the Because the foregoing proposed rule it appears to the Commission that such action is necessary or appropriate in the filing also will be available for change does not: (i) Significantly affect inspection and copying at the principal the protection of investors or the public public interest, for the protection of office of the Exchange. All comments interest; (ii) impose any significant investors, or otherwise in furtherance of received will be posted without change. burden on competition; and (iii) become the purposes of the Act. If the Persons submitting comments are operative for 30 days from the date on Commission takes such action, the which it was filed, or such shorter time Commission shall institute proceedings cautioned that we do not redact or edit as the Commission may designate, it has to determine whether the proposed rule personal identifying information from become effective pursuant to Section change should be approved or comment submissions. You should 19(b)(3)(A) of the Act 7 and Rule 19b– disapproved. submit only information that you wish 8 to make available publicly. All 4(f)(6) thereunder. IV. Solicitation of Comments A proposed rule change filed submissions should refer to File pursuant to Rule 19b–4(f)(6) under the Interested persons are invited to Number SR–LTSE–2020–16 and should Act 9 normally does not become submit written data, views, and be submitted on or before October 13, operative for 30 days after the date of its arguments concerning the foregoing, 2020. including whether the proposed rule For the Commission, by the Division of 7 15 U.S.C. 78s(b)(3)(A). change is consistent with the Act. Trading and Markets, pursuant to delegated 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Comments may be submitted by any of authority.12 4(f)(6)(iii) requires a self-regulatory organization to the following methods: give the Commission written notice of its intent to J. Matthew DeLesDernier, file the proposed rule change, along with a brief Assistant Secretary. description and text of the proposed rule change, 10 17 CFR 240.19b–4(f)(6)(iii). [FR Doc. 2020–20701 Filed 9–18–20; 8:45 am] at least five business days prior to the date of filing 11 For purposes only of waiving the 30-day of the proposed rule change, or such shorter time operative delay, the Commission also has BILLING CODE 8011–01–P as designated by the Commission. The Exchange considered the proposed rule’s impact on has satisfied this requirement. efficiency, competition, and capital formation. See 9 17 CFR 240.19b–4(f)(6). 15 U.S.C. 78c(f). 12 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE generic listing standards for Active Background COMMISSION Proxy Portfolio Shares. Under the Rule 8.601–E sets forth certain rules Exchange’s current rules, a proposed [Release No. 34–89874; File No. SR– related to the listing and trading of NYSEArca–2020–77] rule change must be filed with the Active Proxy Portfolio Shares.7 Under Securities and Exchange Commission Rule 8.601–E(c)(1), the term Active Self-Regulatory Organizations; NYSE (‘‘SEC’’ or ‘‘Commission’’) for the listing Proxy Portfolio Shares means a security Arca, Inc.; Notice of Filing of Proposed and trading of each new series of Active that (a) is issued by an investment Rule Change to Amend NYSE Arca Proxy Portfolio Shares. The Exchange company registered under the Rule 8.601–E To Adopt Generic Listing believes that it is appropriate to codify Investment Company Act of 1940 Standards for Active Proxy Portfolio certain rules within Rule 8.601–E that (‘‘1940 Act’’) (‘‘Investment Company’’) Shares would generally eliminate the need for organized as an open-end management such proposed rule changes, which investment company that invests in a September 15, 2020. would create greater efficiency and portfolio of securities selected by the Pursuant to Section 19(b)(1) 1 of the promote uniform standards in the listing Investment Company’s investment Securities Exchange Act of 1934 process. adviser consistent with the Investment (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 The Commission has previously Company’s investment objectives and notice is hereby given that, on August approved listing and trading on the policies; (b) is issued in a specified 31, 2020, NYSE Arca, Inc. (‘‘NYSE Exchange of series of Active Proxy minimum number of shares, or Arca’’ or ‘‘Exchange’’) filed with the Portfolio Shares under NYSE Arca Rule multiples thereof, in return for a deposit Securities and Exchange Commission 8.601–E.4 Currently, six series of Active by the purchaser of the Proxy Portfolio (‘‘Commission’’) the proposed rule Proxy Portfolio Shares are listed and and/or cash with a value equal to the change as described in Items I and II traded on the Exchange—the American next determined net asset value below, which Items have been prepared Century Mid Cap Growth Impact ETF (‘‘NAV’’); (c) when aggregated in the by the self-regulatory organization. The and American Century Sustainable same specified minimum number of Commission is publishing this notice to Equity ETF 5; and the T. Rowe Price Active Proxy Portfolio Shares, or solicit comments on the proposed rule Blue Chip Growth ETF; T. Rowe Price multiples thereof, may be redeemed at change from interested persons. Dividend Growth ETF; T. Rowe Price a holder’s request in return for the Proxy I. Self-Regulatory Organization’s Growth Stock ETF; and T. Rowe Price Portfolio and/or cash to the holder by Statement of the Terms of Substance of Equity Income ETF.6 the issuer with a value equal to the next the Proposed Rule Change determined NAV; and (d) the portfolio The Exchange proposes to amend 4 See Securities Exchange Act Release Nos. 89185 holdings for which are disclosed within NYSE Arca Rule 8.601–E to adopt (June 29, 2020), 85 FR 40328 (July 6, 2020) (SR– at least 60 days following the end of NYSEArca–2019–95) (Notice of Filing of generic listing standards for Active every fiscal quarter. Amendment No. 6 and Order Granting Accelerated Rule 8.601–E(c)(2) defines the term Proxy Portfolio Shares. The proposed Approval of a Proposed Rule Change, as Modified change is available on the Exchange’s by Amendment No. 6, to Adopt NYSE Arca Rule ‘‘Actual Portfolio’’ as identities and quantities of the securities and other website at www.nyse.com, at the 8.601–E to Permit the Listing and Trading of Active Proxy Portfolio Shares and To List and Trade assets held by the Investment Company principal office of the Exchange, and at Shares of the Natixis U.S. Equity Opportunities ETF that shall form the basis for the the Commission’s Public Reference Under Proposed NYSE Arca Rule 8.601–E) (the Investment Company’s calculation of Room. ‘‘Natixis Approval Order’’); 89192 (June 30, 2020), 85 FR 40699 (July 7, 2020) (SR–NYSEArca–2019– NAV at the end of the business day. II. Self-Regulatory Organization’s 96) (Notice of Filing of Amendment No. 5 and Rule 8.601–E(c)(3) defines the term Statement of the Purpose of, and Order Granting Accelerated Approval of a Proposed ‘‘Proxy Portfolio’’ as a specified Rule Change, as Modified by Amendment No. 5, to portfolio of securities, other financial Statutory Basis for, the Proposed Rule List and Trade Two Series of Active Proxy Portfolio Change Shares Issued by the American Century ETF Trust instruments and/or cash designed to In its filing with the Commission, the under NYSE Arca Rule 8.601–E) (‘‘American track closely the daily performance of Century Approval Order’’); 89191 (June 30, 2020), self-regulatory organization included the Actual Portfolio of a series of Active 85 FR 40358 (July 6, 2020) (SR–NYSEArca–2019– Proxy Portfolio Shares as provided in statements concerning the purpose of, 92) (Notice of Filing of Amendment No. 3 and and basis for, the proposed rule change Order Granting Accelerated Approval of a Proposed the exemptive relief pursuant to the 1940 Act applicable to such series. The and discussed any comments it received Rule Change, as Modified by Amendment No. 3, to List and Trade Four Series of Active Proxy Portfolio website for each series of Active Proxy on the proposed rule change. The text Shares Issued by T. Rowe Price Exchange-Traded Portfolio Shares shall disclose the of those statements may be examined at Funds, Inc. under NYSE Arca Rule 8.601–E) (‘‘T. information regarding the Proxy the places specified in Item IV below. Rowe Price Approval Order’’); 89438 (July 31, 2020) Portfolio as provided in the exemptive The Exchange has prepared summaries, (SR–NYSEArca–2020–51)(Order Granting Approval of a Proposed Rule Change, as Modified by relief pursuant to the 1940 Act set forth in sections A, B, and C below, Amendment No. 2, to List and Trade Shares of applicable to such series, including the of the most significant parts of such Natixis Vaughan Nelson Select ETF and Natixis following, to the extent applicable: statements. Vaughan Nelson MidCap ETF under NYSE Arca Rule 8.601–E) (collectively, the ‘‘Approval (i) Ticker symbol; A. Self-Regulatory Organization’s Orders’’). See also, Securities Exchange Act Release (ii) CUSIP or other identifier; Statement of the Purpose of, and the No. 88887 (May 15, 2020), 85 FR 30990 (May 21, (iii) Description of holding; Statutory Basis for, the Proposed Rule 2020) (SR–CboeBZX–2019–107) (Notice of Filing of (iv) Quantity of each security or other Amendment No. 5 and Order Granting Accelerated asset held; and Change Approval of a Proposed Rule Change, as Modified by Amendment No. 5, to Adopt Rule 14.11(m), (v) Percentage weighting of the 1. Purpose Tracking Fund Shares, and to List and Trade Shares holding in the portfolio. The Exchange proposes to amend of the Fidelity Blue Chip Value ETF, Fidelity Blue NYSE Arca Rule 8.601–E to adopt Chip Growth ETF, and Fidelity New Millennium 7 See the Natixis Approval Order, note 4, supra, ETF). in which the Commission approved Exchange rules 5 See American Century Approval Order, permitting the listing and trading of Active Proxy 1 15 U.S.C. 78s(b)(1). referenced in note 4, supra. Portfolio Shares, and the listing and trading of 2 15 U.S.C. 78a. 6 See T. Rowe Price Approval Order, referenced shares of an individual series of Active Proxy 3 17 CFR 240.19b–4. in note 4, supra Portfolio Shares.
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Key Features of Active Proxy Portfolio portfolio of an issue of Active Proxy trading rules, procedures and listing Shares Portfolio Shares is not available at standards for the product class that While funds issuing Active Proxy commencement of Exchange listing and would include the new derivative Portfolio Shares are actively-managed trading. Second, in connection with the securities product and the SRO has a and, to that extent, are similar, for creation and redemption of Active surveillance program for the product example, to Managed Fund Shares, Proxy Portfolio Shares, such creation or class. This is the current method which are actively-managed funds listed redemption may be exchanged for a pursuant to which ‘‘passive’’ ETFs are and traded under NYSE Arca Rule Proxy Portfolio with a value equal to the listed under NYSE Arca Rule 5.2–E(j)(3), 8.600–E,8 Active Proxy Portfolio Shares next-determined NAV. A series of actively-managed ETFs are listed under differ from Managed Fund Shares in the Active Proxy Portfolio Shares discloses NYSE Arca Rule 8.600–E, and following important respects. First, in the Proxy Portfolio on a daily basis, Exchange-Traded Fund Shares are listed contrast to Managed Fund Shares and which, as described above, is designed under NYSE Arca Rule 5.2–E(j)(8). for which a ‘‘Disclosed Portfolio’’ is to track closely the daily performance of The Exchange would also specify required to be disseminated at least the Actual Portfolio of a series of Active within Commentary .01 to Rule 8.601– once daily,9 the portfolio for an issue of Proxy Portfolio Shares, instead of the E that components of a series of Active Active Proxy Portfolio Shares is actual holdings of the Investment Proxy Portfolio Shares listed pursuant to publicly disclosed within at least 60 Company, as provided by a series of Rule 19b–4(e) shall satisfy the criteria days following the end of every fiscal Managed Fund Shares. set forth in Rule 8.601–E upon initial quarter in accordance with normal In addition, Rule 8.601–E(d) currently listing and on a continual basis. The disclosure requirements otherwise provides criteria that Active Proxy Exchange will file separate proposals applicable to open-end management Portfolio Shares must satisfy for initial under Section 19(b) of the Act before the investment companies registered under and continued listing on the Exchange, listing and trading of a series of Active the 1940 Act.10 The composition of the including, for example, that a minimum Proxy Portfolio Shares with components number of Active Proxy Portfolio Shares that do not satisfy the criteria set forth 8 The Commission has previously approved are required to be outstanding at the in proposed amended Commentary .01 listing and trading on the Exchange of a number of time of commencement of trading on the or components other than those issues of Managed Fund Shares under NYSE Arca Exchange. However, the current process specified in amended Commentary .01. Rule 8.600–E. See, e.g., Securities Exchange Act for listing and trading new series of Release Nos. 87434 (October 31, 2019), 84 FR 59849 For example, if the components of a (November 6, 2019) (SR–NYSEArca–2019–12) Active Proxy Portfolio Shares on the series of Active Proxy Portfolio Shares (Notice of Filing of Amendment No. 2 and Order Exchange requires that the Exchange included a security or asset that is not Granting Accelerated Approval of a Proposed Rule submit a proposed rule change with the Change, as Modified by Amendment No. 2, to List specified in proposed amended and Trade Shares of the iShares Commodity Curve Commission. In this regard, Commentary .01, the Exchange would Carry Strategy ETF under NYSE Arca Rule 8.600– Commentary .01 to Rule 8.601–E file a separate proposed rule change. E); 88924 (May 21, 2020), 85 FR 32062 (May 28, specifies that the Exchange will file Proposed Commentary .01 (a) 2020) (SR–NYSEArca–2020—07) (Notice of Filing separate proposals under Section 19(b) of Amendment No. 2 and Order Granting provides that the Actual Portfolio and Accelerated Approval of a Proposed Rule Change, of the Act before listing and trading of Proxy Portfolio for a series of Active as Modified by Amendment No. 2, to List and Trade shares of a series of Active Proxy Proxy Portfolio Shares shall include Shares of the SPDR SSGA Responsible Reserves Portfolio Shares. ESG ETF under NYSE Arca Rule 8.600–E). The only the following: Commission also has approved a proposed rule Proposed Changes to Rule 8.601–E (1) U.S. exchange-traded securities change relating to generic listing standards for that are common stocks; preferred The Exchange proposes to amend Managed Fund Shares. See Securities Exchange Act stocks; American Depositary Receipts; Release No. 78397 (July 22, 2016), 81 FR 49320 Commentary .01 to Rule 8.601–E to and real estate investment trusts; (July 27, 2016) (SR–NYSEArca–2015–110) specify that the Exchange may approve (amending NYSE Arca Equities Rule 8.600 to adopt Active Proxy Portfolio Shares for listing (2) Foreign common stocks that (1) are generic listing standards for Managed Fund Shares). listed on a foreign exchange that is a 9 NYSE Arca Rule 8.600–E(c)(2) defines the term and/or trading (including pursuant to ‘‘Disclosed Portfolio’’ as the identities and unlisted trading privileges) pursuant to member of the Intermarket Surveillance quantities of the securities and other assets held by SEC Rule 19b–4(e) under the Act, which Group or with which the Exchange has the Investment Company that will form the basis for pertains to derivative securities in place a comprehensive surveillance the Investment Company’s calculation of net asset sharing agreement; and (2) trade on such value at the end of the business day. NYSE Arca products (‘‘SEC Rule 19b–4(e)’’).11 SEC Rule 8.600–E(d)(2)(B)(i) requires that the Disclosed Rule 19b–4(e)(1) provides that the foreign exchange contemporaneously Portfolio will be disseminated at least once daily with shares of a series of Active Proxy and will be made available to all market listing and trading of a new derivative securities product by a self-regulatory Portfolio Shares in the Exchange’s Core participants at the same time. Trading Session; 10 A mutual fund is required to file with the organization (‘‘SRO’’) is not deemed a Commission its complete portfolio schedules for the proposed rule change, pursuant to (3) U.S. exchange-traded funds that second and fourth fiscal quarters on Form N–CSR paragraph (c)(1) of Rule 19b–4,12 if the are listed under the following rules: under the 1940 Act. Information reported on Form Investment Company Units (Rule 5.2– N–PORT for the third month of a fund’s fiscal Commission has approved, pursuant to quarter will be made publicly available 60 days section 19(b) of the Act, the SRO’s E(j)(3)); Exchange-Traded Fund Shares after the end of a fund’s fiscal quarter. Form N– (Rule 5.2–E(j)(8)); Portfolio Depositary PORT requires reporting of a fund’s complete 11 17 CFR 240.19b–4(e). As provided under SEC Receipts (Rule 8.100–E); Managed Fund portfolio holdings on a position-by-position basis Shares (Rule 8.600–E); Active Proxy on a quarterly basis within 60 days after fiscal Rule 19b–4(e), the term ‘‘new derivative securities quarter end. Investors can obtain a series of Active product’’ means any type of option, warrant, hybrid Portfolio Shares (Rule 8.601–E); and Proxy Portfolio Shares’ Statement of Additional securities product or any other security, other than Managed Portfolio Shares (Rule 8.900– Information (‘‘SAI’’), its Shareholder Reports, its a single equity option or a security futures product, E); Form N–CSR, filed twice a year, and its Form N– whose value is based, in whole or in part, upon the CEN, filed annually. A series of Active Proxy performance of, or interest in, an underlying (4) Equity Gold Shares (Rule 5.2– Portfolio Shares’ SAI and Shareholder Reports will instrument. E(j)(5)) be available free upon request from the Investment 12 17 CFR 240.19b–4(c)(1). As provided under (5) Index-Linked Securities (Rule 5.2– Company, and those documents and the Form N– SEC Rule 19b–4(c)(1), a stated policy, practice, or E(j)(6)); PORT, Form N–CSR, and Form N–CEN may be interpretation of the SRO shall be deemed to be a viewed on-screen or downloaded from the proposed rule change unless it is reasonably and (6) Commodity-Based Trust Shares Commission’s website at www.sec.gov. fairly implied by an existing rule of the SRO. (Rule 8.201–E);
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(7) Currency Trust Shares (Rule representations specifying the asset classes both to price manipulation 8.202–E); instruments that a series of Active Proxy and volatility.16 (8) The following securities, which Portfolio Shares is permitted to hold, The Exchange believes that the are required to be organized as and a series of Active Proxy Portfolio proposed standards would continue to commodity pools: Commodity Index Shares would be limited to such ensure transparency surrounding the Trust Shares (Rule 8.203–E); holdings on an initial and continued listing process for Active Proxy Portfolio Commodity Futures Trust Shares (Rule listing basis.15 Shares. In addition, the Exchange 8.204–E); Trust Units (Rule 8.500–E); The regulatory staff of the Exchange, believes that the proposed portfolio and Managed Trust Securities (Rule or the Financial Industry Regulatory standards for listing and trading Active 8.700–E); Authority, Inc. (‘‘FINRA’’), on behalf of Proxy Portfolio Shares are reasonably (9) The following securities if the Exchange, will communicate as designed to promote a fair and orderly organized as commodity pools: Trust needed regarding trading in Active market for such Active Proxy Portfolio Issued Receipts (Rule 8.200–E) and Proxy Portfolio Shares, other exchange- Shares. These proposed standards Partnership Units (Rule 8.300–E); traded equity securities and futures would also work in conjunction with (10) U.S. exchange-traded futures that contracts with other markets that are the existing initial and continued listing trade contemporaneously with shares of members of the Intermarket criteria related to surveillance a series of Active Proxy Portfolio Shares Surveillance Group (‘‘ISG’’), including procedures and trading guidelines. in the Exchange’s Core Trading Session; U.S. and foreign exchanges on which In support of this proposal, the and the components are traded. In addition, Exchange represents that: (11) Cash and cash equivalents. Cash the Exchange may obtain information (1) The Active Proxy Portfolio Shares equivalents are the following: Short- regarding trading in Active Proxy will conform to the initial and term U.S. Treasury securities, Portfolio Shares from other markets that continued listing criteria under Rule government money market funds, and are members of the ISG, including all 8.601–E; repurchase agreements. U.S. securities exchanges and futures (2) the Exchange’s surveillance Proposed Commentary .01(b) provides exchanges on which the equity procedures are adequate to continue to that a series of Active Proxy Portfolio securities and futures contracts are properly monitor the trading of Active Shares will not hold short positions in traded, or with which the Exchange has Proxy Portfolio Shares in all trading securities and other financial in place a comprehensive surveillance sessions and to deter and detect instruments referenced in proposed sharing agreement. violations of Exchange rules. Commentary .01(a)(1)–(11). With respect to the proposed Specifically, the Exchange intends to Proposed Commentary .01(c) provides amendment to Commentary .01(a)(11) utilize its existing surveillance that the securities referenced above in relating to cash and cash equivalents, procedures applicable to derivative proposed Commentary .01(a)(3)–(9) the enumerated cash equivalents— products, which will include Active shall include securities listed on short-term U.S. Treasury securities, Proxy Portfolio Shares, to monitor another national securities exchange government money market funds, and trading in the Active Proxy Portfolio pursuant to substantially equivalent repurchase agreements—also are Shares; listing rules. included as cash equivalents for (3) the issuer of a series of Active The securities and financial purposes of the generic listing criteria Proxy Portfolio Shares will be required instruments enumerated in proposed applicable to Managed Fund Shares in to comply with Rule 10A–3 under the Commentary .01 (a) to Rule 8.601–E are Commentary .01(c) to Rule 8.600–E. Act for the initial and continued listing consistent with, and limited to, the Such instruments are short-term, highly of Active Proxy Portfolio Shares, as ‘‘permissible investments’’ for series of liquid, and of high credit quality, provided under NYSE Arca Rule 5.3–E. Active Proxy Portfolio Shares making them less susceptible than other Prior to listing pursuant to proposed previously approved by the Commission amended Commentary .01 to Rule for Exchange listing and trading, as 15 For example, the Natixis Approval Order 8.601–E, an issuer would be required to described in the Approval Orders.13 relating to listing of shares of the Natixis U.S. represent to the Exchange that it will Each such series has filed an application Equity Opportunities ETF (‘‘Fund’’) states: notify the Exchange of any failure by a ‘‘Pursuant to the Application and Exemptive Order, series of Active Proxy Portfolio Shares for an order under Section 6(c) of the the permissible investments for the Fund include 1940 Act for exemptions from various only the following instruments: ETFs traded on a to comply with the continued listing provisions of the 1940 Act and rules U.S. exchange; exchange-traded notes (‘‘ETNs’’) requirements, and, pursuant to its thereunder, and the Commission has traded on a U.S. exchange; U.S. exchange-traded obligations under Section 19(g)(1) of the common stocks; common stocks listed on a foreign issued orders under the 1940 Act exchange that trade on such exchange Act, the Exchange will monitor for granting the exemptions requested in contemporaneously with the Shares (‘‘foreign compliance with the continued listing such applications.14 Such applications common stocks’’) in the Exchange’s Core Trading requirements. If a series of Active Proxy made substantially identical Session (normally 9:30 a.m. and 4:00 p.m. Eastern Portfolio Shares is not in compliance time (‘‘E.T.’’)); U.S. exchange-traded preferred stocks; U.S. exchange-traded American Depositary with the applicable listing requirements, 13 See note 4, supra. Receipts (‘‘ADRs’’); U.S. exchange-traded real estate the Exchange will commence delisting 14 See, e.g., Seventh Amended and Restated investment trusts; U.S. exchange-traded commodity procedures under NYSE Arca Rule 5.5– Application, filed by the Natixis ETF Trust II and pools; U.S. exchange-traded metals trusts; U.S. E(m). NYSE Group, Inc., for an Order under Section 6(c) exchange-traded currency trusts; and U.S. of the 1940 Act for exemptions from various exchange-traded futures that trade All Active Proxy Portfolio Shares provisions of the 1940 Act and rules thereunder contemporaneously with the Fund’s Shares. In listed and/or traded pursuant to Rule (File No. 812–14870), dated October 21, 2019 addition, the Fund may hold cash and cash 8.601–E (including pursuant to unlisted (‘‘Application’’). On November 14, 2019, the equivalents (short-term U.S. Treasury securities, trading privileges) are subject to all Commission issued a notice regarding the government money market funds, and repurchase Application. Investment Company Release No. agreements). Pursuant to the Application and Exchange rules and procedures that 33684 (File No. 812–14870). On December 10, 2019, Exemptive Order, the Fund will not hold short the Commission issued an order (‘‘Exemptive positions or invest in derivatives other than U.S. 16 See Securities Exchange Act Release No. 78397 Order’’) under the 1940 Act granting the exchange-traded futures, will not borrow for (July 22, 2016), 81 FR 49320 (July 27, 2016) (SR– exemptions requested in the Application investment purposes, and will not purchase any NYSEArca–2015–110) (amending NYSE Arca (Investment Company Act Release No. 33711 securities that are illiquid investments at the time Equities Rule 8.600 to adopt generic listing (December 10, 2019)). of purchase.’’ standards for Managed Fund Shares).
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currently govern the trading of equity either be listed and traded on a national pursuant to the proposed portfolio securities on the Exchange. securities exchange in the United States standards, would continue to be subject The Exchange notes that the proposed or, with respect to foreign common to the full panoply of Exchange rules change is not otherwise intended to stocks, traded on a foreign exchange that and procedures that currently govern address any other issues and that the is a member of ISG or with which the the trading of equity securities on the Exchange is not aware of any problems Exchange has in place a comprehensive Exchange. that Equity Trading Permit Holders or surveillance sharing agreement. In The Exchange believes that the issuers would have in complying with addition, such foreign common stocks proposed standards would continue to the proposed change. would be required to trade on such ensure transparency surrounding the foreign exchange contemporaneously 2. Statutory Basis listing process for Active Proxy Portfolio with shares of a series of Active Proxy Shares. In addition, the Exchange The Exchange believes that the Portfolio Shares in the Exchange’s Core believes that the proposed portfolio proposed rule change is consistent with Trading Session (as defined in NYSE standards for listing and trading Active 17 Section 6(b) of the Act, in general, and Arca Rule 7.34–E). Futures contracts Proxy Portfolio Shares are reasonably furthers the objectives of Section 6(b)(5) held by a series of Active Proxy designed to promote a fair and orderly 18 of the Act, in particular, because it is Portfolio Shares would be traded on a market for such Active Proxy Portfolio designed to prevent fraudulent and U.S. futures exchange. Shares. These proposed standards manipulative acts and practices, to With respect to the proposed would also work in conjunction with promote just and equitable principles of amendment to Commentary .01(a)(11) the existing initial and continued listing trade, to remove impediments to, and relating to cash and cash equivalents, criteria related to surveillance perfect the mechanism of a free and the enumerated cash equivalents— procedures and trading guidelines. open market and, in general, to protect short-term U.S. Treasury securities, The Exchange believes that the investors and the public interest. government money market funds, and proposed rule change is designed to The proposed rule change is designed repurchase agreements—also are prevent fraudulent and manipulative to perfect the mechanism of a free and included as cash equivalents for acts and practices because the Active open market and, in general, to protect purposes of the generic listing criteria Proxy Portfolio Shares will be listed and investors and the public interest applicable to Managed Fund Shares in traded on the Exchange pursuant to the because it would facilitate the listing Commentary .01(c) to Rule 8.600–E. initial and continued listing criteria in and trading of additional Active Proxy Such instruments are short-term, highly Rule 8.601–E. The Exchange has in Portfolio Shares, which would enhance liquid, and of high credit quality, place surveillance procedures that are competition among market participants, making them less susceptible than other adequate to properly monitor trading in to the benefit of investors and the asset classes both to price manipulation Active Proxy Portfolio Shares in all marketplace. The Exchange believes and volatility.21 trading sessions and to deter and detect that, in view of the Commission’s As noted above, NYSE Arca Rule violations of Exchange rules and approval of Exchange rules for Active 8.601–E(c)(3) requires that the website applicable federal securities laws. Proxy Portfolio Shares and for each series of Active Proxy Portfolio FINRA, on behalf of the Exchange, or commencement of Exchange trading of Shares shall disclose the information the regulatory staff of the Exchange, will shares of series of Active Proxy Portfolio regarding the Proxy Portfolio as communicate as needed regarding Shares,19 it is appropriate to codify provided in the exemptive relief trading in Active Proxy Portfolio Shares, certain rules within Rule 8.601–E that pursuant to the 1940 Act applicable to other exchange-traded equity securities, would generally eliminate the need for such series, including specified and futures contracts with other markets separate proposed rule changes. The information, to the extent applicable. that are members of the ISG, including Exchange believes that this would Quotation and last sale information all U.S. and foreign exchanges on which facilitate the listing and trading of for U.S. exchange-traded equity the components are traded. In addition, additional types of Active Proxy securities in the applicable Proxy the Exchange may obtain information Portfolio Shares that have investment Portfolio will be available via the regarding trading in Active Proxy portfolios that are similar to investment Consolidated Tape Association high- Portfolio Shares from other markets that portfolios for other exchange-traded speed line or from the exchange on are members of the ISG, including all funds that have been approved for which such securities trade. Price U.S. securities exchanges and futures listing and trading, thereby creating information for foreign common stocks exchanges on which the equity greater efficiencies in the listing process in the applicable Proxy Portfolio will be securities and futures contracts are for the Exchange and the Commission. available from the exchange on which The securities and financial such securities trade or from market traded, or with which the Exchange has instruments enumerated in proposed data vendors. Intraday pricing in place a comprehensive surveillance Commentary .01 (a)(1)–(11) to Rule information for cash equivalents will be sharing agreement. 8.601–E are consistent with, and limited available through subscription services The Exchange also believes that the to, the ‘‘permissible investments’’ for and/or pricing services. Quotation and proposed rule change would fulfill the series of Active Proxy Portfolio Shares other market information relating to intended objective of Rule 19b–4(e) previously approved by the Commission futures contracts is available from the under the Act by allowing Active Proxy for Exchange listing and trading, as U.S. futures exchanges listing such Portfolio Shares that satisfy the described in the Approval Orders.20 The instruments as well as from market data proposed listing standards to be listed Exchange notes that all exchange-traded vendors. and traded without separate equity securities held by a series of The proposed rule change is also Commission approval. However, as Active Proxy Portfolio Shares would designed to protect investors and the proposed, the Exchange would continue public interest because Active Proxy to file separate proposed rule changes 17 15 U.S.C. 78f(b). Portfolio Shares listed and traded before the listing and trading of Active 18 15 U.S.C. 78f(b)(5). pursuant to Rule 8.601–E, including Proxy Portfolio Shares that do not 19 See notes 4–6, supra. satisfy the additional criteria described 20 See notes 4 and 15, supra. 21 See note 16, supra. above.
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Prior to listing pursuant to proposed designate if it finds such longer period to make available publicly. All amended Commentary .01 to Rule to be appropriate and publishes its submissions should refer to File 8.601–E, an issuer would be required to reasons for so finding or (ii) as to which Number SR–NYSEArca–2020–77 and represent to the Exchange that it will the self-regulatory organization should be submitted on or before advise the Exchange of any failure by a consents, the Commission will: October 13, 2020. series of Active Proxy Portfolio Shares (A) By order approve or disapprove For the Commission, by the Division of to comply with the continued listing the proposed rule change, or Trading and Markets, pursuant to delegated requirements, and, pursuant to its (B) institute proceedings to determine authority.23 obligations under Section 19(g)(1) of the whether the proposed rule change J. Matthew DeLesDernier, Act, the Exchange will monitor for should be disapproved. Assistant Secretary. compliance with the continued listing IV. Solicitation of Comments [FR Doc. 2020–20699 Filed 9–18–20; 8:45 am] requirements. If a series of Active Proxy BILLING CODE 8011–01–P Portfolio Shares is not in compliance Interested persons are invited to with the applicable listing requirements, submit written data, views, and the Exchange will commence delisting arguments concerning the foregoing, including whether the proposed rule SECURITIES AND EXCHANGE procedures under NYSE Arca Rule 5.5– COMMISSION E(m). change is consistent with the Act. For these reasons, the Exchange Comments may be submitted by any of Submission for OMB Review; believes that the proposal is consistent the following methods: Comment Request with the Act. Electronic Comments Upon Written Request, Copies Available B. Self-Regulatory Organization’s • Use the Commission’s internet From: Securities and Exchange Statement on Burden on Competition comment form (http://www.sec.gov/ Commission, Office of FOIA Services, rules/sro.shtml); or 100 F Street NE, Washington, DC In accordance with Section 6(b)(8) of • the Act,22 the Exchange does not believe Send an email to rule-comments@ 20549–2736. that the proposed rule change will sec.gov. Please include File Number SR– Extension: impose any burden on competition that NYSEArca–2020–77 on the subject line. Rule 10b–17, SEC File No. 270–427, OMB is not necessary or appropriate in Paper Comments Control No. 3235–0476. furtherance of the purposes of the Act. • Send paper comments in triplicate Notice is hereby given that pursuant Instead, the Exchange believes that the to: Secretary, Securities and Exchange to the Paperwork Reduction Act of 1995 proposed rule change would facilitate Commission, 100 F Street NE, (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the the listing and trading of additional Washington, DC 20549–1090. Securities and Exchange Commission types of Active Proxy Portfolio Shares (‘‘Commission’’) has submitted to the All submissions should refer to File and result in a significantly more Office of Management and Budget Number SR–NYSEArca–2020–77. This efficient process surrounding the listing (‘‘OMB’’) a request for approval of file number should be included on the and trading of Active Proxy Portfolio extension of the previously approved subject line if email is used. To help the Shares, which will enhance competition collection of information provided for in Commission process and review your among market participants, to the Rule 10b–17 (17 CFR 240.10b–17), comments more efficiently, please use benefit of investors and the marketplace. under the Securities Exchange Act of only one method. The Commission will The Exchange believes that this would 1934 (15 U.S.C. 78a et seq.). post all comments on the Commission’s reduce the time frame for bringing Rule 10b–17 requires any issuer of a internet website (http://www.sec.gov/ Active Proxy Portfolio Shares to market, class of securities publicly traded by the rules/sro.shtml). Copies of the thereby reducing the burdens on issuers use of any means or instrumentality of submission, all subsequent and other market participants and interstate commerce or of the mails or amendments, all written statements promoting competition. In turn, the of any facility of any national securities with respect to the proposed rule Exchange believes that the proposed exchange to give notice of the following change that are filed with the change would make the process for specific distributions relating to such Commission, and all written listing Active Proxy Portfolio Shares class of securities: (1) A dividend or communications relating to the more competitive by applying uniform other distribution in cash or in kind proposed rule change between the listing standards with respect to Active other than interest payments on debt Commission and any person, other than Proxy Portfolio Shares. securities; (2) a stock split or reverse those that may be withheld from the stock split; or (3) a rights or other C. Self-Regulatory Organization’s public in accordance with the subscription offering. Notice shall be Statement on Comments on the provisions of 5 U.S.C. 552, will be either given to the Financial Industry Proposed Rule Change Received From available for website viewing and Regulatory Authority, Inc. as successor Members, Participants, or Others printing in the Commission’s Public to the National Association of Securities No written comments were solicited Reference Room, 100 F Street NE, Dealers, Inc. or in accordance with the or received with respect to the proposed Washington, DC 20549 on official procedures of the national securities rule change. business days between the hours of exchange upon which the securities are 10:00 a.m. and 3:00 p.m. Copies of the registered. The Commission may III. Date of Effectiveness of the filing also will be available for exempt an issuer of over-the-counter Proposed Rule Change and Timing for inspection and copying at the principal (but not listed) securities from the Commission Action office of the Exchange. All comments notice requirement. The requirements of Within 45 days of the date of received will be posted without change. Rule 10b–17 do not apply to redeemable publication of this notice in the Federal Persons submitting comments are securities of registered open-end Register or such longer period up to 90 cautioned that we do not redact or edit investment companies or unit days (i) as the Commission may personal identifying information from investment trusts. comment submissions. You should 22 15 U.S.C. 78f(b)(8). submit only information that you wish 23 17 CFR 200.30–3(a)(12).
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The information required by Rule SECURITIES AND EXCHANGE national securities associations only 10b–17 is necessary for the execution of COMMISSION because their members trade security the Commission’s mandate under the futures products. The Exchange Act, as [SEC File No. 270–495, OMB Control No. amended by the CFMA, established a Securities Exchange Act of 1934 to 3235–0553] prevent fraudulent, manipulative, and procedure for Security Futures Product deceptive acts and practices. The Submission for OMB Review; Exchanges and Limited Purpose Commission has found that not Comment Request National Securities Associations to requiring formal notices of the types of provide notice of proposed rule changes Upon Written Request, Copies Available 1 distributions covered by Rule 10b–17 relating to certain matters. Rule 19b–7 From: Securities and Exchange and Form 19b–7 implemented this has led to a number of abuses including Commission, Office of FOIA Services, procedure. Effective April 28, 2008, the purchasers not being aware of their 100 F St. NE, Washington, DC 20549– SEC amended Rule 19b–7 and Form rights to such distributions. It is only 2736 19b–7 to require that Form 19b–7 be through formal notice of the Extension: Rule 19b–7 and Form 19b–7 submitted electronically.2 distribution, including the date of the The collection of information is distribution, that current holders, Notice is hereby given that pursuant designed to provide the Commission potential buyers, or potential sellers of to the Paperwork Reduction Act of 1995 with the information necessary to the securities at issue will know their (44 U.S.C. 3501 et seq. ‘‘PRA’’), the determine, as required by the Exchange rights to the distribution and make an Securities and Exchange Commission Act, whether the proposed rule change informed decision as to whether to buy (‘‘SEC’’ or ‘‘Commission’’) has is consistent with the Exchange Act and or sell a security. submitted to the Office of Management the rules thereunder. The information is and Budget (‘‘OMB’’) a request for There are approximately 7,341 used to determine if the proposed rule approval of extension of the existing change should remain in effect or respondents per year. These collection of information provided for in respondents make a total of abrogated. Rule 19b–7 (17 CFR 240.19b–7) and The respondents to the collection of approximately 28,407 responses per Form 19b–7—Filings with respect to information are SROs. Three year. Each response takes approximately proposed rule changes submitted respondents file an average total of 10 minutes to complete. Thus, the total pursuant to Section 19b(7) under the approximately 2 responses per year.3 compliance burden per year is Securities Exchange Act of 1934 (15 Each response takes approximately 12.5 approximately 4,735 hours. The total U.S.C. 78a et seq.) (‘‘Exchange Act’’). hours to complete and each amendment internal labor cost of compliance for The Exchange Act provides a takes approximately 3 hours to respondents associated with providing framework for self-regulation under complete, which correspond to an notice under Rule 10b–17 is which various entities involved in the estimated annual response burden of 25 approximately $348,412 per year. securities business, including national hours ((2 rule change proposals × 12.5 securities exchanges and national An agency may not conduct or hours) + (0 amendments 4 x 3 hours)). securities associations (collectively, self- sponsor, and a person is not required to The average internal cost of compliance regulatory organizations or ‘‘SROs’’), per response is $5,050 (11.5 legal hours respond to, a collection of information have primary responsibility for under the PRA unless it displays a multiplied by an average hourly rate of regulating their members or $420 5 plus 1 hour of paralegal work currently valid OMB control number. participants. The role of the The public may view background Commission in this framework is 1 These matters are higher margin levels, fraud or documentation for this information primarily one of oversight; the Exchange manipulation, recordkeeping, reporting, listing collection at the following website: Act charges the Commission with standards, or decimal pricing for security futures supervising the SROs and assuring that products; sales practices for security futures http://www.reginfo.gov. Find this products for persons who effect transactions in particular information collection by each complies with and advances the security futures products; or rules effectuating the selecting ‘‘Currently under 30-day policies of the Exchange Act. obligation of Security Futures Product Exchanges Review—Open for Public Comments’’ or The Exchange Act was amended by and Limited Purpose National Securities Associations to enforce the securities laws. See 15 by using the search function. Written the Commodity Futures Modernization Act of 2000 (‘‘CFMA’’). Prior to the U.S.C. 78s(b)(7)(A). comments and recommendations for the 2 See Securities Exchange Act Release No. 57526 proposed information collection should CFMA, federal law did not allow the (March 19, 2008), 73 FR 16179 (March 27, 2008). trading of futures on individual stocks 3 be sent within 30 days of publication of There are currently four Security Futures or on narrow-based stock indexes Product Exchanges and one Limited Purpose this notice to (i) www.reginfo.gov/ (collectively, ‘‘security futures National Securities Association, the National public/do/PRAMain and (ii) David products’’). The CFMA removed this Futures Authority. However, two Security Futures Bottom, Director/Chief Information Product Exchanges currently do not trade security restriction and provided that trading in futures products and, as a result, have not been Officer, Securities and Exchange security futures products would be filing proposed rule changes. Therefore, there are Commission, c/o Cynthia Roscoe, 100 F regulated jointly by the Commission and currently three respondents to Form 19b–7. Street NE, Washington, DC 20549, or by the Commodity Futures Trading 4 SEC staff notes that even though no sending an email to: PRA_Mailbox@ amendments were received in the previous three Commission (‘‘CFTC’’). years and that staff does not anticipate the receipt sec.gov. The Exchange Act requires all SROs of any amendments, calculation of amendments is Dated: September 15, 2020. to submit to the SEC any proposals to a separate step in the calculation of the PRA burden amend, add, or delete any of their rules. and it is possible that amendments are filed in the J. Matthew DeLesDernier, future. Therefore, instead of removing the Certain entities (Security Futures Assistant Secretary. calculation altogether, staff has shown the Product Exchanges) would be notice calculation as anticipating zero amendments. [FR Doc. 2020–20714 Filed 9–18–20; 8:45 am] registered national securities exchanges 5 The $420 per hour figure for an Attorney is from BILLING CODE 8011–01–P only because they trade security futures SIFMA’s Management & Professional Earnings in the Securities Industry 2013, modified by products. Similarly, certain entities Commission staff to account for inflation and an (Limited Purpose National Securities 1800-hour work-year and then multiplied by 5.35 Associations) would be limited purpose Continued
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multiplied by an average hourly rate of notice to (i) >MBX.OMB.OIRA.SEC_ fingerprinting requirements of Rule 17f– $220 6). The total resulting internal cost [email protected]< and (ii) 2. The recordkeeping requirement under of compliance for a respondent is David Bottom, Director/Chief Rule 17f–2(e) assists the Commission $10,100 per year (2 responses × $5,050 Information Officer, Securities and and other regulatory agencies with per response). Exchange Commission, c/o Cynthia ensuring compliance with Rule 17f–2. In addition to filing its proposed rule Roscoe, 100 F Street NE, Washington, This rule does not involve the collection changes, and any amendments thereto, DC 20549, or by sending an email to: of confidential information. with the Commission, a respondent is [email protected]. We estimate that approximately 75 also required to post each of its Dated: September 15, 2020. respondents will incur an average burden of 30 minutes per year to proposals and any amendments thereto, J. Matthew DeLesDernier, comply with this rule, which represents on its website. This process takes Assistant Secretary. approximately 0.5 hours to complete per the time it takes for a staff person at a proposal and 0.5 hours per amendment. [FR Doc. 2020–20711 Filed 9–18–20; 8:45 am] covered entity to properly document a Thus, for the approximately 2 responses BILLING CODE 8011–01–P claimed exemption from the and 0 amendments,7 the total annual fingerprinting requirements of Rule 17f– reporting burden on a respondent to 2 in the required Notice and to properly SECURITIES AND EXCHANGE retain the Notice according to the post these on its website is 1 hour ((2 COMMISSION proposals per year × 0.5 hours per filing) entity’s record retention policies and + (0 amendments × 0.5 hours)). Further, [SEC File No. 270–037, OMB Control No. procedures. The total annual burden for a respondent is required to update its 3235–0031] all covered entities is approximately 38 × rulebook, which it maintains on its hours (75 entities .5 hours, rounded Submission for OMB Review; up). website, to reflect the changes that it Comment Request makes in each proposal and any An agency may not conduct or amendment thereto. Thus, for all filings Upon Written Request, Copies Available sponsor, and a person is not required to that were not withdrawn by a From: Securities and Exchange respond to, a collection of information respondent (0 withdrawn filings in Commission, Office of FOIA Services, under the PRA unless it displays a calendar years 2017–2019) or 100 F Street NE, Washington, DC currently valid OMB control number. disapproved by the Commission (0 20549–2736 The public may view background documentation for this information disapproved filings in calendar years Extension: collection at the following website: 2017–2019), a respondent was required Rule 17f–2(e) www.reginfo.gov. Find this particular to update its online rulebook to reflect Notice is hereby given that pursuant information collection by selecting the effectiveness of 3 filings on average, to the Paperwork Reduction Act of 1995 ‘‘Currently under 30-day Review—Open each of which takes approximately 4 (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the for Public Comments’’ or by using the hours to complete per proposal. Thus, Securities and Exchange Commission search function. Written comments and the total annual reporting burden for (‘‘Commission’’) has submitted to the recommendations for the proposed updating an online rulebook is 8 hours Office of Management and Budget information collection should be sent ((2 filings per year¥0 withdrawn filings × ¥ × (‘‘OMB’’) a request for approval of within 30 days of publication of this 0 disapproved filings) 4 hours). extension of the previously approved notice to (i) www.reginfo.gov/public/do/ Compliance with Rule 19b–7 is collection of information provided for in PRAMain and (ii) David Bottom, mandatory. Information received in Rule 17f–2(e) (17 CFR 240.17f–2(e)), Director/Chief Information Officer, response to Rule 19b–7 is not kept under the Securities Exchange Act of Securities and Exchange Commission, c/ confidential; the information collected 1934 (15 U.S.C. 78a et seq.). o Cynthia Roscoe, 100 F Street, NE, is public information. Rule 17f–2(e) requires every member Washington, DC 20549, or by sending an An agency may not conduct or of a national securities exchange, email to: [email protected]. sponsor, and a person is not required to broker, dealer, registered transfer agent, Dated: September 15, 2020. respond to, a collection of information and registered clearing agency (‘‘covered J. Matthew DeLesDernier, under the PRA unless it displays a entities’’) claiming an exemption from Assistant Secretary. currently valid OMB control number. the fingerprinting requirements of Rule The public may view background 17f–2 to make and keep current a [FR Doc. 2020–20713 Filed 9–18–20; 8:45 am] documentation for this information statement entitled ‘‘Notice Pursuant to BILLING CODE 8011–01–P collection at the following website: Rule 17f–2’’ (‘‘Notice’’) containing the >www.reginfo.gov<. Find this particular information specified in paragraph (e)(1) SECURITIES AND EXCHANGE information collection by selecting to support their claim of exemption. COMMISSION ‘‘Currently under 30-day Review—Open Rule 17f–2(e) contains no filing for Public Comments’’ or by using the requirement. Instead, paragraph (e)(2) [Release No. 34–89871; File No. SR–BX– search function. Written comments and requires covered entities to keep a copy 2020–026] recommendations for the proposed of the Notice in an easily accessible information collection should be sent place at the organization’s principal Self-Regulatory Organizations; Nasdaq within 30 days of publication of this office and at the office employing the BX, Inc.; Notice of Filing and persons for whom exemptions are Immediate Effectiveness of Proposed to account for bonuses, firm size, employee Rule Change To Amend Rule 4759. benefits, and overhead. claimed and to make the Notice 6 The $220 per hour figure for a Paralegal is from available upon request for inspection by September 15, 2020. SIFMA’s Management & Professional Earnings in the Commission, appropriate regulatory Pursuant to Section 19(b)(1) of the the Securities Industry 2013, modified by agency (if not the Commission), or other Securities Exchange Act of 1934 Commission staff to account for inflation and an designated examining authority. Notices 1 2 1800-hour work-year and then multiplied by 5.35 (‘‘Act’’), and Rule 19b–4 thereunder, to account for bonuses, firm size, employee prepared pursuant to Rule 17f–2(e) must benefits, and overhead. be maintained for as long as the covered 1 15 U.S.C. 78s(b)(1). 7 See supra note 4. entity claims an exemption from the 2 17 CFR 240.19b–4.
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notice is hereby given that on Investors Exchange LLC (‘‘IEX’’) as its C. Self-Regulatory Organization’s September 3, 2020, Nasdaq BX, Inc. primary quotation data source and CQS/ Statement on Comments on the (‘‘BX’’ or ‘‘Exchange’’) filed with the UQDF will become its secondary data Proposed Rule Change Received From Securities and Exchange Commission source for the handling, routing and Members, Participants, or Others (‘‘Commission’’) the proposed rule execution of orders and for performing No written comments were either change as described in Items I and II regulatory compliance processes related solicited or received. below, which Items have been prepared to each of those functions. The change by the Exchange. The Commission is to the primary sources reflects the III. Date of Effectiveness of the publishing this notice to solicit Exchange’s effort to include an Proposed Rule Change and Timing for comments on the proposed rule change additional source in the event the Commission Action from interested persons. primary source is unable to provide Because the foregoing proposed rule change does not: (i) Significantly affect I. Self-Regulatory Organization’s data. the protection of investors or the public Statement of the Terms of Substance of The Exchange proposes to implement interest; (ii) impose any significant the Proposed Rule Change the proposed rule change no later than burden on competition; and (iii) become The Exchange proposes to amend ninety (90) days following the effective operative for 30 days from the date on Rule 4759 (Data Feeds Utilized) to date of the proposed rule change. The which it was filed, or such shorter time change the primary and secondary Exchange notes this additional time as the Commission may designate, it has source of quotation data of certain gives the Exchange time to configure its become effective pursuant to Section market centers in the list of proprietary system accordingly. 19(b)(3)(A) of the Act 5 and Rule 19b– and network processor feeds that the 2. Statutory Basis 4(f)(6) thereunder.6 Exchange utilizes for the handling, At any time within 60 days of the routing, and execution of orders, as well The Exchange believes that its filing of the proposed rule change, the as regulatory compliance processes proposal is consistent with Section 6(b) Commission summarily may related to those functions. of the Act,3 in general, and furthers the temporarily suspend such rule change if The text of the proposed rule change objectives of Section 6(b)(5) of the Act,4 it appears to the Commission that such is available on the Exchange’s website at in particular, in that it is designed to action is necessary or appropriate in the https://listingcenter.nasdaq.com/ promote just and equitable principles of public interest, for the protection of rulebook/bx/rules, at the principal office trade, to remove impediments to and investors, or otherwise in furtherance of of the Exchange, and at the perfect the mechanism of a free and the purposes of the Act. If the Commission’s Public Reference Room. open market and a national market Commission takes such action, the Commission shall institute proceedings II. Self-Regulatory Organization’s system, and, in general to protect investors and the public interest. to determine whether the proposed rule Statement of the Purpose of, and change should be approved or Statutory Basis for, the Proposed Rule The Exchange believes that the disapproved. Change proposed rule change removes IV. Solicitation of Comments In its filing with the Commission, the impediments to and perfects the Exchange included statements mechanism of a free and open market Interested persons are invited to concerning the purpose of and basis for because updating its data feeds table of submit written data, views, and the proposed rule change and discussed market centers for which the exchange arguments concerning the foregoing, any comments it received on the consumes quotation data through a including whether the proposed rule proposed rule change. The text of these direct feed will provide clarity to market change is consistent with the Act. statements may be examined at the participants. Additionally, it is Comments may be submitted by any of places specified in Item IV below. The necessary and consistent with the the following methods: Exchange has prepared summaries, set public interest and the protection of Electronic Comments forth in sections A, B, and C below, of investors to update the Exchange’s table • Use the Commission’s internet the most significant aspects of such of market centers in Rule 4759 in order comment form (http://www.sec.gov/ statements. to provide transparency with respect to rules/sro.shtml); or all the direct proprietary and network A. Self-Regulatory Organization’s • Send an email to rule-comments@ processor feeds from which the Statement of the Purpose of, and sec.gov. Please include File Number SR– Exchange obtains market data. Statutory Basis for, the Proposed Rule BX–2020–026 on the subject line. Change B. Self-Regulatory Organization’s Paper Comments Statement on Burden on Competition 1. Purpose • Send paper comments in triplicate The Exchange proposes to update and The Exchange does not believe that to Secretary, Securities and Exchange amend the data feeds table in Rule 4759, the proposed rule change will impose Commission, 100 F Street NE, which sets forth on a market-by-market any burden on competition not Washington, DC 20549–1090. basis the specific proprietary and necessary or appropriate in furtherance All submissions should refer to File network processor feeds that the of the purposes of the Act. The Number SR–BX–2020–026. This file Exchange utilizes for the handling, proposed rule change is not designed to routing, and execution of orders, and for address any competitive issue; instead, 5 15 U.S.C. 78s(b)(3)(A). performing the regulatory compliance its purpose is to enhance transparency 6 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to checks related to each of those with respect to the operation of the give the Commission written notice of its intent to functions. Specifically, the table would Exchange and its use of market data file the proposed rule change, along with a brief be amended to reflect that the Exchange feeds. description and text of the proposed rule change, will receive a direct feed from NYSE at least five business days prior to the date of filing of the proposed rule change, or such shorter time National, Inc. (‘‘NYSE National’’), NYSE 3 15 U.S.C. 78f(b). as designated by the Commission. The Exchange Chicago, Inc. (‘‘NYSE Chicago’’), and 4 15 U.S.C. 78f(b)(5). has satisfied this requirement.
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number should be included on the Securities and Exchange Commission for Public Comments’’ or by using the subject line if email is used. To help the (‘‘Commission’’) has submitted to the search function. Commission process and review your Office of Management and Budget Written comments and comments more efficiently, please use (‘‘OMB’’) a request for approval of recommendations for the proposed only one method. The Commission will extension of the previously approved information collection should be sent post all comments on the Commission’s collection of information provided for in within 30 days of publication of this internet website (http://www.sec.gov/ Rule 17a–10 (17 CFR 240.17a–10) under notice to (i) www.reginfo.gov/public/do/ rules/sro.shtml). Copies of the the Securities Exchange Act of 1934 (15 PRAMain and (ii) David Bottom, submission, all subsequent U.S.C. 78a et seq.). Director/Chief Information Officer, amendments, all written statements The primary purpose of Rule 17a–10 Securities and Exchange Commission, c/ with respect to the proposed rule is to obtain the economic and statistical o Cynthia Roscoe, 100 F Street NE, change that are filed with the data necessary for an ongoing analysis Washington, DC 20549, or by sending an Commission, and all written of the securities industry. Paragraph email to: [email protected]. communications relating to the (a)(1) of Rule 17a–10 generally requires Dated: September 15, 2020. proposed rule change between the broker-dealers that are exempted from J. Matthew DeLesDernier, Commission and any person, other than the requirement to file monthly and Assistant Secretary. those that may be withheld from the quarterly reports pursuant to paragraph public in accordance with the (a) of Exchange Act Rule 17a–5 (17 CFR [FR Doc. 2020–20712 Filed 9–18–20; 8:45 am] provisions of 5 U.S.C. 552, will be 240.17a–5) to file with the Commission BILLING CODE 8011–01–P available for website viewing and the Facing Page, a Statement of Income printing in the Commission’s Public (Loss), and balance sheet from Part IIA SECURITIES AND EXCHANGE Reference Room, 100 F Street NE, of Form X–17A–5 1 (17 CFR 249.617), COMMISSION Washington, DC 20549 on official and Schedule I of Form X–17A–5 not business days between the hours of later than 17 business days after the end [Release No. 34–89875; File No. SR– 10:00 a.m. and 3:00 p.m. Copies of the of each calendar year. NASDAQ–2020–060] filing also will be available for Paragraph (a)(2) of Rule 17a–10 inspection and copying at the principal requires a broker-dealer subject to Rule Self-Regulatory Organizations; The office of the Exchange. All comments 17a–5(a) to submit Schedule I of Form Nasdaq Stock Market LLC; Notice of received will be posted without change. X–17A–5 with its Form X–17A–5 for the Filing of Proposed Rule Change, As Persons submitting comments are calendar quarter ending December 31 of Modified by Amendment No. 1, To cautioned that we do not redact or edit each year. The burden associated with Treat as an Eligible Switch, for personal identifying information from filing Schedule I of Form X–17A–5 is Purposes of IM–5900–7, an Acquisition comment submissions. You should accounted for in the PRA filing Company That Switches From NYSE to submit only information that you wish associated with Rule 17a–5. Nasdaq After Announcing a Business to make available publicly. All Paragraph (b) of Rule 17a–10 provides Combination submissions should refer to File that the provisions of paragraph (a) do September 15, 2020. Number SR–BX–2020–026, and should not apply to members of national Pursuant to Section 19(b)(1) of the be submitted on or before October 13, securities exchanges or registered Securities Exchange Act of 1934 2020. national securities associations that (‘‘Act’’),1 and Rule 19b–4 thereunder,2 maintain records containing the For the Commission, by the Division of notice is hereby given that on information required by Form X–17A–5 Trading and Markets, pursuant to delegated September 1, 2020, The Nasdaq Stock authority.7 and which transmit to the Commission Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) copies of the records pursuant to a plan J. Matthew DeLesDernier, filed with the Securities and Exchange which has been declared effective by the Assistant Secretary. Commission (‘‘SEC’’ or ‘‘Commission’’) Commission. [FR Doc. 2020–20698 Filed 9–18–20; 8:45 am] a proposed rule change. On September The Commission staff estimates that BILLING CODE 8011–01–P 14, 2020, the Exchange filed approximately 46 broker-dealers will Amendment No. 1 to the proposed rule spend an average of 12 hours per year change, which amended and replaced complying with Rule 17a–10. Thus, the SECURITIES AND EXCHANGE the proposed rule change in its entirety. total compliance burden is estimated to COMMISSION The proposed rule change, as modified be approximately 552 burden-hours per by Amendment No. 1, is described in [SEC File No. 270–154, OMB Control No. year. 3235–0122] Items I, II, and III below, which Items An agency may not conduct or have been prepared by the Exchange. sponsor, and a person is not required to Submission for OMB Review; The Commission is publishing this respond to, a collection of information Comment Request notice to solicit comments on the under the PRA unless it displays a proposed rule change, as modified by Upon Written Request, Copies Available currently valid OMB control number. Amendment No. 1, from interested From: Securities and Exchange The public may view background persons. Commission, Office of FOIA Services, documentation for this information 100 F Street NE, Washington, DC collection at the following website: I. Self-Regulatory Organization’s 20549–2736 www.reginfo.gov. Find this particular Statement of the Terms of Substance of Extension: information collection by selecting the Proposed Rule Change Rule 17a–10 ‘‘Currently under 30-day Review—Open The Exchange proposes to treat as an Notice is hereby given that pursuant Eligible Switch, for purposes of IM– to the Paperwork Reduction Act of 1995 1 Form X–17A–5 is the Financial and Operational 5900–7, an Acquisition Company that Combined Uniform Single Report (‘‘FOCUS (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Report’’), which is used by broker-dealers to provide certain required information to the 1 15 U.S.C. 78s(b)(1). 7 17 CFR 200.30–3(a)(12). Commission. 2 17 CFR 240.19b–4.
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switches from NYSE to Nasdaq after generally need shareholder requirements of IM–5101–2(b). On the announcing a business combination. communication services, market other hand, if the company waits until This Amendment No. 1 replaces and analytic tools or market advisory tools it completes a business combination and supersedes the original filing in its and, upon listing (whether as an IPO or then switches to Nasdaq, the company entirety. when switching from another market), would not be listing on Nasdaq as an The text of the proposed rule change these Acquisition Companies do not Acquisition Company under IM–5101–2 is available on the Exchange’s website at receive complimentary services from and the company would receive services https://listingcenter.nasdaq.com/ Nasdaq under IM–5900–7.5 However, a with a higher value as an Eligible rulebook/nasdaq/rules, at the principal company completing a business Switch. office of the Exchange, and at the combination with a Nasdaq-listed Nasdaq believes that certain Commission’s Public Reference Room. Acquisition Company is eligible to companies may prefer to switch markets receive services under IM–5900–7 when after they announce their business II. Self-Regulatory Organization’s it lists on the Nasdaq Global or Global combination, but before they Statement of the Purpose of, and Select Market in conjunction with a consummate it, and that the competition Statutory Basis for, the Proposed Rule business combination that satisfies the for listing such a company is similar to Change conditions in IM–5101–2(b).6 At this the competition for a company that In its filing with the Commission, the point, the Acquisition Company qualifies as an Eligible Switch today. Exchange included statements transitions to being an operating Accordingly, Nasdaq proposes to treat concerning the purpose of and basis for company and has a similar need as as an Eligible Switch any company that the proposed rule change and discussed other companies for shareholder switches its listing from NYSE and lists any comments it received on the communication services, market on Nasdaq under IM–5101–2 after the proposed rule change. The text of these analytic tools and market advisory tools. company has publicly announced that it statements may be examined at the For this purpose, the Acquisition entered into a binding agreement for a places specified in Item IV below. The Company is treated as an ‘‘Eligible New business combination and that Exchange has prepared summaries, set Listing’’ under the rule, similar to a subsequently satisfies the conditions in forth in sections A, B, and C below, of company listing in connection with its IM–5101–2(b) and lists on the Global or the most significant aspects of such IPO.7 Global Select Market in conjunction statements. Nasdaq treats a company that with that business combination.9 A. Self-Regulatory Organization’s switches its listing from NYSE to the Removing the existing incentive for Statement of the Purpose of, and Nasdaq Global or Global Select Market an Acquisition Company to delay Statutory Basis for, the Proposed Rule as an ‘‘Eligible Switch’’ and offers such switching until the time of its business Change companies a package of services that combination will allow Nasdaq to can be more valuable than the package process both the removal of the 1. Purpose of services offered to Eligible New Acquisition Company and the Nasdaq proposes to modify IM–5900– Listings.8 This enhanced package, in simultaneous addition of the operating 7 to treat as an Eligible Switch under part, reflects the competition in the company, which will help ensure that that rule any Acquisition Company (as market for listing services. the transaction is processed smoothly defined below) that both: (i) Switched Under this construct, an Acquisition for the benefit of the company’s its listing from the New York Stock Company listed on NYSE that switches investors. Otherwise, multiple markets Exchange (‘‘NYSE’’) to list on Nasdaq to Nasdaq as an Acquisition Company would need to carefully choreograph the under IM–5101–2 after the company would not receive any services when it removal of the company’s securities publicly announced that it entered into switches, even if it has already from one market, a change in the name a binding agreement for a business announced its business combination, and symbol of the securities, and the combination; and (ii) subsequently but would receive services as an Eligible addition of securities to another market, satisfies the conditions in IM–5101–2(b) New Listing when it completes a which all occurs in conjunction with a and lists on the Nasdaq Global or Global business combination that satisfies the significant corporate event—the closing Select Markets in conjunction with that of the business combination. business combination.3 5 See Securities Exchange Act Release No. 79366 Of course an Acquisition Company (November 21, 2016), 81 FR 85663 (November 28, could only switch its listing to Nasdaq Nasdaq Rule IM–5101–2 imposes 2016). additional listing requirements on a 6 IM–5900–7(e). if it satisfies all of Nasdaq’s initial company whose business plan is to 7 Under IM–5900–7 ‘‘Eligible New Listings’’ listing requirements. In addition, the complete an initial public offering include ‘‘companies listing on the Global or Global combined company would again have to (‘‘IPO’’) and engage in a merger or Select Markets in connection with their initial satisfy all initial listing requirements at public offering in the United States, including the time of the business combination.10 acquisition with one or more American Depository Receipts (other than a unidentified companies within a company listed under IM–5101–2), upon emerging As under existing rules, the Acquisition specific period of time (‘‘Acquisition from bankruptcy, in connection with a spin-off or Company itself would not receive Companies’’).4 An Acquisition carve-out from another company, in connection services as an Eligible Switch under the with a Direct Listing as defined in IM–5315–1 proposed rule and the services would Company does not have an operating (including the listing of American Depository business and tends to trade infrequently Receipts), or in conjunction with a business only be available to the company upon and in a tight range until the company combination that satisfies the conditions in IM– completes an acquisition. Therefore, 5101–2(b).’’ 9 In the event that the Acquisition Company these Acquisition Companies do not 8 An Eligible Switch with a market capitalization terminates the business combination that was less than $750 million receives the same package announced when it switched it would not be of services for the same two year term as an Eligible eligible to receive services as an Eligible Switch 3 This Amendment No. 1 replaces and supersedes New Listing. An Eligible Switch with a market under the proposed rule; however, if the the original filing in its entirety to make clarifying capitalization of $750 million of more receives Acquisition Company subsequently completes a changes. service with a higher total retail value than a different business combination it may be eligible to 4 Securities Exchange Act Release No. 58228 (July comparably sized Eligible New Listing and will receive services as an Eligible New Listing as 25, 2008), 73 FR 44794 (July 31, 2008) (adopting the receive those services for four years instead of two described in existing IM–5900–7(e). predecessor to IM–5101–2). years. 10 See IM–5101–2(d) and (e).
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completing its business combination designed, among other things, to it will remove an impediment to a free and listing on the Nasdaq Global or provide for the equitable allocation of and open market and a national market Global Select Markets pursuant to the reasonable dues, fees, and other charges system, and will help to protect conditions described in IM–5900–7(e).11 among Exchange members and issuers investors by removing an impediment Nasdaq notes that no other company and other persons using its facilities and for an Acquisition Company to switch will be required to pay higher fees as a that the rules of the Exchange do not its listing prior to the closing of its result of the proposed amendments and impose any burden on competition not business combination. If a company is represents that providing these services necessary or appropriate in furtherance forced to wait to switch to Nasdaq until will have no impact on the resources of the purposes of the Exchange Act. the time it closes the business available for its regulatory programs. Nasdaq faces competition in the combination in order to be treated as an 17 Finally, Nasdaq proposes non- market for listing services, and Eligible Switch, additional risks can be substantive technical amendments to competes, in part, by offering valuable introduced into the process because IM–5900–7. Specifically, Nasdaq services to companies. Nasdaq believes both the exchange transfer and the proposes to eliminate most of the that it is reasonable to offer closing of the transaction, which will description of the history of the rule complimentary services to attract and typically includes a concurrent name from the rule text because it is no longer retain listings as part of this and symbol change, must be applicable to any companies. However, competition. In particular, Nasdaq coordinated between two exchanges. In Nasdaq proposes to relocate to a new believes it is reasonable, and not contrast, if the Acquisition Company is paragraph (g) and make minor non- unfairly discriminatory, to treat an able to switch earlier, then there is no substantive changes to the discussion Acquisition Company as an Eligible about the 2018 change to the services Switch for purposes of IM–5900–7 additional cross-market coordination offered because some companies are following the public announcement of required at the time of closing, which is still eligible to receive services under the business combination that is a significant step in the company’s life- the rule in effect prior to the 2018 intended to satisfy the conditions in cycle. The ability to switch before the change.12 Nasdaq also proposes to Listing Rule IM–5101–2(b) because the closing without an adverse effect in the renumber other paragraphs of the rule in Acquisition Company may reconsider services that the company will receive order to improve the rules’ readability. its listing market at that time, in from Nasdaq reduces potential risks for the company and its investors at the 2. Statutory Basis connection with its rebranding and the launch of the operating company as a time of closing of the business The Exchange believes that its public company. Nasdaq believes that combination and it will thereby remove proposal is consistent with Section 6(b) an impediment to a free and open 13 treating the company as an Eligible of the Exchange Act, in general, and Switch would provide an incentive to market and a national market system furthers the objectives of Section 6(b)(5) and help to better protect investors. 14 the company to list on Nasdaq. of the Exchange Act, in particular, in In addition, Nasdaq believes that in that it is designed to promote just and The non-substantive changes to most instances involving an Acquisition eliminate non-applicable history from equitable principles of trade, to remove Company that has announced a business impediments to and perfect the the rule text and renumber and combination, the operating company reorganize the rule will improve the mechanism of a free and open market plays a significant role in deciding and a national market system, and, in rule’s readability and thereby remove an where to list the combined company. impediment to a free and open market general to protect investors and the Accordingly, it is not unfair to treat an public interest and is not designed to and a national market system and help Acquisition Company that has to better protect investors. permit unfair discrimination between announced a business combination issuers. Nasdaq also believes that the differently from one that has not yet Nasdaq further represents, and this proposed rule change is consistent with made such an announcement. Nasdaq proposed rule change will help ensure, the provisions of Sections 6(b)(4),15 and believes it is not an inequitable that individual listed companies are not 6(b)(8),16 in that the proposal is allocation of fees to treat an Acquisition given specially negotiated packages of Company as an Eligible Switch products or services to list, or remain 11 Nasdaq has proposed to offer Acquisition listed, which the Commission has Companies listed on Nasdaq a complimentary following the public announcement of global targeting tool. See Exchange Act Release No. the business combination that is previously stated would raise unfair 89413 (July 28, 2020), 85 FR 46759 (August 3, 2020) intended to satisfy the conditions in discrimination issues under the (SR–Nasdaq–2020–044). If approved, an Exchange Act.18 Acquisition Company that switches its listing to Listing Rule IM–5101–2(b) for these Nasdaq after the public announcement that the same reasons and because the Finally, Nasdaq also believes it is company entered into a binding agreement for the consideration about whether to switch reasonable to balance its need to remain business combination intended to satisfy the markets is roughly the same for an competitive with other listing venues, conditions in IM–5101–2(b), as described herein, would be eligible to receive that tool from the date Acquisition Company that has publicly while at the same time ensuring of listing until 60 days following the completion of announced a business combination as it adequate revenue to meet is regulatory the business combination, or such time that the is for other companies that are responsibilities. Nasdaq notes that no Acquisition Company publicly announces that such considered Eligible Switches. other company will be required to pay agreement is terminated. Nasdaq also believes that the 12 See Securities Exchange Act Release No. 82976 higher fees as a result of the proposed (March 30, 2018), 83 FR 14683 (April 5, 2018) (SR– proposed rule change is consistent with amendments and it represents that NASDAQ–2018–023). This rule change became the objectives of Section 6(b)(5) because providing this service will have no operative for new listings on or after April 23, 2018. An Eligible Switch that listed under the rule in impact on the resources available for its 17 The Justice Department has noted the intense regulatory programs. effect before this date could receive services under competitive environment for exchange listings. See the prior rule for up to four years from its listing ‘‘NASDAQ OMX Group Inc. and date. IntercontinentalExchange Inc. Abandon Their 18 See Exchange Act Release No. 79366, 81 FR 13 15 U.S.C. 78f(b). Proposed Acquisition Of NYSE Euronext After 85663 at 85665 (citing Securities Exchange Act 14 15 U.S.C. 78f(b)(5). Justice Department Threatens Lawsuit’’ (May 16, Release No. 65127 (August 12, 2011), 76 FR 51449, 15 15 U.S.C. 78f(4). 2011), available at http://www.justice.gov/atr/ 51452 (August 18, 2011) (approving NYSE–2011– 16 15 U.S.C. 78f(8). public/press_releases/2011/271214.htm. 20)).
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B. Self-Regulatory Organization’s including whether the proposed rule Statement on Burden on Competition change, as modified by Amendment No. [FR Doc. 2020–20700 Filed 9–18–20; 8:45 am] The Exchange does not believe that 1, is consistent with the Act. Comments BILLING CODE 8011–01–P the proposed rule change will impose may be submitted by any of the any burden on competition not following methods: SECURITIES AND EXCHANGE necessary or appropriate in furtherance Electronic Comments COMMISSION of the purposes of the Act. As noted • above, Nasdaq faces competition in the Use the Commission’s internet [Release No. 34–89878; File No. SR– market for listing services, and comment form (http://www.sec.gov/ NASDAQ–2020–057] rules/sro.shtml); or competes, in part, by offering valuable • services to companies. The proposed Send an email to rule-comments@ Self-Regulatory Organizations; The rule change reflects that competition, sec.gov. Please include File Number SR– Nasdaq Stock Market LLC; Notice of but it does not impose any burden on NASDAQ–2020–060 on the subject line. Filing of Proposed Rule Change To the competition with other exchanges. Paper Comments Allow Companies To List in Rather, Nasdaq believes the proposed Connection With a Direct Listing With • Send paper comments in triplicate changes will enhance competition for a Primary Offering in Which the to Secretary, Securities and Exchange listings of Acquisition Companies. Company Will Sell Shares Itself in the Other exchanges can also offer similar Commission, 100 F Street NE, Opening Auction on the First Day of services to companies, thereby Washington, DC 20549–1090. Trading on Nasdaq and To Explain increasing competition to the benefit of All submissions should refer to File How the Opening Transaction for Such those companies and their shareholders. Number SR- NASDAQ–2020–060. This a Listing Will Be Effected Accordingly, Nasdaq does not believe file number should be included on the the proposed rule change will impose subject line if email is used. To help the September 15, 2020. any burden on competition that is not Commission process and review your Pursuant to Section 19(b)(1) of the necessary or appropriate in furtherance comments more efficiently, please use Securities Exchange Act of 1934 1 2 of the purposes of the Exchange Act, as only one method. The Commission will (‘‘Act’’) and Rule 19b–4 thereunder, amended. post all comments on the Commission’s notice is hereby given that on Nasdaq also notes that Nasdaq internet website (http://www.sec.gov/ September 4, 2020, The Nasdaq Stock Corporate Solutions competes with rules/sro.shtml). Copies of the Market LLC (‘‘Nasdaq’’ or the other service providers in providing the submission, all subsequent ‘‘Exchange’’) filed with the Securities services that are offered to Eligible amendments, all written statements and Exchange Commission (‘‘SEC’’ or Switches. To the extent that these other with respect to the proposed rule ‘‘Commission’’) the proposed rule providers believe that Nasdaq offering a change that are filed with the change as described in Items I and II complimentary services for a limited Commission, and all written below, which Items have been prepared time creates a competitive burden on communications relating to the by the Exchange. The Commission is their offerings, they are able to craft a proposed rule change between the publishing this notice to solicit similar program to attract Acquisition Commission and any person, other than comments on the proposed rule change Companies that have publicly those that may be withheld from the from interested persons. announced a business combination to public in accordance with the I. Self-Regulatory Organization’s their services. provisions of 5 U.S.C. 552, will be Statement of the Terms of Substance of C. Self-Regulatory Organization’s available for website viewing and the Proposed Rule Change Statement on Comments on the printing in the Commission’s Public Reference Room, 100 F Street NE, The Exchange proposes to allow Proposed Rule Change Received From companies to list in connection with a Members, Participants, or Others Washington, DC 20549 on official business days between the hours of primary offering in which the company No written comments were either 10:00 a.m. and 3:00 p.m. Copies of such will sell shares itself in the opening solicited or received. filing also will be available for auction on the first day of trading on Nasdaq and to explain how the opening III. Date of Effectiveness of the inspection and copying at the principal office of the Exchange. All comments transaction for such a listing will be Proposed Rule Change and Timing for effected. Commission Action received will be posted without change. Persons submitting comments are The text of the proposed rule change Within 45 days of the date of cautioned that we do not redact or edit is available on the Exchange’s website at publication of this notice in the Federal personal identifying information from https://listingcenter.nasdaq.com/ Register or within such longer period (i) comment submissions. You should rulebook/nasdaq/rules, at the principal as the Commission may designate up to submit only information that you wish office of the Exchange, and at the 90 days of such date if it finds such to make available publicly. All Commission’s Public Reference Room. longer period to be appropriate and submissions should refer to File publishes its reasons for so finding or II. Self-Regulatory Organization’s Number SR–NASDAQ–2020–060, and (ii) as to which the Exchange consents, Statement of the Purpose of, and should be submitted on or before the Commission shall: (a) By order Statutory Basis for, the Proposed Rule October 13, 2020. approve or disapprove such proposed Change rule change, or (b) institute proceedings For the Commission, by the Division of In its filing with the Commission, the to determine whether the proposed rule Trading and Markets, pursuant to delegated Exchange included statements 19 change should be disapproved. authority. concerning the purpose of and basis for J. Matthew DeLesDernier, the proposed rule change and discussed IV. Solicitation of Comments Assistant Secretary. any comments it received on the Interested persons are invited to submit written data, views, and 1 15 U.S.C. 78s(b)(1). arguments concerning the foregoing, 19 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.
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proposed rule change. The text of these In considering the initial listing of a Listing with a Capital Raise is at least statements may be examined at the company in connection with a Direct $110 million (or $100 million, if the places specified in Item IV below. The Listing on the Nasdaq Global Select Company has stockholders’ equity of at Exchange has prepared summaries, set Market, Listing Rule IM–5315–1 least $110 million).7 forth in sections A, B, and C below, of currently provides that the Exchange Officers, directors or owners of more the most significant aspects of such will determine that such company has than 10% of the company’s common statements. met the applicable Market Value of stock prior to the opening auction may Unrestricted Publicly Held Shares purchase shares sold by the company in A. Self-Regulatory Organization’s requirements based on the lesser of: (i) the opening auction, provided that such Statement of the Purpose of, and An independent third-party valuation of purchases are not inconsistent with Statutory Basis for, the Proposed Rule the company (a ‘‘Valuation’’); 4 and (ii) general anti-manipulation provisions, Change the most recent trading price for the Regulation M, and other applicable 1. Purpose company’s common stock in a Private securities laws. In addition, in the same Placement Market where there has been Nasdaq proposes to (1) adopt Listing way as for shares of a company listing sustained recent trading. For a security Rule IM–5315–2 to permit a company to following a traditional underwritten that has not had sustained recent list in connection with a primary IPO, such an insider owner may trading in a Private Placement Market 5 purchase shares sold by other offering in which the company will sell prior to listing, Nasdaq will determine shares itself in the opening auction on shareholders or sell its own shares in that such Company has met the Market the opening auction and in trading after the first day of trading on the Exchange Value of Unrestricted Publicly Held (a ‘‘Direct Listing with a Capital the opening auction, to the extent not 3 Shares requirement if the Company inconsistent with general anti- Raise’’); (2) amend Rule 4702 to add a satisfies the applicable Market Value of new order type (the ‘‘Company Direct manipulation provisions, Regulation M, Unrestricted Publicly Held Shares and other applicable securities laws. Listing Order’’), which will be used requirement and provides a Valuation during the Nasdaq Halt Cross for the Except as proposed for a Direct Listing evidencing a Market Value of Publicly with a Capital Raise, shares held by shares offered by the company in a Held Shares of at least $250,000,000. Direct Listing with a Capital Raise; and these types of inside investors are not In contrast, when applying this included in calculations of Publicly (3) amend Rules 4120(c)(9), 4573(a)(3) requirement to a Direct Listing with a and 4753(b)(2) to establish requirements Held Shares for purposes of Exchange Capital Raise, the Exchange and listing rules.8 The Exchange notes that for disseminating information, investors know the minimum price at establishing the opening price and such investors may acquire in secondary which the company can sell shares in market trades shares sold by the issuer initiating trading through the Nasdaq the offering, and therefore is proposing Halt Cross in a Direct Listing with a in a Direct Listing with a Capital Raise the following: that were included when calculating Capital Raise. • Nasdaq will calculate the value of whether the issuer meets the Market shares, including those being sold by Proposed Listing Rule IM–5315–2 Value of Unrestricted Publicly Held the company and those held by public Shares requirement for initial listing. Listing Rule IM–5315–1 provides shareholders immediately prior to the However, the Exchange notes that a additional initial listing requirements listing, using a price per share equal to company listing in conjunction with a for listing a company that has not the price that is 20% below the lowest Direct Listing with a Capital Raise will previously had its common equity price in the price range disclosed by the be required to have a Market Value of securities registered under the Act on issuer in its registration statement.6 Unrestricted Publicly Held Shares much the Nasdaq Global Select Market at the Nasdaq also will determine whether the higher than the Exchange’s minimum time of effectiveness of a registration company has met the applicable bid $45 million Market Value of statement filed solely for the purpose of price and market capitalization Unrestricted Publicly Held Shares allowing existing shareholders to sell requirements based on the same per requirement for a traditional their shares (a ‘‘Direct Listing’’). To share price. underwritten IPO. This heightened allow a company to also sell shares on • In determining whether the requirement, along with the ability of all its own behalf in connection with its company satisfies the Market Value of investors to purchase shares in the initial listing upon effectiveness of a Unrestricted Publicly Held Shares for opening process on the Exchange, registration statement, without a initial listing on the Nasdaq Global should result in companies using a traditional underwritten public offering, Select Market, the Exchange will deem Direct Listing a Capital Raise having the Exchange proposes to adopt Listing such Company to have met the adequate public float and a liquid Rule IM–5315–2. This proposed rule applicable requirement if the amount of trading market after the completion of would allow a company that has not the Company’s Unrestricted Publicly the opening auction. previously had its common equity Held Shares before the offering, along securities registered under the Act, to with the market value of the shares to list its common equity securities on the be sold by the company in the Direct 7 For example, if the company is selling five million shares in the opening auction and there are Nasdaq Global Select Market at the time 45 million shares issued and outstanding of effectiveness of a registration 4 IM–5315–1 describes the requirement for a immediately prior to the listing that are eligible for statement pursuant to which the Valuation, including the experience and inclusion as unrestricted publicly-held shares based company itself will sell shares in the independence of the entity providing the Valuation. on disclosure in the company’s registration 5 Nasdaq defines ‘‘Private Placement Market’’ in statement, then the Market Value of Unrestricted opening auction on the first day of Listing Rule 5005(a)(34) as a trading system for Publicly Held Shares will be calculated based on a trading on the Exchange. unregistered securities operated by a national combined total of 50 million shares. If the lowest securities exchange or a registered broker-dealer. price of the price range disclosed in the company’s 3 A Direct Listing with a Capital Raise includes 6 As described below, the Nasdaq Halt Cross registration statement is $10 per share, the situations where either: (i) Only the company itself would not execute at a price that is more than 20% Exchange will attribute to the company a Market is selling shares in the opening auction on the first below the bottom of the disclosed range. Thus, this Value of Unrestricted Publicly Held Shares of $400 day of trading; or (ii) the company is selling shares is the minimum price at which the company could million, based on a $8 price per share, which is and selling shareholders may also sell shares in list in connection with a Direct Listing with a 20% below the bottom of the disclosed range ($10). such opening auction. Capital Raise. 8 Rule 5005(a)(35).
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Any company listing in connection determined in the Nasdaq Halt Cross below the lowest price disclosed by the with a Direct Listing with a Capital also would need to be satisfied. company in its effective registration Raise would continue to be subject to, statement. There would be no upper Amendments to Rules 4120(c)(9), and required to meet, all other limit to the price determined in the Halt 4753(a)(3) and 4753(b)(2) applicable initial listing requirements, Cross. including the requirements to have the Nasdaq proposes to amend Rules Nasdaq also proposes changes to applicable number of shareholders and 4120(c)(9), 4573(a)(3) and 4753(b)(2) to Rules 4573(a)(3) and 4753(b)(2) to make at least 1,250,000 Unrestricted Publicly establish requirements for disseminating adjustments to the calculation of the Held Shares outstanding at the time of information, establishing the opening Current Reference Price, which is initial listing, and the requirement to price and initiating trading through the disseminated in the Nasdaq Order have a price per share of at least $4.00 Nasdaq Halt Cross in a Direct Listing Imbalance Indicator, in the case of a at the time of initial listing.9 with a Capital Raise. Direct Listing with a Capital Raise and Nasdaq proposes to add Rule Proposed Listing Rule IM–5315–2 also for how the price at which the Nasdaq 4120(c)(9)(B) to specify that in the case Halt Cross will execute. In each case, requires that securities listing in of the Direct Listing with a Capital connection with a Direct Listing with a where there are multiple prices that Raise, a security shall not be released for would satisfy the conditions for Capital Raise must begin trading on trading by Nasdaq unless the expected Nasdaq following the initial pricing determining a price, Nasdaq proposes to price at which the cross would occur (as modify the fourth tie-breaker for a Direct through the Nasdaq Halt Cross, which is defined in Rule 4120(c)(8)(A)(i)) is at or described in Rules 4120(c)(8) and 4753. Listing with a Capital Raise, to use the above the price that is 20% below the price closest to the price that is 20% To allow such initial pricing, the lowest price of the price range company must, in accordance with Rule below the lowest price of the price range established by the issuer in its effective disclosed by the issuer in its effective 4120(c)(9), have a broker-dealer serving registration statement.11 This registration statement. in the role of financial advisor to the requirement would be in addition to the Finally, Nasdaq proposes to amend issuer of the securities being listed, who existing conditions described in Rule Rule 4120(c)(9) to specify that the is willing to perform the functions 4120(c)(8)(A)(i), (ii), and (iii), which activities performed by a financial under Rule 4120(c)(8) that are would continue to apply.12 performed by an underwriter with Because the financial advisor is advisor under Rule 4120(c)(8) must be respect to an initial public offering.10 responsible for determining when the conducted in a manner that is consistent with all federal securities laws, Amendment to Rule 4702 security subject to the Nasdaq Halt Cross is ready to trade, these proposed including Regulation M and other anti- 13 The Exchange proposes to amend rule changes would make the financial manipulation requirements. This Rule 4702 to add a new order type, the advisor responsible for determining change will apply to traditional Direct ‘‘Company Direct Listing Order’’ or whether the Halt Cross for a Direct Listings, as described under IM–5315–1, ‘‘CDL Order’’, which will be used for the Listing with a Capital Raise can IM–5405–1 and IM–5505–1, as well as company’s order in a Direct Listing with proceed. If there is insufficient buy to Direct Listings with a Capital Raise, a Capital Raise. This will be a market interest to satisfy the CDL Order as as described under proposed IM–5315– order entered for the quantity of shares required by this proposed rule, the cross 2. offered by the issuer, as disclosed in an would not proceed and such security 2. Statutory Basis effective registration statement for the would not begin trading. If the cross offering that will execute at the price cannot be conducted, the Exchange The Exchange believes that its determined in the Nasdaq Halt Cross. A would notify market participants via a proposal is consistent with Section 6(b) 14 CDL Order may be entered only on Trader Update that the Direct Listing of the Act, in general, and furthers the 15 behalf of the issuer and the CDL Order with a Capital Raise has been cancelled objectives of Section 6(b)(5) of the Act, may not be cancelled or modified. Only and any orders for that security that in particular, in that it is designed to one Nasdaq member, representing the have been entered on the Exchange, promote just and equitable principles of issuer, may enter a CDL Order during a including the CDL Order, would be trade, to remove impediments to and Direct Listing with a Capital Raise. cancelled back to the entering firms. perfect the mechanism of a free and open market and a national market Under Nasdaq rules, a market order, Because the CDL Order will be a system, and, in general to protect such as the CDL Order, must be market order, if the Halt Cross proceeds, investors and the public interest. executed in full at the price determined that order will execute in full in the Halt Nasdaq believes that the proposed in the Nasdaq Halt Cross. In addition, Cross, along with orders priced at or amendment to the listing requirements all orders priced better than the price better than the price determined in the Halt Cross. As noted above, the Halt is consistent with the protection of Cross would not be allowed to proceed investors. The proposal would require 9 See Listing Rules 5315(f)(1), (e)(1) and (2), respectively. Rule 5315(f)(1) requires a security to if the price calculated is 20% or more that a company completing a Direct have: (A) At least 550 total holders and an average Listing with a Capital Raise have an monthly trading volume over the prior 12 months 11 SEC Rule 430A and question 227.03 of the SEC aggregate market value of unrestricted of at least 1,100,000 shares per month; or (B) at least Staff’s Compliance and Disclosure Interpretations, publicly-held shares immediately prior 2,200 total holders; or (C) a minimum of 450 round dated November 6, 2017, generally allow a to listing together with the market value lot holders and at least 50% of such round lot company to price a public offering 20% outside of holders must each hold unrestricted securities with the disclosed price range without regard to the of shares the company sells in the a market value of at least $2,500. materiality of the changes to the disclosure opening auction total at least $110 10 As noted below, the Exchange also proposes to contained in the company’s registration statement. million (or $100 million, if the amend Rule 4120(c)(9) to specify that any services 12 Rule 4120(c)(8)(A) provides that a security will Company has stockholders’ equity of at provided by such financial advisor to the issuer of not be released for trading until Nasdaq receives a security, including a company listing in notice from the underwriter of the IPO or financial connection with a Direct Listing with a Capital advisor in the case of a Direct Listing that the 13 Rule 4120(c)(8) describes the activities Raise, must provide such services in a manner that security is ready to trade, the system verifies that performed by an underwriter in an IPO and by a is consistent with all federal securities laws, all market orders will be executed in the cross, and financial advisor in a Direct Listing. including Regulation M and other anti- the price determined in the cross satisfies a price 14 15 U.S.C. 78f(b). manipulation requirements. validation test. 15 15 U.S.C. 78f(b)(5).
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least $110 million), with such market will promote fair and orderly markets by including Regulation M and other anti- value calculated using a price per share protecting against volatility in the manipulation requirements. equal to 20% below the lowest price of pricing and initial trading of securities Nasdaq believes that the proposed the price range established by the issuer covered by the proposed rule change. rule change to modify the fourth tie- in its registration statement. While Accordingly, Nasdaq believes these breaker used in calculating the Current officers, directors or owners of more changes, as required by Section 6(b)(5) Reference Price disseminated in the than 10% of the company’s common of the Exchange Act, are reasonably Nasdaq Order Imbalance Indicator and stock prior to the opening auction may designed to protect investors and the the price at which the Nasdaq Halt purchase shares sold by the company or public interest and promote just and Cross will occur, protects investors and other shareholders in the opening equitable principles of trade for the the public interest. For a Direct Listing, transaction on Nasdaq, in the event that opening of securities listing in in using the Halt Cross to initiate the such purchases are not inconsistent connection with a Direct Listing with a initial trading in the company’s with general anti-manipulation Capital Raise on the Nasdaq Global securities, the Current Reference Price provisions, Regulation M, and other Select Market. and price at which the Nasdaq Halt applicable securities laws, Nasdaq Nasdaq also believes that the Cross will occur may be based on the expects that a company expecting to sell proposed adoption of the CDL Order a significant portion of its shares to type in Rule 4702 and the addition of most recent transaction price in a officers, directors and existing requirements to the operation of the Private Placement Market where the significant shareholders would not Nasdaq Halt Cross in Rule 4120(c)(9) security has had recent sustained undertake a public listing through a will remove impediments to and perfect trading in such a market over several Direct Listing with a Capital Raise. the mechanism of a free and open months; otherwise the price will be Nasdaq also notes that a company may market and a national market system determined by the Exchange in list on the Global Select Market in because it would guarantee that the consultation with a financial advisor to connection with its initial public Nasdaq Halt Cross would only occur the issuer. For an IPO, however, the offering with a market value of above a minimum specified price, as fourth tie-breaker used in calculating unrestricted publicly held shares of $45 described above, and, if the Halt Cross the Current Reference Price, is the price million and that unlike a company occurs, all shares offered by the that is closest to the Issuer’s Initial listing in connection with a Direct company would be sold at no less than Public Offering Price. Because a Direct Listing that could qualify for the price- such minimum price. Unlike an IPO, a Listing with a Capital Raise is similar to based initial listing requirements based company listing through a Direct Listing an IPO in that the company sells on a Valuation, a company listing in with a Capital Raise would not have an securities in the offering, the proposed connection with a Direct Listing with a underwriter to guarantee that a specified rule change provides that the forth tie- Capital Raise, like an IPO, must qualify number of shares would be sold by the breaker in calculating the Current for such requirements based on the company at a price consistent with Reference Price for such security is the minimum price at which it could sell disclosure in the company’s effective price that is closest to the price that is shares in the offering. The higher registration statement. This certainty 20% below the lowest price of the price requirement, along with the ability of all would be effected in two ways. First, the range disclosed by the issuer in its investors to purchase shares in the proposed CDL Order would be required effective registration statement, which is opening process on the Exchange, to be equal to the total number of shares the minimum price at which the Halt should result in companies using a disclosed as being offered by the Cross will occur. Direct Listing a Capital Raise having company in the prospectus included in B. Self-Regulatory Organization’s the effective registration statement filed adequate public float and a liquid Statement on Burden on Competition trading market after the completion of in connection with its listing. The the opening auction. Nasdaq Halt Cross would only occur if The Exchange does not believe that Nasdaq also believes that it is all of the shares in this market order the proposed rule change will impose consistent with the protection of could be executed. Second, the Nasdaq any burden on competition not investors to calculate the security’s bid Halt Cross would be required to occur necessary or appropriate in furtherance price and values derived from the at a price per share no less than the of the purposes of the Act. The security’s price using a price per share price that is 20% below the lowest price proposed amendments would not equal to the price that is 20% below the of the price range disclosed by the impose any burden on competition, but lowest price of the price range disclosed issuer in its registration statement. would rather increase competition. In by the issuer in its registration Nasdaq further believes that these that regard, the Commission recently statement. Commission rules and proposed changes would remove approved a similar proposal to allow a interpretations generally allow the sale impediments to and perfect the Direct Listing with a Capital Raise on of securities pursuant to an effective mechanism of a free and open market the New York Stock Exchange.16 registration statement at a price that is and a national market system because Allowing Nasdaq to have similar rules 20% below the lowest price of the price they are designed to function seamlessly will give issuers interested in this range disclosed by the issuer in its with the existing process for the Nasdaq pathway to access the capital markets a registration statement. As a result, Halt Cross, including dissemination of choice of listing venues, which will Nasdaq will allow the Halt Cross to take information about the expected price. enhance competition among exchanges. place as low as this price, but no lower, Nasdaq also believes that it is and so this is the minimum price at consistent with the protection of 16 Securities Exchange Act Release No. 89684 which the company could be listed. investors and the public interest to (August 26, 2020), 85 FR 54454 (September 1, 2020) The proposed requirement that a remind financial advisors in a Direct (approving SR–NYSE–2019–67). See also a letter company that lists on the Nasdaq Global Listing, including Direct Listings with a from J. Matthew DeLesDernier, Assistant Secretary, Select Markets through a Direct Listing Capital Raise, that activities in the Office of the Secretary of the SEC, to John Carey Senior Director, NYSE Group Inc., indicating that with a Capital Raise must begin trading connection with the listing must be the approval order is stayed until the Commission of the company’s securities following conducted in a manner that is consistent orders otherwise. (Available at https://www.sec.gov/ the initial pricing through the Halt Cross with the federal securities laws, rules/sro/nyse/2020/34-89684-carey-letter.pdf).
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C. Self-Regulatory Organization’s printing in the Commission’s Public as regulatory compliance processes Statement on Comments on the Reference Room, 100 F Street NE, related to those functions. Proposed Rule Change Received From Washington, DC 20549 on official The text of the proposed rule change Members, Participants, or Others business days between the hours of is available on the Exchange’s website at No written comments were either 10:00 a.m. and 3:00 p.m. Copies of such https://listingcenter.nasdaq.com/ filing also will be available for solicited or received. rulebook/phlx/rules, at the principal inspection and copying at the principal office of the Exchange, and at the III. Date of Effectiveness of the office of the Exchange. All comments Commission’s Public Reference Room. Proposed Rule Change and Timing for received will be posted without change. Commission Action Persons submitting comments are II. Self-Regulatory Organization’s Statement of the Purpose of, and Within 45 days of the date of cautioned that we do not redact or edit personal identifying information from Statutory Basis for, the Proposed Rule publication of this notice in the Federal Change Register or within such longer period comment submissions. You should up to 90 days (i) as the Commission may submit only information that you wish In its filing with the Commission, the designate if it finds such longer period to make available publicly. All Exchange included statements submissions should refer to File to be appropriate and publishes its concerning the purpose of and basis for Number SR–NASDAQ–2020–057, and reasons for so finding or (ii) as to which the proposed rule change and discussed should be submitted on or before the Exchange consents, the Commission any comments it received on the October 13, 2020. will: (a) By order approve or disapprove proposed rule change. The text of these such proposed rule change, or (b) For the Commission, by the Division of statements may be examined at the Trading and Markets, pursuant to delegated places specified in Item IV below. The institute proceedings to determine 17 whether the proposed rule change authority. Exchange has prepared summaries, set should be disapproved. J. Matthew DeLesDernier, forth in sections A, B, and C below, of Assistant Secretary. the most significant aspects of such IV. Solicitation of Comments [FR Doc. 2020–20702 Filed 9–18–20; 8:45 am] statements. Interested persons are invited to BILLING CODE 8011–01–P A. Self-Regulatory Organization’s submit written data, views, and Statement of the Purpose of, and arguments concerning the foregoing, Statutory Basis for, the Proposed Rule including whether the proposed rule SECURITIES AND EXCHANGE Change change is consistent with the Act. COMMISSION 1. Purpose Comments may be submitted by any of [Release No. 34–89870; File No. SR–Phlx– the following methods: 2020–44] The Exchange proposes to update and Electronic Comments amend the data feeds table in Rule 3304, Self-Regulatory Organizations; Nasdaq which sets forth on a market-by-market • Use the Commission’s internet PHLX LLC; Notice of Filing and basis the specific proprietary and comment form (http://www.sec.gov/ Immediate Effectiveness of Proposed network processor feeds that the rules/sro.shtml); or Rule Change To Amend Rule 3304 Exchange utilizes for the handling, • Send an email to rule-comments@ September 15, 2020. routing, and execution of orders, and for sec.gov. Please include File Number SR– performing the regulatory compliance NASDAQ–2020–057 on the subject line. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 checks related to each of those Paper Comments (‘‘Act’’),1 and Rule 19b–4 thereunder,2 functions. Specifically, the table would be amended to reflect that the Exchange • notice is hereby given that on Send paper comments in triplicate will receive a direct feed from NYSE to Secretary, Securities and Exchange September 3, 2020, Nasdaq PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the National, Inc. (‘‘NYSE National’’), NYSE Commission, 100 F Street NE, Chicago, Inc. (‘‘NYSE Chicago’’), and Washington, DC 20549–1090. Securities and Exchange Commission (‘‘Commission’’) the proposed rule Investors Exchange LLC (‘‘IEX’’) as its All submissions should refer to File change as described in Items I and II primary quotation data source and CQS/ Number SR–NASDAQ–2020–057. This below, which Items have been prepared UQDF will become its secondary data file number should be included on the by the Exchange. The Commission is source for the handling, routing and subject line if email is used. To help the publishing this notice to solicit execution of orders and for performing Commission process and review your comments on the proposed rule change regulatory compliance processes related comments more efficiently, please use from interested persons. to each of those functions. The change only one method. The Commission will to the primary sources reflects the post all comments on the Commission’s I. Self-Regulatory Organization’s Exchange’s effort to include an internet website (http://www.sec.gov/ Statement of the Terms of Substance of additional source in the event the rules/sro.shtml). Copies of the the Proposed Rule Change primary source is unable to provide submission, all subsequent The Exchange proposes to amend data. amendments, all written statements Rule 3304 (Data Feeds Utilized) to The Exchange proposes to implement with respect to the proposed rule change the primary and secondary the proposed rule change no later than change that are filed with the source of quotation data of certain ninety (90) days following the effective Commission, and all written market centers in the list of proprietary date of the proposed rule change. The communications relating to the and network processor feeds that the Exchange notes this additional time proposed rule change between the Exchange utilizes for the handling, gives the Exchange time to configure its Commission and any person, other than routing, and execution of orders as well system accordingly. those that may be withheld from the 2. Statutory Basis public in accordance with the 17 17 CFR 200.30–3(a)(12). provisions of 5 U.S.C. 552, will be 1 15 U.S.C. 78s(b)(1). The Exchange believes that its available for website viewing and 2 17 CFR 240.19b–4. proposal is consistent with Section 6(b)
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of the Act,3 in general, and furthers the At any time within 60 days of the filing also will be available for objectives of Section 6(b)(5) of the Act,4 filing of the proposed rule change, the inspection and copying at the principal in particular, in that it is designed to Commission summarily may office of the Exchange. All comments promote just and equitable principles of temporarily suspend such rule change if received will be posted without change. trade, to remove impediments to and it appears to the Commission that such Persons submitting comments are perfect the mechanism of a free and action is necessary or appropriate in the cautioned that we do not redact or edit open market and a national market public interest, for the protection of personal identifying information from system, and, in general to protect investors, or otherwise in furtherance of comment submissions. You should investors and the public interest. the purposes of the Act. If the submit only information that you wish The Exchange believes that the Commission takes such action, the to make available publicly. All proposed rule change removes Commission shall institute proceedings submissions should refer to File impediments to and perfects the to determine whether the proposed rule Number SR–Phlx–2020–44, and should mechanism of a free and open market change should be approved or be submitted on or before October 13, because updating its data feeds table of disapproved. 2020. market centers for which the exchange IV. Solicitation of Comments For the Commission, by the Division of consumes quotation data through a Trading and Markets, pursuant to delegated direct feed will provide clarity to market Interested persons are invited to authority.7 participants. Additionally, it is submit written data, views, and J. Matthew DeLesDernier, necessary and consistent with the arguments concerning the foregoing, Assistant Secretary. including whether the proposed rule public interest and the protection of [FR Doc. 2020–20697 Filed 9–18–20; 8:45 am] investors to update the Exchange’s table change is consistent with the Act. BILLING CODE 8011–01–P of market centers in Rule 3304 in order Comments may be submitted by any of to provide transparency with respect to the following methods: all the direct proprietary and network Electronic Comments SECURITIES AND EXCHANGE processor feeds from which the • COMMISSION Exchange obtains market data. Use the Commission’s internet comment form (http://www.sec.gov/ [Release No. 34–89869; File No. SR– B. Self-Regulatory Organization’s rules/sro.shtml); or NYSEArca–2020–80] Statement on Burden on Competition • Send an email to rule-comments@ Self-Regulatory Organizations; NYSE The Exchange does not believe that sec.gov. Please include File Number SR– Arca, Inc.; Notice of Filing of Proposed the proposed rule change will impose Phlx–2020–44 on the subject line. Rule Change To List and Trade Shares any burden on competition not Paper Comments of the Alger Mid Cap 40 ETF and Alger necessary or appropriate in furtherance • Send paper comments in triplicate 25 ETF Under Rule 8.900–E, Managed of the purposes of the Act. The to Secretary, Securities and Exchange Portfolio Shares proposed rule change is not designed to Commission, 100 F Street NE, address any competitive issue; instead, Washington, DC 20549–1090. September 15, 2020. its purpose is to enhance transparency Pursuant to Section 19(b)(1) 1 of the with respect to the operation of the All submissions should refer to File Number SR–Phlx–2020–44. This file Securities Exchange Act of 1934 Exchange and its use of market data (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 feeds. number should be included on the subject line if email is used. To help the notice is hereby given that, on C. Self-Regulatory Organization’s Commission process and review your September 1, 2020, NYSE Arca, Inc. Statement on Comments on the comments more efficiently, please use (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed Proposed Rule Change Received From only one method. The Commission will with the Securities and Exchange Members, Participants, or Others post all comments on the Commission’s Commission (‘‘Commission’’) the internet website (http://www.sec.gov/ proposed rule change as described in No written comments were either Items I and II below, which Items have solicited or received. rules/sro.shtml). Copies of the submission, all subsequent been prepared by the self-regulatory III. Date of Effectiveness of the amendments, all written statements organization. The Commission is Proposed Rule Change and Timing for with respect to the proposed rule publishing this notice to solicit Commission Action change that are filed with the comments on the proposed rule change Because the foregoing proposed rule Commission, and all written from interested persons. change does not: (i) Significantly affect communications relating to the I. Self-Regulatory Organization’s the protection of investors or the public proposed rule change between the Statement of the Terms of Substance of interest; (ii) impose any significant Commission and any person, other than the Proposed Rule Change those that may be withheld from the burden on competition; and (iii) become The Exchange proposes to list and public in accordance with the operative for 30 days from the date on trade shares of the following under Rule provisions of 5 U.S.C. 552, will be which it was filed, or such shorter time 8.900–E (Managed Portfolio Shares): available for website viewing and as the Commission may designate, it has Alger Mid Cap 40 ETF and Alger 25 printing in the Commission’s Public become effective pursuant to Section ETF. The proposed change is available 5 Reference Room, 100 F Street NE, 19(b)(3)(A) of the Act and Rule 19b– on the Exchange’s website at 6 Washington, DC 20549 on official 4(f)(6) thereunder. www.nyse.com, at the principal office of business days between the hours of the Exchange, and at the Commission’s 3 15 U.S.C. 78f(b). 10:00 a.m. and 3:00 p.m. Copies of the Public Reference Room. 4 15 U.S.C. 78f(b)(5). 5 15 U.S.C. 78s(b)(3)(A). description and text of the proposed rule change, 7 6 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– at least five business days prior to the date of filing 17 CFR 200.30–3(a)(12). 4(f)(6)(iii) requires a self-regulatory organization to of the proposed rule change, or such shorter time 1 15 U.S.C. 78s(b)(1). give the Commission written notice of its intent to as designated by the Commission. The Exchange 2 15 U.S.C. 78a. file the proposed rule change, along with a brief has satisfied this requirement. 3 17 CFR 240.19b–4.
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II. Self-Regulatory Organization’s Massachusetts and registered with the Company portfolio or changes thereto or Statement of the Purpose of, and Commission as an open-end the Creation Basket. Statutory Basis for, the Proposed Rule management investment company.5 The Rule 8.900–E(b)(4) is similar to Change investment adviser to each Fund will be Commentary .03(a)(i) and (iii) to Rule In its filing with the Commission, the Fred Alger Management, LLC (the 5.2–E(j)(3); however, Commentary .03(a) self-regulatory organization included ‘‘Adviser’’). Fred Alger & Company, LLC in connection with the establishment of statements concerning the purpose of, (the ‘‘Distributor’’) will serve as the a ‘‘fire wall’’ between the investment and basis for, the proposed rule change distributor of each of the Funds’ Shares. adviser and the broker-dealer reflects and discussed any comments it received All statements and representations the applicable open-end fund’s on the proposed rule change. The text made in this filing regarding (a) the portfolio, not an underlying benchmark description of the portfolio or reference index, as is the case with index-based of those statements may be examined at 7 the places specified in Item IV below. assets, (b) limitations on portfolio funds. Rule 8.900–E(b)(4) is also The Exchange has prepared summaries, holdings or reference assets, or (c) the similar to Commentary .06 to Rule set forth in sections A, B, and C below, applicability of Exchange rules shall 8.600–E related to Managed Fund of the most significant parts of such constitute continued listing Shares, except that Rule 8.900–E(b)(4) statements. requirements for listing the Shares on relates to establishment and the Exchange, as provided under Rule maintenance of a ‘‘fire wall’’ between A. Self-Regulatory Organization’s 8.900–E(b)(1). the investment adviser and personnel of Statement of the Purpose of, and the Rule 8.900–E(b)(4) provides that, if the broker-dealer or broker-dealer Statutory Basis for, the Proposed Rule the investment adviser to the affiliate, as applicable, with respect to Change Investment Company issuing Managed an Investment Company’s portfolio and 1. Purpose Portfolio Shares is registered as a Creation Basket, and not just to the broker-dealer or is affiliated with a underlying portfolio, as is the case with NYSE Arca Rule 8.900–E permits the broker-dealer, such investment adviser Managed Fund Shares. The Adviser is listing and trading, or trading pursuant will erect and maintain a ‘‘fire wall’’ not registered as a broker-dealer but is to unlisted trading privileges, of between the investment adviser and affiliated with a broker-dealer. The Managed Portfolio Shares, which are personnel of the broker-dealer or broker- Adviser has implemented and will securities issued by an actively managed dealer affiliate, as applicable, with maintain a ‘‘fire wall’’ with respect to open-end investment management respect to access to information such broker-dealer affiliate regarding 4 company. Rule 8.900–E(b)(1) requires concerning the composition of and/or access to information concerning the the Exchange to file separate proposals changes to such Investment Company composition of and/or changes to a under Section 19(b) of the Act before portfolio and/or the Creation Basket.6 Fund’s portfolio and/or Creation Basket. listing and trading any series of Any person related to the investment In the event (a) the Adviser or any Managed Portfolio Shares on the adviser or Investment Company who sub-adviser becomes registered as a Exchange. Therefore, the Exchange is makes decisions pertaining to the broker-dealer or becomes newly submitting this proposal in order to list Investment Company’s portfolio affiliated with a broker-dealer, or (b) any and trade Managed Portfolio Shares of composition or has access to new adviser or sub-adviser is a the Alger Mid Cap 40 ETF and the Alger information regarding the Investment registered broker-dealer, or becomes 25 ETF (each a ‘‘Fund’’ and, Company’s portfolio composition or affiliated with a broker-dealer, it will collectively, the ‘‘Funds’’) under Rule changes thereto or the Creation Basket implement and maintain a fire wall with 8.900–E. must be subject to procedures designed respect to personnel of the broker-dealer or broker-dealer affiliate regarding Description of the Funds and the Trust to prevent the use and dissemination of material non-public information The shares of each Fund (the 7 regarding the applicable Investment An investment adviser to an open-end fund is ‘‘Shares’’) will be issued by The Alger required to be registered under the Investment ETF Trust (the ‘‘Trust’’), a business trust Advisers Act of 1940 (the ‘‘Advisers Act’’). As a 5 The Trust is registered under the Investment result, the Adviser and its related personnel will be organized under the laws of the state of Company Act of 1940 (the ‘‘1940 Act’’). On August subject to the provisions of Rule 204A–1 under the 17, 2020, the Trust filed a registration statement on Advisers Act relating to codes of ethics. This Rule 4 Rule 8.900–E(c)(1) provides that the term Form N–1A under the Securities Act of 1933 (the requires investment advisers to adopt a code of ‘‘Managed Portfolio Share’’ means a security that (a) ‘‘1933 Act’’) and the 1940 Act for the Funds (File ethics that reflects the fiduciary nature of the represents an interest in an investment company No. 811–23603) (‘‘Registration Statement’’). The relationship to clients as well as compliance with registered under the Investment Company Act of Commission issued an order granting exemptive other applicable securities laws. Accordingly, 1940 (‘‘Investment Company’’) organized as an relief to the Trust (‘‘Exemptive Order’’) under the procedures designed to prevent the communication open-end management investment company that 1940 Act on May 19, 2020 (Investment Company and misuse of non-public information by an invests in a portfolio of securities selected by the Act Release No. 33869). The Exemptive Order was investment adviser must be consistent with Rule Investment Company’s investment adviser granted in response to the Trust’s application for 204A–1 under the Advisers Act. In addition, Rule consistent with the Investment Company’s exemptive relief (the ‘‘Exemptive Application’’) 206(4)–7 under the Advisers Act makes it unlawful investment objectives and policies; (b) is issued in (File No. 812–15117). The description of the for an investment adviser to provide investment a Creation Unit, or multiples thereof, in return for operation of the Trust and the Funds herein is advice to clients unless such investment adviser has a designated portfolio of instruments (and/or an based, in part, on the Registration Statement. (i) adopted and implemented written policies and amount of cash) with a value equal to the next 6 Rule 8.900–E(c)(5) provides that the term procedures reasonably designed to prevent determined net asset value and delivered to the ‘‘Creation Basket’’ means, on any given business violations, by the investment adviser and its Authorized Participant (as defined in the day, the names and quantities of the specified supervised persons, of the Advisers Act and the Investment Company’s Form N–1A filed with the instruments (and/or an amount of cash) that are Commission rules adopted thereunder; (ii) Commission) through a Confidential Account; (c) required for an AP Representative to deposit in- implemented, at a minimum, an annual review when aggregated into a Redemption Unit, or kind on behalf of an Authorized Participant in regarding the adequacy of the policies and multiples thereof, may be redeemed for a exchange for a Creation Unit and the names and procedures established pursuant to subparagraph (i) designated portfolio of instruments (and/or an quantities of the specified instruments (and/or an above and the effectiveness of their amount of cash) with a value equal to the next amount of cash) that will be transferred in-kind to implementation; and (iii) designated an individual determined net asset value delivered to the an AP Representative on behalf of an Authorized (who is a supervised person) responsible for Confidential Account for the benefit of the Participant in exchange for a Redemption Unit, administering the policies and procedures adopted Authorized Participant; and (d) the portfolio which will be identical and will be transmitted to under subparagraph (i) above. The Funds will also holdings for which are disclosed within at least 60 each AP Representative before the commencement be required to comply with Exchange rules relating days following the end of every fiscal quarter. of trading. to disclosure, including Rule 5.3–E(i).
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access to information concerning the securities, including common or filed with the Commission, will sign an composition and/or changes to the preferred stocks listed on U.S. agreement with an AP Representative 15 portfolio and/or Creation Basket. Any exchanges, of mid-cap companies. establishing the Confidential Account person related to the Adviser or the Alger 25 ETF for the benefit of the AP. AP Trust who makes decisions pertaining to The Fund’s primary objective is to Representatives will be broker-dealers. a Fund’s portfolio composition or that seek long-term capital appreciation. The An AP must be a Depository Trust has access to information regarding a Fund will primarily invest in equity Company Participant that has executed Fund’s portfolio composition or that has securities of companies listed on U.S. an authorized participant agreement access to information regarding a Fund’s exchanges, including common or (‘‘Participant Agreement’’) with the portfolio or changes thereto or the preferred stocks. Distributor with respect to the creation Creation Basket will be subject to Investment Restrictions and redemption of Creation Units and procedures designed to prevent the use Redemption Units and formed a and dissemination of material non- Each Fund’s holdings will be Confidential Account for its benefit in public information regarding such consistent with all requirements accordance with the terms of the portfolio or changes thereto and the described in the Exemptive Application Participant Agreement. For purposes of 10 Creation Basket. and Exemptive Order. creations or redemptions, all Further, Rule 8.900–E(b)(5) requires Each Fund’s investments, including transactions will be effected through the that any person or entity, including an derivatives, will be consistent with its respective AP’s Confidential Account, AP Representative, custodian, Reporting investment objective and will not be for the benefit of the AP, without Authority, distributor, or administrator, used to enhance leverage (although disclosing the identity of such securities who has access to non-public certain derivatives and other to the AP. information regarding the Investment investments may result in leverage). Each day, the Funds’ custodian will Company’s portfolio composition or That is, for each Fund, the Fund’s transmit the Funds’ Creation Basket (as changes thereto or the Creation Basket, investments will not be used to seek described below) to each AP must be subject to procedures performance that is the multiple or Representative. This information will reasonably designed to prevent the use inverse multiple (e.g., 2X or –3X) of the permit an AP that has established a and dissemination of material non- Fund’s primary broad-based securities Confidential Account with an AP benchmark index (as defined in Form Representative to transact in the public information regarding the 11 applicable Investment Company N–1A). underlying securities of the Creation portfolio or changes thereto or the Creations and Redemptions of Shares Basket through their AP Representatives, enabling them to Creation Basket. Moreover, if any such Creations and redemptions of Shares engage in in-kind creation or person or entity is registered as a broker- will take place as described in Rule redemption activity without knowing dealer or affiliated with a broker-dealer, 8.900–E. Specifically, in connection the identity or weighting of those such person or entity will erect and with the creation and redemption of securities. Fund Shares will be issued maintain a ‘‘fire wall’’ between the Creation Units 12 and Redemption and redeemed in Creation Units and person or entity and the broker-dealer Units,13 the delivery or receipt of any Redemption Units, the size of which with respect to access to information portfolio securities in-kind will be will be specified in the Registration concerning the composition and/or required to be effected through a Statement. The Funds will offer and changes to such Investment Company separate confidential brokerage account redeem Creation Units and Redemption portfolio or Creation Basket. (a ‘‘Confidential Account’’).14 Units on a continuous basis at the net 8 Authorized Participants (‘‘AP’’), as Description of the Funds asset value (‘‘NAV’’) per Share next defined in the applicable Form N–1A Each Fund’s holdings will conform to determined after receipt of an order in the permissible investments as set forth proper form. The Funds’ NAVs will be 10 See id. in the Exemptive Application and 11 Each Fund’s broad-based securities benchmark determined as of the scheduled closing Exemptive Order and the holdings will index will be identified in a future amendment to time of the regular trading session on be consistent with all requirements in the Registration Statement following that Fund’s the NYSE (ordinarily, 4:00 p.m. E.T.) on the Exemptive Application and first full calendar year of performance. each business day. 12 Exemptive Order.9 Rule 8.900–E(c)(6) provides that the term To keep costs low and permit the ‘‘Creation Unit’’ means a specified minimum Funds to be as fully invested as Alger Mid Cap 40 ETF number of Managed Portfolio Shares issued by an Investment Company at the request of an possible, Shares are generally purchased The Fund’s primary objective is to Authorized Participant in return for a designated and redeemed in Creation Units and seek long-term capital appreciation. The portfolio of instruments and/or cash. Redemption Units on an in-kind basis. 13 Fund will primarily invest in equity Rule 8.900–E(c)(7) provides that the term Except in limited circumstances where ‘‘Redemption Unit’’ means a specified minimum number of Managed Portfolio Shares that may be the purchase or redemption will include 8 The Exchange represents that, for initial and/or redeemed to an Investment Company at the request cash, purchasers, through the AP continued listing, each Fund will be in compliance of an Authorized Participant in return for a Representative, purchase Creation Units with Rule 10A–3 under the Act. See 17 CFR portfolio of instruments and/or cash. by making an in-kind deposit of 240.10A–3. 14 Rule 8.900–E(c)(4) provides that the term 9 Pursuant to the Exemptive Order, the only ‘‘Confidential Account’’ means an account owned specified instruments (‘‘Deposit permissible investments for a Fund are the by an Authorized Participant and held with an AP following: exchange-traded funds (‘‘ETFs’’), Representative on behalf of the Authorized 15 Rule 8.900–E(c)(3) provides that the term ‘‘AP exchange-traded notes, exchange-listed common Participant. The account will be established and Representative’’ means an unaffiliated broker- stocks, exchange-traded American Depositary governed by contractual agreement between the AP dealer, with which an Authorized Participant has Receipts, exchange-traded real estate investment Representative and the Authorized Participant signed an agreement to establish a Confidential trusts, exchange-traded commodity pools, solely for the purposes of creation and redemption, Account for the benefit of such Authorized exchange-traded metals trusts, exchange-traded while keeping confidential the Creation Basket Participant, that will deliver or receive, on behalf currency trusts and exchange-traded futures that constituents of each series of Managed Portfolio of the Authorized Participant, all consideration to trade contemporaneously with Shares of a Fund, as Shares, including from the Authorized Participant. or from the Investment Company in a creation or well as cash and cash equivalents (short-term U.S. The books and records of the Confidential Account redemption. An AP Representative will not be Treasury securities, government money market will be maintained by the AP Representative on permitted to disclose the Creation Basket to any funds, and repurchase agreements). behalf of the Authorized Participant. person, including the Authorized Participants.
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Instruments’’), and the AP the NAV attributable to a Creation Unit Representative in order to facilitate Representative, acting on behalf of an and the aggregate market value of the orderly processing of redemptions. Authorized Participant that is Creation Basket exchanged for the Net Asset Value redeeming shares, receives an in-kind Creation Unit, the party conveying transfer of specified instruments instruments with the lower value will The NAV will be calculated (‘‘Redemption Instruments’’). The also pay to the other an amount in cash separately for the Shares of each Fund names and quantities of the instruments equal to that difference (the ‘‘Balancing on each Business Day. Each Fund’s that constitute the Deposit Instruments Amount’’). NAV is determined as of the close of and the names and quantities of the Purchases of Shares will be settled in- regular trading on the NYSE, normally instruments that constitute the kind and/or in cash for an amount equal 4:00 p.m., Eastern Time. The NAV of Redemption Instruments correspond pro to the applicable NAV per Share each Fund is computed by adding the rata to the positions in the Fund’s purchased plus applicable transaction value of the Fund’s investments plus portfolio (including cash positions) and fees.16 Other than the Balancing cash and other assets allocable to the thus will be identical. These Amount, the Fund will substitute cash class, deducting liabilities, and then instruments may be referred to, in the only under exceptional circumstances dividing the result by the number of case of either a purchase or a and as set forth under the Fund’s Shares outstanding at the time the redemption, as the ‘‘Creation Basket.’’ policies and procedures governing the determination is made. composition of Creation Baskets. The assets of the Funds are generally Placement of Purchase Orders valued on the basis of market Each Fund will issue Shares through Authorized Participant Redemption quotations. Securities for which such the Distributor on a continuous basis at The Shares may be redeemed to a information is readily available are NAV. The Exchange represents that the Fund in Redemption Unit size or generally valued at the last reported issuance of Shares will operate in a multiples thereof as described below. sales price, the official closing price as manner substantially similar to that of Redemption orders of Redemption Units reported by an independent pricing other ETFs. Each Fund will issue Shares must be placed by or through an AP service on the primary market or only at the NAV per Share next (‘‘AP Redemption Order’’). Each Fund exchange on which they are traded, or, determined after an order in proper will establish an Order Cut-Off Time for in the absence of reported sales, at the form is received. redemption orders of Redemption Units bid price. Other investments and other The Distributor will furnish in proper form. Redemption Units of a assets, including restricted securities acknowledgements to those placing Fund will be redeemable at their NAV and securities for which market such orders that the orders have been per Share next determined after receipt quotations are not readily available, are accepted, but the Distributor may reject of a request for redemption by the Trust valued at fair value under procedures any order which is not submitted in in the manner specified below before approved by the Board of Trustees. proper form, as described in each the Order Cut-Off Time. To initiate an Information regarding each Fund’s Fund’s prospectus or Statement of AP Redemption Order, an AP must NAV and how often Shares of each Additional Information (‘‘SAI’’). The submit to the Distributor an irrevocable Fund traded at a price above (i.e., at a NAV of each Fund is expected to be order to redeem such Redemption Unit premium) or below (i.e., at a discount) determined once each business day at a after the most recent prior Valuation a Fund’s NAV will be posted to the time determined by the Trust’s Board of Time, but not later than the Order Cut- Funds’ website when it becomes Trustees, currently anticipated to be as Off Time. available. of the close of the regular trading In the case of a redemption, the AP session on the NYSE (ordinarily, 4:00 Availability of Information p.m. E.T.) (the ‘‘Valuation Time’’). Each would enter into an irrevocable The Funds’ website, www.alger.com, Fund will establish a cut-off time redemption order, and then the will include the prospectus for each (‘‘Order Cut-Off Time’’) for purchase applicable Fund would instruct its Fund that may be downloaded. The orders in proper form. The Order Cut- custodian to deliver the Redemption Funds’ website will include additional Off Time will be specified in a Fund’s Instruments to the appropriate quantitative information updated on a SAI and/or the Participant Agreement. Confidential Account. The AP would daily basis, including, for each Fund, To initiate a purchase of Shares, an AP direct the AP Representative on that day the prior Business Day’s NAV, market must submit to the Distributor an to liquidate those securities. As with the closing price or mid-point of the bid/ask irrevocable order to purchase such purchase of securities, the AP spread at the time of calculation of such Shares after the most recent prior Representative will use methods, such NAV (the ‘‘Bid/Ask Price’’),17 and a Valuation Time. In purchasing the as breaking the transaction into multiple calculation of the premium and necessary securities, the AP transactions and transacting in multiple discount of the market closing price or Representative will use methods, such marketplaces, to avoid revealing the Bid/Ask Price against the NAV. The as breaking the transaction into multiple composition of the Creation Basket. website and information will be transactions and transacting in multiple Redemptions will occur primarily in- publicly available at no charge. marketplaces, to avoid revealing the kind, although redemption payments Form N–PORT requires reporting of a composition of the Creation Basket. may also be made partly or wholly in Fund’s complete portfolio holdings on a Generally, all orders to purchase cash. The Participant Agreement signed position-by-position basis on a quarterly Creation Units must be received by the by each AP will require establishment of basis within 60 days after fiscal quarter Distributor no later than the end of the a Confidential Account to receive end. Investors can obtain a Fund’s SAI, Core Trading Session (ordinarily, 9:30 distributions of securities in-kind upon its shareholder reports, its Form N–CSR, a.m. to 4:00 p.m. E.T.) on the date such redemption. Each AP will be required to order is placed (‘‘Transmittal Date’’) in open a Confidential Account with an AP 17 The Bid/Ask Price of a Fund’s Shares is order for the purchaser to receive the determined using the mid-point between the 16 To the extent that a Fund allows creations or current national best bid and offer at the time of NAV per Share determined on the redemptions to be conducted in cash, such calculation of such Fund’s NAV. The records Transmittal Date. As with all existing transactions will be effected in the same manner for relating to Bid/Ask Prices will be retained by the ETFs, if there is a difference between all APs transacting in cash. Funds or their service providers.
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filed twice a year, and its Form N–CEN, accurate real time pricing available, and Rule 8.900–E(d)(2)(C)(ii) provides filed annually. Each Fund’s SAI and (3) market participants will have a daily that, if the Exchange becomes aware shareholder reports are available free opportunity to evaluate whether the that: (i) The VIIV of a series of Managed upon request from the Fund, and those VIIV at or near the close of trading is Portfolio Shares is not being calculated documents and the Form N–PORT, indeed predictive of the actual NAV. or disseminated in one second intervals, Form N–CSR, and Form N–CEN may be Information regarding the VIIV will be as required; (ii) the NAV with respect to viewed onscreen or downloaded from calculated and disseminated by the a series of Managed Portfolio Shares is the Commission’s website at Reporting Authority and/or by one or not disseminated to all market www.sec.gov. more major market data vendors in one participants at the same time; (iii) the Information regarding market price second intervals during the Core holdings of a series of Managed and trading volume of the Shares will be Trading Session. The VIIV will also be Portfolio Shares are not made available continually available on a real-time available on the Funds’ website and on on at least a quarterly basis as required basis throughout the day on brokers’ websites that publish updated market under the 1940 Act; or (iv) such computer screens and other electronic quotations during the trading day. The holdings are not made available to all services. Information regarding the VIIV is based on the current market market participants at the same time previous day’s closing price and trading value of the securities in a Fund’s (except as otherwise permitted under volume information for the Shares will portfolio that day. The VIIV is intended the currently applicable exemptive be published daily in the financial to provide investors and other market order or no-action relief granted by the section of newspapers. Quotation and participants with a highly correlated per Commission or Commission staff to the last sale information for the Shares will Share value of the underlying portfolio Investment Company with respect to the be available via the Consolidated Tape that can be compared to the current series of Managed Portfolio Shares), it Association (‘‘CTA’’) high-speed line. In market price. The methodology for will halt trading in such series until addition, the Verified Intraday calculating the fund’s VIIV, which will such time as the Verified Intraday Indicative Value (‘‘VIIV’’), as defined in be overseen by the Board, is available on Indicative Value, the net asset value, or Rule 8.900–E(c)(2),18 will be widely the Funds’ website. the holdings are available, as required. disseminated by the Reporting Trading Halts Authority 19 and/or one or more major Trading Rules market data vendors in one second With respect to trading halts, the The Exchange deems the Shares to be intervals during the Exchange’s Core Exchange may consider all relevant equity securities, thus rendering trading Trading Session. factors in exercising its discretion to in the Shares subject to the Exchange’s halt or suspend trading in the Shares of Dissemination of the VIIV existing rules governing the trading of a Fund.20 Trading in Shares of a Fund equity securities. Shares will trade on With respect to trading of the Shares, will be halted if the circuit breaker the Exchange in all trading sessions in the ability of market participants to buy parameters in Rule 7.12–E have been accordance with Rule 7.34–E(a). As and sell Shares at prices near the VIIV reached. Trading also may be halted provided in Rule 7.6–E, the minimum is dependent upon their assessment that because of market conditions or for price variation (‘‘MPV’’) for quoting and the VIIV is a reliable, indicative real- reasons that, in the view of the entry of orders in equity securities time value for a Fund’s underlying Exchange, make trading in the Shares traded on the NYSE Arca Marketplace is holdings. Market participants are inadvisable. Trading in the Shares will $0.01, with the exception of securities expected to accept the VIIV as a reliable, be subject to Rule 8.900–E(d)(2)(C), that are priced less than $1.00, for indicative real-time value because (1) which sets forth circumstances under which the MPV for order entry is the VIIV will be calculated and which Shares of a Fund will be halted. $0.0001. disseminated based on a Fund’s actual Specifically, Rule 8.900–E(d)(2)(C)(i) The Shares will conform to the initial portfolio holdings, (2) the securities in provides that the Exchange may and continued listing criteria under which a Fund plans to invest are consider all relevant factors in Rule 8.900–E, as well as all terms in the generally highly liquid and actively exercising its discretion to halt trading Exemptive Order. The Exchange will traded and trade at the same time as the in a series of Managed Portfolio Shares. obtain a representation from the issuer Fund and therefore generally have Trading may be halted because of of the Shares of each Fund that the NAV market conditions or for reasons that, in per Share of each Fund will be 18 Rule 8.900–E(c)(2) provides that the term the view of the Exchange, make trading ‘‘Verified Intraday Indicative Value’’ is the calculated daily and will be made in the series of Managed Portfolio available to all market participants at indicative value of a Managed Portfolio Share based Shares inadvisable. These may include: on all of the holdings of a series of Managed the same time. Portfolio Shares as of the close of business on the (a) The extent to which trading is not prior business day and, for corporate actions, based occurring in the securities and/or the Surveillance on the applicable holdings as of the opening of financial instruments composing the business on the current business day, priced and The Exchange believes that its disseminated in one second intervals during the portfolio; or (b) whether other unusual surveillance procedures are adequate to Core Trading Session by the Reporting Authority. conditions or circumstances detrimental properly monitor the trading of Shares 19 Rule 8.900–E(c)(8) provides that the term to the maintenance of a fair and orderly on the Exchange during all trading ‘‘Reporting Authority’’ in respect of a particular market are present.21 series of Managed Portfolio Shares means the Exchange, an institution, or a reporting service a trading halt or otherwise do not have readily designated by the Exchange or by the exchange that 20 See Rule 7.12–E. available market quotations. Any such requests will lists a particular series of Managed Portfolio Shares 21 The Exemptive Application provides that the be one of many factors considered in order to (if the Exchange is trading such series pursuant to Investment Company or their agent will request that determine whether to halt trading in a series of unlisted trading privileges), as the official source for the Exchange halt trading in the applicable series Managed Portfolio Shares and the Exchange retains calculating and reporting information relating to of Managed Portfolio Shares where: (i) The intraday sole discretion in determining whether trading such series, including, but not limited to, the NAV, indicative values calculated by the calculation should be halted. As provided in the Exemptive the VIIV, or other information relating to the engines differ by more than 25 basis points for 60 Application, each series of Managed Portfolio issuance, redemption, or trading of Managed seconds in connection with pricing of the Verified Shares would employ a pricing verification agent to Portfolio Shares. A series of Managed Portfolio Intraday Indicative Value; or (ii) holdings continuously compare two intraday indicative Shares may have more than one Reporting representing 10% or more of a series of Managed values during regular trading hours in order to Authority, each having different functions. Portfolio Shares’ portfolio have become subject to ensure the accuracy of the VIIV.
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sessions and to deter and detect disseminated; (4) the requirement that a quarterly basis as required under the violations of Exchange rules and the ETP Holders deliver a prospectus to 1940 Act, or such holdings are not made applicable federal securities laws. investors purchasing newly issued available to all market participants at Trading of Shares through the Exchange Shares prior to or concurrently with the the same time pursuant to Rule 8.900– will be subject to the Exchange’s confirmation of a transaction; (5) trading E(d)(2)(C)(ii) and such issue persists surveillance procedures for derivative information; and (6) that the portfolio past the trading day in which it products. As part of these surveillance holdings of the Shares are not disclosed occurred; (d) if the Exchange has halted procedures and consistent with Rule on a daily basis. trading in Shares of a Fund pursuant to 8.900–E(b)(3) and 8.900–E(d)(2)(B), the In addition, the Bulletin will Rule 8.900–E(d)(2)(C)(i) and such issue Adviser will upon request make reference that the Funds are subject to persists past the trading day in which it available to the Exchange and/or the various fees and expenses described in occurred; (e) if a Fund has failed to file Financial Industry Regulatory Authority the Registration Statement. The Bulletin any filings required by the Commission (‘‘FINRA’’), on behalf of the Exchange, will discuss any exemptive, no-action, or if the Exchange is aware that a Fund the daily portfolio holdings of a Fund. and interpretive relief granted by the is not in compliance with the conditions The issuer of the Shares of each Fund Commission from any rules under the of any currently applicable exemptive will be required to represent to the Act. The Bulletin will also disclose that order or no-action relief granted by the Exchange that it will advise the the NAV for the Shares will be Commission or Commission staff with Exchange of any failure by a Fund to calculated after 4:00 p.m., ET each respect to the Fund; (f) if any of the comply with the continued listing trading day. continued listing requirements set forth requirements, and, pursuant to its 2. Statutory Basis in Rule 8.900–E are not continuously obligations under Section 19(g)(1) of the maintained; (g) if any of the statements Exchange Act, the Exchange will surveil The Exchange believes that the of representations regarding (a) the for compliance with the continued proposed rule change is consistent with description of the portfolio, (b) listing requirements. If a Fund is not in Section 6(b) of the Act,22 in general, and limitations on portfolio holdings, or (c) compliance with the applicable listing furthers the objectives of Section 6(b)(5) the applicability of Exchange listing requirements, the Exchange will of the Act,23 in particular, in that it is rules as specified herein to permit the commence delisting procedures under designed to prevent fraudulent and listing and trading of a Fund, are not Exchange Rule 5.5–E(m). manipulative acts and practices, to continuously maintained; or (h) if such FINRA, on behalf of the Exchange, or promote just and equitable principles of other event shall occur or condition the regulatory staff of the Exchange, or trade, to remove impediments to and exists which, in the opinion of the both, will communicate as needed perfect the mechanism of a free and Exchange, makes further dealings on the regarding trading in the Shares and open market and a national market Exchange inadvisable. certain exchange-traded instruments system, and, in general, to protect As discussed above, the Adviser is not with other markets and other entities investors and the public interest. registered as a broker-dealer but is that are members of the Intermarket The Exchange believes that this affiliated with a broker-dealer and has Surveillance Group (‘‘ISG’’), and FINRA, proposed rule change is designed to implemented and will maintain a ‘‘fire on behalf of the Exchange, or the prevent fraudulent and manipulative wall’’ with respect to such affiliate regulatory staff of the Exchange, or both, acts and practices in that the Funds broker-dealer regarding access to may obtain trading information would meet each of the rules relating to information concerning the composition regarding trading such securities from listing and trading of Managed Portfolio and/or changes to a Fund’s portfolio and such markets and other entities. In Shares. To the extent that a Fund is not Creation Basket. In the event that (a) the addition, the Exchange may obtain in compliance with such rules, the Adviser becomes registered as a broker- information regarding trading in the Exchange would either prevent the dealer or becomes newly affiliated with Shares and certain exchange-traded Fund from listing and trading on the a broker-dealer, or (b) any new adviser instruments from markets and other Exchange or commence delisting or sub-adviser is a registered broker- entities that are members of ISG or with procedures under Rule 8.900–E(d)(2)(B). dealer or becomes affiliated with a which the Exchange has in place a Specifically, the Exchange would broker-dealer, the Adviser will comprehensive surveillance sharing consider the suspension of trading, and implement and maintain a fire wall with agreement. commence delisting proceedings under respect to personnel of the broker-dealer In addition, the Exchange also has a Rule 8.900–E(d)(2)(B), of a Fund under or broker-dealer affiliate regarding general policy prohibiting the any of the following circumstances: (a) access to information concerning the distribution of material, non-public If, following the initial twelve-month composition and/or changes to the information by its employees. period after commencement of trading portfolio and/or Creation Basket. Any on the Exchange, there are fewer than 50 person related to the Adviser or the Information Bulletin beneficial holders of the Fund; (b) if the Trust who makes decisions pertaining to Prior to the commencement of Exchange has halted trading in a Fund a Fund’s portfolio composition or that trading, the Exchange will inform its because the VIIV is interrupted pursuant has access to information regarding a Equity Trading Permit (‘‘ETP’’) Holders to Rule 8.900–E(d)(2)(C)(ii) and such Fund’s portfolio or changes thereto or in an Information Bulletin (‘‘Bulletin’’) interruption persists past the trading the Creation Basket will be subject to of the special characteristics and risks day in which it occurred or is no longer procedures designed to prevent the use associated with trading the Shares. available; (c) if the Exchange has halted and dissemination of material non- Specifically, the Bulletin will discuss trading in a Fund because the net asset public information regarding such the following: (1) The procedures for value with respect to such Fund is not portfolio or changes thereto and the purchases and redemptions of Shares; disseminated to all market participants Creation Basket. (2) Rule 9.2–E(a), which imposes a duty at the same time, the holdings of such In addition, Rule 8.900–E(b)(5) of due diligence on its ETP Holders to Fund are not made available on at least requires that any person or entity, learn the essential facts relating to every including an AP Representative, customer prior to trading the Shares; (3) 22 15 U.S.C. 78f(b). custodian, Reporting Authority, how information regarding the VIIV is 23 15 U.S.C. 78f(b)(5). distributor, or administrator, who has
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access to non-public information trade and to protect investors and the Exemptive Order.26 As noted above, regarding the Investment Company’s public interest because the Exchange FINRA, on behalf of the Exchange, or portfolio composition or changes thereto would halt trading under certain the regulatory staff of the Exchange, or or the Creation Basket, must be subject circumstances under which trading in both, will communicate as needed to procedures designed to prevent the the Shares of a Fund may be regarding trading in the Shares and the use and dissemination of material non- inadvisable. Specifically, trading in the underlying exchange-traded instruments public information regarding the Shares will be subject to Rule 8.900– with other markets and other entities applicable Investment Company E(d)(2)(C)(i), which provides that the that are members of the ISG, and portfolio or changes thereto or the Exchange may consider all relevant FINRA, on behalf of the Exchange, or Creation Basket. Moreover, if any such factors in exercising its discretion to the regulatory staff of the Exchange, or person or entity is registered as a broker- halt trading in a Fund. Trading may be both, may obtain trading information dealer or affiliated with a broker-dealer, halted because of market conditions or regarding trading such instruments from such person or entity will erect and for reasons that, in the view of the such markets and other entities. In maintain a ‘‘fire wall’’ between the Exchange, make trading in the series of addition, the Exchange may obtain person or entity and the broker-dealer Managed Portfolio Shares inadvisable. information regarding trading in the with respect to access to information These may include: (a) The extent to Shares and the underlying exchange- concerning the composition and/or which trading is not occurring in the traded instruments from markets and changes to such Investment Company securities and/or the financial other entities that are members of ISG or portfolio or Creation Basket. Any person instruments composing the portfolio; or with which the Exchange has in place or entity who has access to information (b) whether other unusual conditions or a comprehensive surveillance sharing regarding a Fund’s portfolio circumstances detrimental to the agreement. composition or changes thereto or the maintenance of a fair and orderly With respect to trading of Shares of Creation Basket will be subject to market are present.24 Additionally, the Funds, the ability of market procedures designed to prevent the use trading in the Shares will be subject to participants to buy and sell Shares at and dissemination of material Rule 8.900–E(d)(2)(C)(ii), which prices near the VIIV is dependent upon nonpublic information regarding the provides that the Exchange would halt their assessment that the VIIV is a portfolio or changes thereto or the trading where the Exchange becomes reliable, indicative real-time value for a Creation Basket. aware that: (a) The VIIV of a series of Fund’s underlying holdings. Market The Exchange further believes that Managed Portfolio Shares is not being participants are expected to accept the Rule 8.900–E is designed to prevent calculated or disseminated in one VIIV as a reliable, indicative real-time fraudulent and manipulative acts and second intervals, as required; (b) the net value because (1) the VIIV will be practices related to the listing and asset value with respect to a series of calculated and disseminated based on a trading of Shares of the Funds because Managed Portfolio Shares is not Fund’s actual portfolio holdings, (2) the it provides meaningful requirements disseminated to all market participants securities in which the Funds plan to about both the data that will be made at the same time; (c) the holdings of a invest are generally highly liquid and publicly available about the Shares, as series of Managed Portfolio Shares are actively traded and trade at the same well as the information that will only be not made available on at least a time as the Funds and therefore available to certain parties and the quarterly basis as required under the generally have accurate real time pricing controls on such information. 1940 Act; or (d) such holdings are not available, and (3) market participants Specifically, the Exchange believes that will have a daily opportunity to made available to all market the requirements related to information evaluate whether the VIIV at or near the participants at the same time (except as protection set forth in Rule 8.900– close of trading is indeed predictive of otherwise permitted under the currently E(b)(5) will act as a safeguard against the actual NAV. applicable exemptive order or no-action misuse and improper dissemination of The proposed rule change is designed relief granted by the Commission or information related to a Fund’s portfolio to promote just and equitable principles Commission staff to the Investment composition, the Creation Basket, or of trade and to protect investors and the Company with respect to the series of changes thereto. The requirement that public interest in that the Exchange will Managed Portfolio Shares). The any person or entity implement obtain a representation that the NAV per Exchange would halt trading in such procedures to prevent the use and Share of the Funds will be calculated dissemination of material non-public Shares until such time as the VIIV, the daily and that the NAV will be made information regarding the portfolio or NAV, or the holdings are available, as available to all market participants at Creation Basket will act to prevent any required. the same time. Investors can also obtain individual or entity from sharing such With respect to the proposed listing a Fund’s SAI, its shareholder reports, its information externally and the internal and trading of Shares of the Funds, the Form N–CSR (filed twice a year), and its ‘‘fire wall’’ requirements applicable Exchange believes that the proposed Form N–CEN (filed annually). A Fund’s where an entity is a registered broker- rule change is designed to prevent SAI and shareholder reports will be dealer or affiliated with a broker-dealer fraudulent and manipulative acts and available free upon request from the will act to make sure that no entity will practices in that the Shares will be applicable Fund, and those documents be able to misuse the data for their own listed and traded on the Exchange and the Form N–PORT, Form N–CSR, purposes. Accordingly, the Exchange pursuant to the initial and continued and Form N–CEN may be viewed on- 25 believes that this proposal is designed to listing criteria in Rule 8.900–E. Each screen or downloaded from the prevent fraudulent and manipulative Fund’s holdings will conform to the Commission’s website at www.sec.gov. acts and practices. permissible investments as set forth in In addition, a large amount of The Exchange further believes that the the Exemptive Application and information will be publicly available proposal is designed to prevent regarding the Funds and the Shares, fraudulent and manipulative acts and 24 See supra note 21. thereby promoting market transparency. 25 The Exchange represents that, for initial and/ practices related to the listing and or continued listing, each Fund will be in Quotation and last sale information for trading of Shares of the Funds and to compliance with Rule 10A–3 under the Act. See 17 promote just and equitable principles of CFR 240.10A–3. 26 See supra note 9.
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the Shares will be available via the CTA Exchange believes the proposed rule change that are filed with the high-speed line. Information regarding change would permit the listing and Commission, and all written the VIIV will be widely disseminated in trading of additional actively-managed communications relating to the one second intervals throughout the exchange-traded products, thereby proposed rule change between the Core Trading Session by the Reporting promoting competition among Commission and any person, other than Authority and/or one or more major exchange-traded products to the benefit those that may be withheld from the market data vendors. The website for of investors and the marketplace. public in accordance with the the Funds will include a prospectus for provisions of 5 U.S.C. 552, will be C. Self-Regulatory Organization’s the Funds that may be downloaded, and available for website viewing and Statement on Comments on the additional data relating to NAV and printing in the Commission’s Public Proposed Rule Change Received from other applicable quantitative Reference Room, 100 F Street NE, Members, Participants, or Others information, updated on a daily basis. Washington, DC 20549 on official Moreover, prior to the commencement No written comments were solicited business days between the hours of of trading, the Exchange will inform its or received with respect to the proposed 10:00 a.m. and 3:00 p.m. Copies of the members in an Information Bulletin of rule change. filing also will be available for the special characteristics and risks III. Date of Effectiveness of the inspection and copying at the principal associated with trading the Shares. office of the Exchange. All comments In addition, as noted above, investors Proposed Rule Change and Timing for Commission Action received will be posted without change. will have ready access to the VIIV, and Persons submitting comments are quotation and last sale information for Within 45 days of the date of cautioned that we do not redact or edit the Shares. The Shares will conform to publication of this notice in the Federal personal identifying information from the initial and continued listing criteria Register or within such longer period comment submissions. You should under Rule 8.900–E. Each Fund’s up to 90 days (i) as the Commission may submit only information that you wish investments, including derivatives, will designate if it finds such longer period to make available publicly. All be consistent with its investment to be appropriate and publishes its submissions should refer to File objective and will not be used to reasons for so finding or (ii) as to which Number SR–NYSEArca-2020–80 and enhance leverage (although certain the self-regulatory organization should be submitted on or before derivatives and other investments may consents, the Commission will: October 13, 2020. result in leverage). That is, the Fund’s (A) By order approve or disapprove investments will not be used to seek the proposed rule change, or For the Commission, by the Division of performance that is the multiple or (B) institute proceedings to determine Trading and Markets, pursuant to delegated authority.27 inverse multiple (e.g., 2X or ¥3X) of the whether the proposed rule change Fund’s primary broad-based securities should be disapproved. J. Matthew DeLesDernier, benchmark index (as defined in Form Assistant Secretary. IV. Solicitation of Comments N–1A). [FR Doc. 2020–20696 Filed 9–18–20; 8:45 am] The Exchange also believes that the Interested persons are invited to BILLING CODE 8011–01–P proposed rule change is designed to submit written data, views, and perfect the mechanism of a free and arguments concerning the foregoing, open market and, in general, to protect including whether the proposed rule SECURITIES AND EXCHANGE investors and the public interest in that change is consistent with the Act. COMMISSION it will facilitate the listing and trading Comments may be submitted by any of the following methods: [Release No. 34–89879; File No. SR–NYSE– of actively-managed exchange-traded 2020–73] products that will enhance competition Electronic comments: among market participants, to the • Self-Regulatory Organizations; New benefit of investors and the marketplace. Use the Commission’s internet York Stock Exchange LLC; Notice of As noted above, the Exchange has in comment form (http://www.sec.gov/ Filing of Proposed Rule Change To place surveillance procedures relating to rules/sro.shtml); or Establish Procedures for the • Send an email to rule-comments@ trading in the Shares and may obtain Allocation of Cabinets to its Co- sec.gov. Please include File Number SR– information via ISG from other Located Users exchanges that are members of ISG or NYSEArca-2020–80 on the subject line. with which the Exchange has entered Paper comments September 15, 2020. 1 into a comprehensive surveillance • Pursuant to Section 19(b)(1) of the sharing agreement. In addition, as noted Send paper comments in triplicate Securities Exchange Act of 1934 above, investors will have ready access to: Secretary, Securities and Exchange (‘‘Act’’),2 and Rule 19b–4 thereunder,3 to information regarding the VIIV and Commission, 100 F Street NE, notice is hereby given that on quotation and last sale information for Washington, DC 20549–1090. September 2, 2020, New York Stock the Shares. All submissions should refer to File Exchange LLC (‘‘NYSE’’ or ‘‘Exchange’’) For the above reasons, the Exchange Number SR–NYSEArca-2020–80. This filed with the Securities and Exchange believes that the proposed rule change file number should be included on the Commission (the ‘‘Commission’’) the is consistent with the requirements of subject line if email is used. To help the proposed rule change as described in Section 6(b)(5) of the Act. Commission process and review your Items I, II, and III below, which Items comments more efficiently, please use have been prepared by the Exchange. B. Self-Regulatory Organization’s only one method. The Commission will The Commission is publishing this Statement on Burden on Competition post all comments on the Commission’s notice to solicit comments on the The Exchange does not believe that internet website (http://www.sec.gov/ the proposed rule change will impose rules/sro.shtml). Copies of the 27 17 CFR 200.30–3(a)(12). any burden on competition that is not submission, all subsequent 1 15 U.S.C. 78s(b)(1). necessary or appropriate in furtherance amendments, all written statements 2 15 U.S.C. 78a. of the purposes of the Act. The with respect to the proposed rule 3 17 CFR 240.19b–4.
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proposed rule change from interested other equipment. When a User b. If the Cabinet Threshold is reached, persons. purchases a new cabinet, whether the Exchange would cease offering new dedicated or partial, the Exchange PNU cabinets to all Users. I. Self-Regulatory Organization’s provides the cabinet with power, and 2. Waitlist: Statement of the Terms of Substance of the User pays an initial fee and a a. The Exchange would create a the Proposed Rule Change monthly fee based on the number of waitlist if the available cabinet The Exchange proposes to establish kilowatts (‘‘kW’’) contracted for the inventory is zero, or if a User requests, procedures for the allocation of cabinets cabinet. The Exchange allocates cabinets in writing, a number of cabinets that, if to its co-located Users. The proposed on a first-come/first-serve basis. provided, would cause the available rule change is available on the The Exchange also offers a third cabinet inventory to be below zero. Exchange’s website at www.nyse.com, at cabinet option, cabinets for which b. The Exchange would place Users the principal office of the Exchange, and power is not utilized (‘‘PNU cabinets’’). seeking cabinets on a waitlist, as at the Commission’s Public Reference PNU cabinets are reserved cabinet space follows: 10 Room. that can be converted to a dedicated i. A User with PNU cabinets would II. Self-Regulatory Organization’s cabinet when the User requests it.6 not be placed on the waitlist if the User could meet its new cabinet request by Statement of the Purpose of, and Proposed Cabinet Allocation Procedure Statutory Basis for, the Proposed Rule converting its PNU cabinets to Change The Exchange believes that it would dedicated cabinets. A User would only be prudent for it to put in place be placed on the waitlist for the portion In its filing with the Commission, the measures for the allocation of cabinets of its new cabinet request that exceeds self-regulatory organization included (the ‘‘Cabinet Allocation’’) that could be its existing PNU cabinets, subject to the statements concerning the purpose of, used if, in the future, a situation arises Purchasing Limitations. and basis for, the proposed rule change where the Exchange cannot satisfy all ii. A User would be placed on the and discussed any comments it received User demand for cabinets.7 The waitlist based on the date its signed on the proposed rule change. The text proposed Cabinet Allocation is as order is received. A User may only have of those statements may be examined at follows: one order for new cabinets on the the places specified in Item IV below. 1. Cabinet Purchasing Limits: waitlist at a time, and the order would The Exchange has prepared summaries, a. The Exchange would place the be subject to the Purchasing Limits. set forth in sections A, B, and C below, following limits on Users’ ability to iii. As cabinets become available,11 of the most significant parts of such purchase new cabinets (‘‘Purchasing the Exchange would offer them to the statements. Limits’’) if the Exchange’s unallocated User at the top of the waitlist. If the A. Self-Regulatory Organization’s cabinet inventory is at or below 40 User’s order is completed, it would be Statement of the Purpose of, and cabinets (the ‘‘Cabinet Threshold’’): removed from the waitlist. If the User’s Statutory Basis for, the Proposed Rule i. A User with PNU cabinets would be order is not completed, it would remain Change required to either convert its PNU at the top of the waitlist. iv. A User would be removed from the 1. Purpose cabinets into dedicated cabinets or relinquish its PNU cabinets before being waitlist (a) at the User’s request or (b) if The Exchange proposes to establish permitted to purchase new cabinets.8 the User turns down an offer of a procedures for the allocation of cabinets ii. The Exchange would limit the cabinet of the same size it requested in 4 5 to its co-located Users. purchase of new cabinets (dedicated its order. If the Exchange offers the User Background and partial) to a maximum of four a cabinet of a different size than the dedicated cabinets, each with a User requested in its order, the User Presently, Users have two options for maximum of 8 kW, per User.9 may turn down the offer and remain at cabinets with power: Dedicated cabinets iii. A User would have to wait 30 days the top of the waitlist until its order is and partial cabinets. Both options use from the date of its signed order form completed. power and house Users’ servers and before purchasing new cabinets again. v. A User that is removed from the waitlist but subsequently submits a new 4 The Exchange initially filed rule changes relating to its co-location services with the 6 See Securities Exchange Act Release No. 70913 written order for cabinets would be Securities and Exchange Commission (November 21, 2013), 78 FR 70987 (November 27, added to the bottom of the waitlist. (‘‘Commission’’) in 2010. See Securities Exchange 2013) (SR–NYSE–2013–74) (‘‘PNU Cabinet Filing’’). 3. Termination of Purchasing Limits Act Release No. 62960 (September 21, 2010), 75 FR 7 The Exchange believes that the proposed and Waitlist: When unallocated cabinet 59310 (September 27, 2010) (SR–NYSE–2010–56). procedures are consistent with the Nasdaq inventory is more than 10 cabinets, the 5 For purposes of the Exchange’s co-location procedures for allocating cabinets if Nasdaq’s services, a ‘‘User’’ means any market participant inventory shrinks to zero. See Securities Exchange Exchange would cease use of the that requests to receive co-location services directly Act Release No. 62397 (June 28, 2010), 75 FR 38860 waitlist. When unallocated cabinet from the Exchange. See Securities Exchange Act (July 6, 2010) (SR–NASDAQ–2010–019) (‘‘Nasdaq inventory is more than 40 cabinets, the Release No. 76008 (September 29, 2015), 80 FR Cabinet Waitlist Procedures’’). Exchange would discontinue the 60190 (October 5, 2015) (SR–NYSE–2015–40). As 8 See PNU Cabinet Filing, supra note 6. specified in the New York Stock Exchange Price 9 A User may opt to purchase a mixture of Purchasing Limits. List (‘‘Price List’’), a User that incurs co-location dedicated and partial cabinets. In such a case, it Proposed New General Notes fees for a particular co-location service pursuant would still be subject to the maximum, whether thereto would not be subject to co-location fees for expressed in dedicated cabinets, partial cabinets, or The Exchange proposes to add a new the same co-location service charged by the a mixture thereof. The maximum is the equivalent General Note 7 to the Exchange’s Price Exchange’s affiliates NYSE American LLC, NYSE of eight partial cabinets, at 2 kW each. The Nasdaq Arca, Inc., NYSE Chicago, Inc., and NYSE National, procedures similarly limit the purchase of cabinets Inc. (together, the ‘‘Affiliate SROs’’). See Securities if available cabinet inventory falls to 40 cabinets or 10 The waitlist provisions are based on the Nasdaq Exchange Act Release No. 70206 (August 15, 2013), fewer. Nasdaq Cabinet Waitlist Procedures, supra Cabinet Waitlist Procedures and the procedures in 78 FR 51765 (August 21, 2013) (SR–NYSE–2013– note 7, at 38861 (‘‘Should available cabinet General Note 3 of the Price List. See id. at 38861; 59). Each Affiliate SRO has submitted substantially inventory shrink to 40 cabinets or less, the Securities Exchange Act Release No. 79730 (January the same proposed rule change to propose the Exchange will limit new cabinet orders to a 4, 2017), 82 FR 3045 (January 10, 2017) (SR–NYSE– changes described herein. See SR–NYSEAMER– maximum of 4 cabinets each, and all new cabinets 2016–92). 2020–66, SR–NYSEArca–2020–82, SR–NYSECHX– will be limited to a maximum power level of 5 11 Cabinets may become available if, for example, 2020–26, and SR–NYSENAT–2020–28. kW.’’). a User vacates a dedicated or partial cabinet.
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List setting forth the proposed may turn down the offer and remain at applied uniformly by the Exchange to Purchasing Limits, as follows: the top of the waitlist until its order is all Users that requested new cabinets. 7. Cabinet Purchasing Limits. If completed. The Exchange believes that the unallocated cabinet inventory is at or • A User that is removed from the Cabinet Allocation’s two-tier structure below 40 cabinets (‘‘Cabinet waitlist but subsequently submits a new of establishing, first, a purchasing Threshold’’), the following limits on the written order for cabinets will be added limitation on order size, and second, a purchase of new cabinets (‘‘Purchasing back to the bottom of the waitlist. waitlist, would be a reasonable method Limits’’) will apply: • When unallocated cabinet • to respond to increasing demand for A User with PNU cabinets will be inventory is more than 10 cabinets, the cabinets in the future, and would be required to either convert its PNU Exchange will cease use of the waitlist. consistent with the Nasdaq procedures cabinets into dedicated cabinets or The proposed change would apply the for allocating cabinets if Nasdaq’s relinquish its PNU cabinets before being same way to all types and sizes of cabinet inventory shrinks to zero.14 permitted to purchase new cabinets. • market participants. As is currently the The Exchange believes that the The Exchange will limit a User’s case, the purchase of any colocation purchase of new cabinets (dedicated proposed Cabinet Threshold is service is completely voluntary and the reasonable and equitable. Based on and partial) to a maximum of four Price List is applied uniformly to all dedicated cabinets, each with a experience, the Exchange believes that Users. The proposed change is not the Cabinet Threshold is sufficiently maximum of 8 kW. otherwise intended to address any other • A User will have to wait 30 days low that it would not be triggered easily. issues relating to co-location services from the date of its signed order form and/or related fees, and the Exchange is The Exchange believes that the before purchasing new cabinets again. not aware of any problems that Users proposed Purchasing Limits are • If the Cabinet Threshold is reached, reasonable and equitable. Based on its the Exchange will cease offering new would have in complying with the proposed change. experience with co-location and PNU cabinets to all Users. purchasing trends over the last few • When unallocated cabinet 2. Statutory Basis years, the Exchange believes that in inventory is more than 40 cabinets, the The Exchange believes that the most cases the number of cabinets that Exchange will discontinue the a User would be allowed to buy under Purchasing Limits. proposed rule change is consistent with Section 6(b) of the Act,12 in general, and the proposed Purchasing Limits would The Exchange proposes to add a new be sufficient to allow the User to use its General Note 8 to the Exchange’s Price furthers the objectives of Sections 6(b)(4) and (5) of the Act,13 in particular, system to access the markets while List setting forth the proposed Waitlist, leaving a margin for potential growth. as follows: because it provides for the equitable 8. Cabinet Waitlist. The Exchange will allocation of reasonable dues, fees, and Further, the Exchange believes that, create a waitlist if the available cabinet other charges among its members, by establishing a waitlist on the basis of inventory is zero, or if a User requests, issuers and other persons using its the date it receives signed orders, in writing, a number of cabinets that, if facilities and does not unfairly limiting the size and number of orders provided, would cause the available discriminate between customers, a User may have on the waitlist at any cabinet inventory to be zero. The issuers, brokers or dealers. In addition, one time, and removing a User from the Exchange will place Users seeking it is designed to foster cooperation and waitlist if it turns down a cabinet that cabinets on a waitlist, as follows: coordination with persons engaged in is the size that it requested, the Cabinet • A User with PNU cabinets will not regulating, clearing, settling, processing Allocation is reasonably designed to be placed on the waitlist if the User information with respect to, and prevent Users from utilizing the waitlist could meet its new cabinet request by facilitating transactions in securities, to as a method to obtain a greater portion converting its PNU cabinets to remove impediments to, and perfect the of the cabinets available, thereby dedicated cabinets. A User will only be mechanisms of, a free and open market facilitating a more equitable distribution placed on the waitlist for the portion of and a national market system and, in of cabinets. Similarly, the Exchange its new cabinet request that exceeds its general, to protect investors and the believes that by requiring a 30-day delay existing PNU cabinets, subject to the public interest and because it is not before a User subject to the Purchasing Purchasing Limitations. designed to permit unfair Limits could purchase cabinets again, • A User will be placed on the discrimination between customers, the Cabinet Allocation is reasonably waitlist based on the date its signed issuers, brokers, or dealers. designed to prevent a User from order is received. A User may only have obtaining a greater portion of the The Proposed Rule Change Is cabinets available. one order for new cabinets on the Reasonable and Equitable waitlist at a time, and the order is The Exchange believes that the subject to the Purchasing Limits. The Exchange believes that the proposed change is reasonable and • As cabinets become available, the proposed rule change is reasonable and equitable because the Exchange would Exchange will offer them to the User at equitable for the following reasons. only place limits on Users’ ability to the top of the waitlist. If the User’s order The Exchange believes that User purchase new cabinets if cabinet is completed, it will be removed from demand for cabinets will continue. In inventory fell to specific thresholds. the waitlist. If the User’s order is not this context, the Exchange believes that Similarly, the Exchange believes that completed, it will remain at the top of it would be reasonable for it to put in the proposed change is reasonable and the waitlist. place the proposed Cabinet Allocation equitable because the waitlist would • A User will be removed from the to establish the allocation of cabinets on only be created if unallocated cabinet waitlist (a) at the User’s request or (b) if an equitable basis. The Cabinet inventory fell to zero, and because there the User turns down an offer of a Allocation would establish a rational, would be an established threshold for cabinet of the same size it requested in objective procedure that would be cessation of the waitlist. its order. If the Exchange offers the User a cabinet of a different size than the 12 15 U.S.C. 78f(b). 14 See Nasdaq Cabinet Waitlist Procedures, supra User requested in its order, the User 13 15 U.S.C. 78f(b)(4) and (5). note 7.
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The Proposed Rule Change Would Exchange in accommodating demand allocated if a shortage in unallocated Protect Investors and the Public Interest for co-location services, and cabinets in cabinets were to arise in the future, and The Exchange believes that the particular, on an equitable basis. would thereby make the Price List more For the reasons above, the proposed proposed rule change would perfect the transparent and reduce any potential changes do not unfairly discriminate mechanisms of a free and open market ambiguity. between or among market participants and a national market system and, in Use of any co-location service is that are otherwise capable of satisfying general, protect investors and the public completely voluntary, and each market any applicable co-location fees, interest for the following reasons. participant is able to determine whether requirements, terms and conditions The Exchange believes that User to use co-location services based on the established from time to time by the demand for cabinets will continue. In requirements of its business operations. Exchange. this context, the proposed rule change For these reasons, the Exchange Intermarket Competition would allow the Exchange to protect believes that the proposal is consistent The Exchange does not believe that investors and the public interest, first, with the Act. the proposed change would impose any by setting limits on Users’ ability to burden on intermarket competition that B. Self-Regulatory Organization’s purchase cabinets, and second, by using is not necessary or appropriate. Statement on Burden on Competition a waitlist to allocate any unallocated The Exchange operates in a highly cabinets on a first come-first served In accordance with Section 6(b)(8) of competitive market in which exchanges rolling basis. the Act,15 the Exchange believes that the and other vendors (i.e., Hosting Users) Based on experience, the Exchange proposed rule change will not impose offer co-location services as a means to believes that the Cabinet Threshold is any burden on competition that is not facilitate the trading and other market sufficiently low that it would not be necessary or appropriate in furtherance activities of those market participants triggered easily, which would protect of the purposes of the Act. who believe that co-location enhances investors and the public interest. Intramarket Competition the efficiency of their operations. Similarly, the Exchange believes that in Accordingly, fees charged for co- most cases the number of cabinets that The Exchange does not believe that location services are constrained by the a User would be allowed to buy under the proposed change would place any active competition for the order flow of, the proposed Purchasing Limits would burden on intramarket competition that and other business from, such market be sufficient to allow the User to use its is not necessary or appropriate. The participants. system to access the markets while proposed change would not apply The Commission has repeatedly leaving a margin for potential growth, differently to distinct types or sizes of expressed its preference for competition which would protect investors and the market participants. Rather, it would over regulatory intervention in public interest. apply to all Users equally. determining prices, products, and In addition, the proposed Cabinet The Exchange believes that, if services in the securities markets. Allocation would protect investors and triggered, the imposition of the Cabinet Specifically, in Regulation NMS, the the public interest in that it is designed Allocation would not impose a burden Commission highlighted the importance to prevent Users from utilizing the on a User’s ability to compete that is not of market forces in determining prices Purchasing Limit and waitlist necessary or appropriate. The Exchange and SRO revenues and, also, recognized procedures to obtain a greater portion of believes that User demand for cabinets that current regulation of the market the cabinets available, thereby will continue in the future. In this system ‘‘has been remarkably successful facilitating a more equitable context, the Exchange believes that it in promoting market competition in its distribution. would be reasonable for it to put in broader forms that are most important to The proposed rule change would place the proposed Cabinet Allocation investors and listed companies.’’ 16 protect investors and the public interest to establish a method for allocating The proposed rule change would because the proposed new General cabinets on an equitable basis. The protect investors and the public interest Notes would articulate rational, Exchange would only follow the Cabinet because the proposed new General objective procedures and would serve to Allocation and place limits on Users’ Notes would articulate rational, reduce any potential for confusion on ability to purchase new cabinets if objective procedures and would serve to how cabinets would be allocated if a unallocated cabinet inventory fell to the reduce any potential for confusion on shortage in unallocated cabinets were to proposed Cabinet Threshold. Similarly, how cabinets would be treated in the arise in the future, and would thereby the Exchange would only create the case of a shortage in unallocated make the Price List more transparent waitlist if unallocated cabinet inventory cabinets, and would thereby make the and reduce any potential ambiguity. fell to zero. Based on its experience with Price List more transparent and reduce co-location and purchasing trends over The Proposed Change Is Not Unfairly any potential ambiguity. the last few years, the Exchange believes Discriminatory For the reasons described above, the that in most cases the number of Exchange believes that the proposed The Exchange believes that the cabinets that a User would be allowed rule change reflects this competitive proposed change is not unfairly to buy under the proposed Purchasing environment. discriminatory for the following Limits would be sufficient to allow the reasons. User to use its system to access the C. Self-Regulatory Organization’s The proposed change would apply markets while leaving a margin for Statement on Comments on the equally to all types and sizes of market potential growth. Proposed Rule Change Received From participants. If the Cabinet Allocation The Exchange believes that the Members, Participants, or Others were in place, all Users would be able proposed new General Notes would No written comments were solicited to identify the permitted cabinet options articulate rational, objective procedures or received with respect to the proposed and the procedures that would apply to and would serve to reduce any potential rule change. them in the event that unallocated for confusion on how cabinets would be cabinet supply runs low in the future. 16 See Securities Exchange Act Release No. 51808 The Cabinet Allocation would assist the 15 15 U.S.C. 78f(b)(8). (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005).
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III. Date of Effectiveness of the inspection and copying at the principal securities associations that are potential Proposed Rule Change and Timing for office of the Exchange. All comments respondents under the rule. Commission Action received will be posted without change. Commission staff anticipates that the Within 45 days of the date of Persons submitting comments are national securities exchanges and publication of this notice in the Federal cautioned that we do not redact or edit registered national securities Register or up to 90 days (i) as the personal identifying information from associations collectively will make 408 Commission may designate if it finds comment submissions. You should total filings annually pursuant to Rule such longer period to be appropriate submit only information that you wish 17a–19 and that each filing will take and publishes its reasons for so finding to make available publicly. All approximately 15 minutes. The total or (ii) as to which the self-regulatory submissions should refer to File reporting burden is estimated to be organization consents, the Commission Number SR–NYSE–2020–73, and approximately 102 total annual hours. will: should be submitted on or before Written comments are invited on: (a) (A) By order approve or disapprove October 13, 2020. Whether the proposed collection of the proposed rule change, or For the Commission, by the Division of information is necessary for the proper (B) institute proceedings to determine Trading and Markets, pursuant to delegated performance of the functions of the whether the proposed rule change authority.17 Commission, including whether the should be disapproved. J. Matthew DeLesDernier, information shall have practical utility; Assistant Secretary. (b) the accuracy of the Commission’s IV. Solicitation of Comments [FR Doc. 2020–20703 Filed 9–18–20; 8:45 am] estimates of the burden of the proposed Interested persons are invited to BILLING CODE 8011–01–P collection of information; (c) ways to submit written data, views, and enhance the quality, utility, and clarity arguments concerning the foregoing, of the information collected; and (d) including whether the proposed rule SECURITIES AND EXCHANGE ways to minimize the burden of the change is consistent with the Act. COMMISSION collection of information on Comments may be submitted by any of [SEC File No. 270–148, OMB Control No. respondents, including through the use the following methods: 3235–0133] of automated collection techniques or Electronic Comments other forms of information technology. Proposed Collection; Comment Consideration will be given to • Use the Commission’s internet Request comments and suggestions submitted in comment form (http://www.sec.gov/ writing within 60 days of this Upon Written Request, Copies Available rules/sro.shtml); or publication. • Send an email to rule-comments@ From: Securities and Exchange Commission, Office of FOIA Services, An agency may not conduct or sec.gov. Please include File Number SR– sponsor, and a person is not required to NYSE–2020–73 on the subject line. 100 F Street NE, Washington, DC 20549–2736 respond to, a collection of information Paper Comments under the PRA unless it displays a Extension: currently valid OMB control number. • Send paper comments in triplicate Rule 17a–19 and Form X–17A–19 to Secretary, Securities and Exchange Please direct your written comments Notice is hereby given that, pursuant to: David Bottom, Director/Chief Commission, 100 F Street NE, to the Paperwork Reduction Act of 1995 Washington, DC 20549–1090. Information Officer, Securities and (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Exchange Commission, c/o Cynthia All submissions should refer to File Securities and Exchange Commission Roscoe, 100 F Street NE, Washington, Number SR–NYSE–2020–73. This file (‘‘Commission’’) is soliciting comments DC 20549, or send an email to: PRA_ number should be included on the on the existing collection of information [email protected]. subject line if email is used. To help the provided for in Rule 17a–19 (17 CFR Commission process and review your 240.17a–19) and Form X–17A–19 under Dated: September 15, 2020. comments more efficiently, please use the Securities Exchange Act of 1934 (15 J. Matthew DeLesDernier, only one method. The Commission will U.S.C. 78a et seq.). The Commission Assistant Secretary. post all comments on the Commission’s plans to submit this existing collection [FR Doc. 2020–20710 Filed 9–18–20; 8:45 am] internet website (http://www.sec.gov/ of information to the Office of BILLING CODE 8011–01–P rules/sro.shtml). Copies of the Management and Budget (‘‘OMB’’) for submission, all subsequent extension and approval. amendments, all written statements Rule 17a–19 requires every national SECURITIES AND EXCHANGE with respect to the proposed rule securities exchange and registered COMMISSION change that are filed with the national securities association to file a Commission, and all written Form X–17A–19 with the Commission [Release No. 34–89880; File No. SR– communications relating to the and the Securities Investor Protection NYSEAMER–2020–66] proposed rule change between the Corporation (‘‘SIPC’’) within 5 business Commission and any person, other than days of the initiation, suspension, or Self-Regulatory Organizations; NYSE those that may be withheld from the termination of any member and, when American LLC; Notice of Filing of public in accordance with the terminating the membership interest of Proposed Rule Change To Establish provisions of 5 U.S.C. 552, will be any member, to notify that member of Procedures for the Allocation of available for website viewing and its obligation to file financial reports as Cabinets to Its Co-Located Users printing in the Commission’s Public required by Exchange Act Rule 17a–5(b) Reference Room, 100 F Street NE, (17 CFR 240.17a–5(b)). There are September 15, 2020. Washington, DC 20549, on official currently a total of 10 national securities Pursuant to Section 19(b)(1) 1 of the business days between the hours of exchanges and registered national Securities Exchange Act of 1934 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for 17 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1).
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(‘‘Act’’),2 and Rule 19b–4 thereunder,3 Background dedicated cabinets, each with a notice is hereby given that on maximum of 8 kW, per User.9 September 2, 2020, NYSE American Presently, Users have two options for iii. A User would have to wait 30 days LLC (‘‘NYSE American’’ or the cabinets with power: Dedicated cabinets from the date of its signed order form ‘‘Exchange’’) filed with the Securities and partial cabinets. Both options use before purchasing new cabinets again. and Exchange Commission (the power and house Users’ servers and b. If the Cabinet Threshold is reached, ‘‘Commission’’) the proposed rule other equipment. When a User the Exchange would cease offering new change as described in Items I, II, and purchases a new cabinet, whether PNU cabinets to all Users. III below, which Items have been dedicated or partial, the Exchange 2. Waitlist: prepared by the Exchange. The provides the cabinet with power, and a. The Exchange would create a Commission is publishing this notice to the User pays an initial fee and a waitlist if the available cabinet solicit comments on the proposed rule monthly fee based on the number of inventory is zero, or if a User requests, change from interested persons. kilowatts (‘‘kW’’) contracted for the in writing, a number of cabinets that, if cabinet. The Exchange allocates cabinets provided, would cause the available I. Self-Regulatory Organization’s on a first-come/first-serve basis. cabinet inventory to be below zero. Statement of the Terms of Substance of The Exchange also offers a third b. The Exchange would place Users the Proposed Rule Change cabinet option, cabinets for which seeking cabinets on a waitlist, as The Exchange proposes to establish power is not utilized (‘‘PNU cabinets’’). follows:10 procedures for the allocation of cabinets PNU cabinets are reserved cabinet space i. A User with PNU cabinets would to its co-located Users. The proposed that can be converted to a dedicated not be placed on the waitlist if the User rule change is available on the cabinet when the User requests it.6 could meet its new cabinet request by Exchange’s website at www.nyse.com, at converting its PNU cabinets to Proposed Cabinet Allocation Procedure the principal office of the Exchange, and dedicated cabinets. A User would only at the Commission’s Public Reference The Exchange believes that it would be placed on the waitlist for the portion Room. be prudent for it to put in place of its new cabinet request that exceeds measures for the allocation of cabinets its existing PNU cabinets, subject to the II. Self-Regulatory Organization’s Purchasing Limitations. (the ‘‘Cabinet Allocation’’) that could be Statement of the Purpose of, and ii. A User would be placed on the used if, in the future, a situation arises Statutory Basis for, the Proposed Rule waitlist based on the date its signed Change where the Exchange cannot satisfy all order is received. A User may only have User demand for cabinets.7 The In its filing with the Commission, the one order for new cabinets on the proposed Cabinet Allocation is as waitlist at a time, and the order would self-regulatory organization included follows: statements concerning the purpose of, be subject to the Purchasing Limits. 1. Cabinet Purchasing Limits: 11 and basis for, the proposed rule change iii. As cabinets become available, and discussed any comments it received a. The Exchange would place the the Exchange would offer them to the on the proposed rule change. The text following limits on Users’ ability to User at the top of the waitlist. If the of those statements may be examined at purchase new cabinets (‘‘Purchasing User’s order is completed, it would be the places specified in Item IV below. Limits’’) if the Exchange’s unallocated removed from the waitlist. If the User’s order is not completed, it would remain The Exchange has prepared summaries, cabinet inventory is at or below 40 at the top of the waitlist. set forth in sections A, B, and C below, cabinets (the ‘‘Cabinet Threshold’’): i. A User with PNU cabinets would be iv. A User would be removed from the of the most significant parts of such waitlist (a) at the User’s request or (b) if statements. required to either convert its PNU cabinets into dedicated cabinets or the User turns down an offer of a A. Self-Regulatory Organization’s relinquish its PNU cabinets before being cabinet of the same size it requested in Statement of the Purpose of, and permitted to purchase new cabinets.8 its order. If the Exchange offers the User a cabinet of a different size than the Statutory Basis for, the Proposed Rule ii. The Exchange would limit the User requested in its order, the User Change purchase of new cabinets (dedicated may turn down the offer and remain at and partial) to a maximum of four 1. Purpose the top of the waitlist until its order is The Exchange proposes to establish completed. procedures for the allocation of cabinets would not be subject to co-location fees for the same co-location service charged by the Exchange’s 4 5 9 to its co-located Users. affiliates New York Stock Exchange LLC, NYSE A User may opt to purchase a mixture of Arca, Inc., NYSE Chicago, Inc., and NYSE National, dedicated and partial cabinets. In such a case, it 2 15 U.S.C. 78a. Inc. (together, the ‘‘Affiliate SROs’’). See Securities would still be subject to the maximum, whether expressed in dedicated cabinets, partial cabinets, or 3 Exchange Act Release No. 70176 (August 13, 2013), 17 CFR 240.19b–4. a mixture thereof. The maximum is the equivalent 4 78 FR 50471 (August 19, 2013) (SR–NYSEMKT– The Exchange initially filed rule changes of eight partial cabinets, at 2 kW each. The Nasdaq 2013–67). Each Affiliate SRO has submitted relating to its co-location services with the procedures similarly limit the purchase of cabinets substantially the same proposed rule change to Securities and Exchange Commission if available cabinet inventory falls to 40 cabinets or propose the changes described herein. See SR– (‘‘Commission’’) in 2010. See Securities Exchange fewer. Nasdaq Cabinet Waitlist Procedures, supra Act Release No. 62961 (September 21, 2010), 75 FR NYSE–2020–73, SR–NYSEArca–2020–82, SR– note 7, at 38861 (‘‘Should available cabinet 59299 (September 27, 2010) (SR–NYSEAmex–2010– NYSECHX–2020–26, and SR–NYSENAT–2020–28. inventory shrink to 40 cabinets or less, the 80). 6 See Securities Exchange Act Release No. 70914 Exchange will limit new cabinet orders to a 5 For purposes of the Exchange’s co-location (November 21, 2013), 78 FR 71000 (November 27, maximum of 4 cabinets each, and all new cabinets services, a ‘‘User’’ means any market participant 2013) (SR–NYSEMKT–2013–93) (‘‘PNU Cabinet will be limited to a maximum power level of that requests to receive co-location services directly Filing’’). 5kW.’’). from the Exchange. See Securities Exchange Act 7 The Exchange believes that the proposed 10 The waitlist provisions are based on the Nasdaq Release No. 76009 (September 29, 2015), 80 FR procedures are consistent with the Nasdaq Cabinet Waitlist Procedures and the procedures in 60213 (October 5, 2015) (SR–NYSEMKT–2015–67). procedures for allocating cabinets if Nasdaq’s General Note 3 of the Price List and Fee Schedule. As specified in the NYSE American Equities Price inventory shrinks to zero. See Securities Exchange See id. at 38861; Securities Exchange Act Release List and Fee Schedule and the NYSE American Act Release No. 62397 (June 28, 2010), 75 FR 38860 No. 79728 (January 4, 2017), 82 FR 3035 (January Options Fee Schedule (together, the ‘‘Price List and (July 6, 2010) (SR–NASDAQ–2010–019) (‘‘Nasdaq 10, 2017) (SR–NYSEMKT–2016–126). Fee Schedule’’), a User that incurs co-location fees Cabinet Waitlist Procedures’’). 11 Cabinets may become available if, for example, for a particular co-location service pursuant thereto 8 See PNU Cabinet Filing, supra note 6. a User vacates a dedicated or partial cabinet.
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v. A User that is removed from the one order for new cabinets on the discrimination between customers, waitlist but subsequently submits a new waitlist at a time, and the order is issuers, brokers, or dealers. written order for cabinets would be subject to the Purchasing Limits. The Proposed Rule Change Is added to the bottom of the waitlist. • As cabinets become available, the Reasonable and Equitable Exchange will offer them to the User at 3. Termination of Purchasing Limits and the top of the waitlist. If the User’s order The Exchange believes that the Waitlist: When unallocated cabinet is completed, it will be removed from proposed rule change is reasonable and inventory is more than 10 cabinets, the the waitlist. If the User’s order is not equitable for the following reasons. Exchange would cease use of the completed, it will remain at the top of The Exchange believes that User waitlist. When unallocated cabinet the waitlist. demand for cabinets will continue. In inventory is more than 40 cabinets, the • A User will be removed from the this context, the Exchange believes that Exchange would discontinue the it would be reasonable for it to put in Purchasing Limits. waitlist (a) at the User’s request or (b) if the User turns down an offer of a place the proposed Cabinet Allocation Proposed New General Notes cabinet of the same size it requested in to establish the allocation of cabinets on an equitable basis. The Cabinet The Exchange proposes to add a new its order. If the Exchange offers the User a cabinet of a different size than the Allocation would establish a rational, General Note 7 to the Exchange’s Price objective procedure that would be List and Fee Schedule setting forth the User requested in its order, the User may turn down the offer and remain at applied uniformly by the Exchange to proposed Purchasing Limits, as follows: all Users that requested new cabinets. 7. Cabinet Purchasing Limits. If the top of the waitlist until its order is completed. The Exchange believes that the unallocated cabinet inventory is at or Cabinet Allocation’s two-tier structure • A User that is removed from the below 40 cabinets (‘‘Cabinet of establishing, first, a purchasing waitlist but subsequently submits a new Threshold’’), the following limits on the limitation on order size, and second, a written order for cabinets will be added purchase of new cabinets (‘‘Purchasing waitlist, would be a reasonable method back to the bottom of the waitlist. Limits’’) will apply: to respond to increasing demand for • • When unallocated cabinet A User with PNU cabinets will be cabinets in the future, and would be inventory is more than 10 cabinets, the required to either convert its PNU consistent with the Nasdaq procedures Exchange will cease use of the waitlist. cabinets into dedicated cabinets or for allocating cabinets if Nasdaq’s relinquish its PNU cabinets before being The proposed change would apply the cabinet inventory shrinks to zero.14 permitted to purchase new cabinets. same way to all types and sizes of • The Exchange believes that the The Exchange will limit a User’s market participants. As is currently the proposed Cabinet Threshold is purchase of new cabinets (dedicated case, the purchase of any colocation reasonable and equitable. Based on and partial) to a maximum of four service is completely voluntary and the experience, the Exchange believes that dedicated cabinets, each with a Price List and Fee Schedule is applied the Cabinet Threshold is sufficiently maximum of 8 kw. uniformly to all Users. The proposed • low that it would not be triggered easily. A User will have to wait 30 days change is not otherwise intended to The Exchange believes that the from the date of its signed order form address any other issues relating to co- proposed Purchasing Limits are before purchasing new cabinets again. location services and/or related fees, reasonable and equitable. Based on its • If the Cabinet Threshold is reached, and the Exchange is not aware of any experience with co-location and the Exchange will cease offering new problems that Users would have in purchasing trends over the last few PNU cabinets to all Users. complying with the proposed change. years, the Exchange believes that in • When unallocated cabinet 2. Statutory Basis most cases the number of cabinets that inventory is more than 40 cabinets, the a User would be allowed to buy under Exchange will discontinue the The Exchange believes that the the proposed Purchasing Limits would Purchasing Limits. proposed rule change is consistent with be sufficient to allow the User to use its 12 The Exchange proposes to add a new Section 6(b) of the Act, in general, and system to access the markets while General Note 8 to the Exchange’s Price furthers the objectives of Sections leaving a margin for potential growth. List and Fee Schedule setting forth the 6(b)(4) and (5) of the Act,13 in particular, Further, the Exchange believes that, proposed Waitlist, as follows: because it provides for the equitable by establishing a waitlist on the basis of 8. Cabinet Waitlist. The Exchange will allocation of reasonable dues, fees, and the date it receives signed orders, create a waitlist if the available cabinet other charges among its members, limiting the size and number of orders inventory is zero, or if a User requests, issuers and other persons using its a User may have on the waitlist at any in writing, a number of cabinets that, if facilities and does not unfairly one time, and removing a User from the provided, would cause the available discriminate between customers, waitlist if it turns down a cabinet that cabinet inventory to be zero. The issuers, brokers or dealers. In addition, is the size that it requested, the Cabinet Exchange will place Users seeking it is designed to foster cooperation and Allocation is reasonably designed to cabinets on a waitlist, as follows: coordination with persons engaged in prevent Users from utilizing the waitlist • A User with PNU cabinets will not regulating, clearing, settling, processing as a method to obtain a greater portion be placed on the waitlist if the User information with respect to, and of the cabinets available, thereby could meet its new cabinet request by facilitating transactions in securities, to facilitating a more equitable distribution converting its PNU cabinets to remove impediments to, and perfect the of cabinets. Similarly, the Exchange dedicated cabinets. A User will only be mechanisms of, a free and open market believes that by requiring a 30-day delay placed on the waitlist for the portion of and a national market system and, in before a User subject to the Purchasing its new cabinet request that exceeds its general, to protect investors and the Limits could purchase cabinets again, existing PNU cabinets, subject to the public interest and because it is not the Cabinet Allocation is reasonably Purchasing Limitations. designed to permit unfair designed to prevent a User from • A User will be placed on the waitlist based on the date its signed 12 15 U.S.C. 78f(b). 14 See Nasdaq Cabinet Waitlist Procedures, supra order is received. A User may only have 13 15 U.S.C. 78f(b)(4) and (5). note 7.
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obtaining a greater portion of the The Proposed Change Is Not Unfairly fell to zero. Based on its experience with cabinets available. Discriminatory co-location and purchasing trends over The Exchange believes that the The Exchange believes that the the last few years, the Exchange believes proposed change is reasonable and proposed change is not unfairly that in most cases the number of equitable because the Exchange would discriminatory for the following cabinets that a User would be allowed only place limits on Users’ ability to reasons. to buy under the proposed Purchasing purchase new cabinets if cabinet The proposed change would apply Limits would be sufficient to allow the inventory fell to specific thresholds. equally to all types and sizes of market User to use its system to access the Similarly, the Exchange believes that participants. If the Cabinet Allocation markets while leaving a margin for the proposed change is reasonable and were in place, all Users would be able potential growth. equitable because the waitlist would to identify the permitted cabinet options The Exchange believes that the only be created if unallocated cabinet and the procedures that would apply to proposed new General Notes would inventory fell to zero, and because there them in the event that unallocated articulate rational, objective procedures would be an established threshold for cabinet supply runs low in the future. and would serve to reduce any potential cessation of the waitlist. The Cabinet Allocation would assist the for confusion on how cabinets would be The Proposed Rule Change Would Exchange in accommodating demand allocated if a shortage in unallocated Protect Investors and the Public Interest for co-location services, and cabinets in cabinets were to arise in the future, and particular, on an equitable basis. would thereby make the Price List and The Exchange believes that the For the reasons above, the proposed Fee Schedule more transparent and proposed rule change would perfect the changes do not unfairly discriminate reduce any potential ambiguity. mechanisms of a free and open market between or among market participants Use of any co-location service is and a national market system and, in that are otherwise capable of satisfying completely voluntary, and each market general, protect investors and the public any applicable co-location fees, participant is able to determine whether interest for the following reasons. requirements, terms and conditions to use co-location services based on the The Exchange believes that User established from time to time by the requirements of its business operations. demand for cabinets will continue. In Exchange. Intermarket Competition this context, the proposed rule change For these reasons, the Exchange would allow the Exchange to protect believes that the proposal is consistent The Exchange does not believe that investors and the public interest, first, with the Act. the proposed change would impose any by setting limits on Users’ ability to burden on intermarket competition that purchase cabinets, and second, by using B. Self-Regulatory Organization’s is not necessary or appropriate. a waitlist to allocate any unallocated Statement on Burden on Competition The Exchange operates in a highly cabinets on a first come-first served In accordance with Section 6(b)(8) of competitive market in which exchanges rolling basis. the Act,15 the Exchange believes that the and other vendors (i.e., Hosting Users) Based on experience, the Exchange proposed rule change will not impose offer co-location services as a means to believes that the Cabinet Threshold is any burden on competition that is not facilitate the trading and other market sufficiently low that it would not be necessary or appropriate in furtherance activities of those market participants triggered easily, which would protect of the purposes of the Act. who believe that co-location enhances investors and the public interest. the efficiency of their operations. Intramarket Competition Similarly, the Exchange believes that in Accordingly, fees charged for co- most cases the number of cabinets that The Exchange does not believe that location services are constrained by the a User would be allowed to buy under the proposed change would place any active competition for the order flow of, the proposed Purchasing Limits would burden on intramarket competition that and other business from, such market be sufficient to allow the User to use its is not necessary or appropriate. The participants. system to access the markets while proposed change would not apply The Commission has repeatedly leaving a margin for potential growth, differently to distinct types or sizes of expressed its preference for competition which would protect investors and the market participants. Rather, it would over regulatory intervention in public interest. apply to all Users equally. determining prices, products, and In addition, the proposed Cabinet The Exchange believes that, if services in the securities markets. Allocation would protect investors and triggered, the imposition of the Cabinet Specifically, in Regulation NMS, the the public interest in that it is designed Allocation would not impose a burden Commission highlighted the importance to prevent Users from utilizing the on a User’s ability to compete that is not of market forces in determining prices Purchasing Limit and waitlist necessary or appropriate. The Exchange and SRO revenues and, also, recognized procedures to obtain a greater portion of believes that User demand for cabinets that current regulation of the market the cabinets available, thereby will continue in the future. In this system ‘‘has been remarkably successful facilitating a more equitable context, the Exchange believes that it in promoting market competition in its distribution. would be reasonable for it to put in broader forms that are most important to The proposed rule change would place the proposed Cabinet Allocation investors and listed companies.’’ 16 protect investors and the public interest to establish a method for allocating The proposed rule change would because the proposed new General cabinets on an equitable basis. The protect investors and the public interest Notes would articulate rational, Exchange would only follow the Cabinet because the proposed new General objective procedures and would serve to Allocation and place limits on Users’ Notes would articulate rational, reduce any potential for confusion on ability to purchase new cabinets if objective procedures and would serve to how cabinets would be allocated if a unallocated cabinet inventory fell to the reduce any potential for confusion on shortage in unallocated cabinets were to proposed Cabinet Threshold. Similarly, how cabinets would be treated in the arise in the future, and would thereby the Exchange would only create the case of a shortage in unallocated make the Price List and Fee Schedule waitlist if unallocated cabinet inventory more transparent and reduce any 16 See Securities Exchange Act Release No. 51808 potential ambiguity. 15 15 U.S.C. 78f(b)(8). (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005).
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cabinets, and would thereby make the amendments, all written statements Disbursement Center, 14925 Kingsport Price List and Fee Schedule more with respect to the proposed rule Road, Fort Worth, TX 76155. transparent and reduce any potential change that are filed with the FOR FURTHER INFORMATION CONTACT: A ambiguity. Commission, and all written Escobar, Office of Disaster Assistance, For the reasons described above, the communications relating to the U.S. Small Business Administration, Exchange believes that the proposed proposed rule change between the 409 3rd Street SW, Suite 6050, rule change reflects this competitive Commission and any person, other than Washington, DC 20416, (202) 205–6734. environment. those that may be withheld from the SUPPLEMENTARY INFORMATION: The notice public in accordance with the C. Self-Regulatory Organization’s of the President’s major disaster provisions of 5 U.S.C. 552, will be Statement on Comments on the declaration for the State of available for website viewing and Proposed Rule Change Received From CALIFORNIA, dated 08/22/2020, is printing in the Commission’s Public Members, Participants, or Others hereby amended to include the Reference Room, 100 F Street NE, following areas as adversely affected by No written comments were solicited Washington, DC 20549, on official the disaster: or received with respect to the proposed business days between the hours of Primary Counties (Physical Damage and rule change. 10:00 a.m. and 3:00 p.m. Copies of the Economic Injury Loans): Butte III. Date of Effectiveness of the filing also will be available for Contiguous Counties (Economic Injury Proposed Rule Change and Timing for inspection and copying at the principal Loans Only): Commission Action office of the Exchange. All comments California: Plumas, Tehama, Yuba received will be posted without change. All other information in the original Within 45 days of the date of Persons submitting comments are declaration remains unchanged. publication of this notice in the Federal cautioned that we do not redact or edit Register or up to 90 days (i) as the personal identifying information from (Catalog of Federal Domestic Assistance Commission may designate if it finds comment submissions. You should Number 59008) such longer period to be appropriate submit only information that you wish and publishes its reasons for so finding Cynthia Pitts, to make available publicly. All Acting Associate Administrator for Disaster or (ii) as to which the self-regulatory submissions should refer to File organization consents, the Commission Assistance. Number SR–NYSEAMER–2020–66, and [FR Doc. 2020–20740 Filed 9–18–20; 8:45 am] will: should be submitted on or before BILLING CODE 8026–03–P (A) By order approve or disapprove October 13, 2020. the proposed rule change, or (B) institute proceedings to determine For the Commission, by the Division of whether the proposed rule change Trading and Markets, pursuant to delegated SMALL BUSINESS ADMINISTRATION authority.17 should be disapproved. [Disaster Declaration #16633 and #16634; J. Matthew DeLesDernier, Louisiana Disaster Number LA–00103] IV. Solicitation of Comments Assistant Secretary. Interested persons are invited to [FR Doc. 2020–20704 Filed 9–18–20; 8:45 am] Presidential Declaration Amendment of submit written data, views, and BILLING CODE 8011–01–P a Major Disaster for the State of arguments concerning the foregoing, Louisiana including whether the proposed rule AGENCY: U.S. Small Business change is consistent with the Act. SMALL BUSINESS ADMINISTRATION Administration. Comments may be submitted by any of the following methods: [Disaster Declaration #16603 and #16604; ACTION: Amendment 5. California Disaster Number CA–00325] Electronic Comments SUMMARY: This is an amendment of the Presidential Declaration Amendment of Presidential declaration of a major • Use the Commission’s internet a Major Disaster for the State of disaster for the State of Louisiana comment form (http://www.sec.gov/ California (FEMA–4559–DR), dated 08/28/2020. rules/sro.shtml); or Incident: Hurricane Laura. • Send an email to rule-comments@ AGENCY : U.S. Small Business Incident Period: 08/22/2020 through sec.gov. Please include File Number SR– Administration. 08/27/2020. NYSEAMER–2020–66 on the subject ACTION: Amendment 2. line. DATES: Issued on 08/28/2020. SUMMARY: This is an amendment of the Physical Loan Application Deadline Paper Comments Presidential declaration of a major Date: 10/27/2020. • Send paper comments in triplicate disaster for the State of California Economic Injury (EIDL) Loan to Secretary, Securities and Exchange (FEMA–4558–DR), dated 08/22/2020. Application Deadline Date: 05/28/2021. Commission, 100 F Street NE, Incident: Wildfires. ADDRESSES: Submit completed loan Washington, DC 20549–1090. Incident Period: 08/14/2020 and applications to: U.S. Small Business All submissions should refer to File continuing. Administration, Processing and Number SR–NYSEAMER–2020–66. This DATES: Issued on 08/22/2020. Disbursement Center, 14925 Kingsport file number should be included on the Physical Loan Application Deadline Road, Fort Worth, TX 76155. subject line if email is used. To help the Date: 10/21/2020. FOR FURTHER INFORMATION CONTACT: A Commission process and review your Economic Injury (EIDL) Loan Escobar, Office of Disaster Assistance, comments more efficiently, please use Application Deadline Date: 05/24/2021. U.S. Small Business Administration, only one method. The Commission will ADDRESSES: Submit completed loan 409 3rd Street SW, Suite 6050, post all comments on the Commission’s applications to: U.S. Small Business Washington, DC 20416, (202) 205–6734. internet website (http://www.sec.gov/ Administration, Processing and SUPPLEMENTARY INFORMATION: The notice rules/sro.shtml). Copies of the of the President’s major disaster submission, all subsequent 17 17 CFR 200.30–3(a)(12). declaration for the State of LOUISIANA,
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dated 08/28/2020, is hereby amended to (Catalog of Federal Domestic Assistance Percent include the following areas as adversely Number 59008) For Economic Injury: affected by the disaster: Cynthia Pitts, Primary Counties (Physical Damage and Non-Profit Organizations Without Acting Associate Administrator for Disaster Credit Available Elsewhere ..... 2.750 Economic Injury Loans): Caddo, La Assistance. Salle, Saint Landry [FR Doc. 2020–20736 Filed 9–18–20; 8:45 am] The number assigned to this disaster Contiguous Counties (Economic Injury BILLING CODE 8026–03–P for physical damage is 166625 and for Loans Only): Arkansas: Lafayette, Miller economic injury is 166630. Louisiana: Bossier, Catahoula, Pointe SMALL BUSINESS ADMINISTRATION (Catalog of Federal Domestic Assistance Coupee, Saint Martin Number 59008) [Disaster Declaration #16662 and #16663; Texas: Cass, Harrison, Marion, Panola Cynthia Pitts, California Disaster Number CA–00327] All other information in the original Acting Associate Administrator for Disaster declaration remains unchanged. Presidential Declaration of a Major Assistance. (Catalog of Federal Domestic Assistance Disaster for Public Assistance Only for [FR Doc. 2020–20735 Filed 9–18–20; 8:45 am] Number 59008) the State of California BILLING CODE 8026–03–P Cynthia Pitts, AGENCY: U.S. Small Business Acting Associate Administrator for Disaster Administration. SMALL BUSINESS ADMINISTRATION Assistance. ACTION: Notice. [FR Doc. 2020–20737 Filed 9–18–20; 8:45 am] National Small Business Development BILLING CODE 8026–03–P SUMMARY: This is a Notice of the Centers Advisory Board Presidential declaration of a major AGENCY: Small Business Administration. disaster for Public Assistance Only for SMALL BUSINESS ADMINISTRATION the State of California (FEMA–4558– ACTION: Notice of open Federal Advisory Committee meeting. [Disaster Declaration #16593 and #16594; DR), dated 08/22/2020. Iowa Disaster Number IA–00093] Incident: Wildfires. SUMMARY: The SBA is issuing this notice Incident Period: 08/14/2020 and to announce the date, time and agenda Presidential Declaration Amendment of continuing. for a meeting of the National Small a Major Disaster for Public Assistance Business Development Center Advisory Only for the State of Iowa DATES: Issued on 08/22/2020. Physical Loan Application Deadline Board. The meeting will be open to the AGENCY: U.S. Small Business Date: 10/21/2020. public; however, advance notice of Administration. Economic Injury (EIDL) Loan attendance is required. ACTION: Amendment 1. Application Deadline Date: 05/24/2021. DATES: Tuesday, September 29, 2020 at ADDRESSES: Submit completed loan 5:00 p.m. EDT. SUMMARY: This is an amendment of the applications to: U.S. Small Business ADDRESSES: Meeting will be held via Presidential declaration of a major Administration, Processing and Microsoft Teams. disaster for Public Assistance Only for Disbursement Center, 14925 Kingsport FOR FURTHER INFORMATION CONTACT: the State of Iowa (FEMA–4557–DR), Road, Fort Worth, TX 76155. Rachel Karton, Office of Small Business dated 08/17/2020. Incident: Severe Storms. FOR FURTHER INFORMATION CONTACT: Development Centers, U.S. Small Incident Period: 08/10/2020. Alan Escobar, Office of Disaster Business Administration, 409 Third Street SW, Washington, DC 20416; DATES: Issued on 09/10/2020. Assistance, U.S. Small Business Physical Loan Application Deadline Administration, 409 3rd Street SW, [email protected]. If anyone wishes to be a listening Date: 10/16/2020. Suite 6050, Washington, DC 20416, Economic Injury (EIDL) Loan (202) 205–6734. participant or would like to request accommodations, please contact Rachel Application Deadline Date: 05/17/2021. SUPPLEMENTARY INFORMATION: Notice is Karton at the information above. ADDRESSES: Submit completed loan hereby given that as a result of the applications to: U.S. Small Business President’s major disaster declaration on SUPPLEMENTARY INFORMATION: Pursuant Administration, Processing and 08/22/2020, Private Non-Profit to section 10(a) of the Federal Advisory Disbursement Center, 14925 Kingsport organizations that provide essential Committee Act (5 U.S.C. Appendix 2), Road, Fort Worth, TX 76155. services of a governmental nature may the SBA announces the meetings of the National SBDC Advisory Board. This FOR FURTHER INFORMATION CONTACT: A. file disaster loan applications at the Board provides advice and counsel to Escobar, Office of Disaster Assistance, address listed above or other locally the SBA Administrator and Associate U.S. Small Business Administration, announced locations. Administrator for Small Business 409 3rd Street SW, Suite 6050, The following areas have been Development Centers. Washington, DC 20416, (202) 205–6734. determined to be adversely affected by SUPPLEMENTARY INFORMATION: The notice the disaster: Purpose Primary Counties: Monterey, Napa, of the President’s major disaster The purpose of the meeting is to San Mateo, Santa Cruz, Solano, Sonoma. declaration for Private Non-Profit discuss Advisory Board Fiscal Year The Interest Rates are: organizations in the State of IOWA, 2021 priorities and gain feedback from dated 08/17/2020, is hereby amended to Percent the Small Business Development Center include the following areas as adversely State Directors. affected by the disaster. Primary For Physical Damage: Nicole Nelson, Counties: Greene, Grundy, Guthrie, Non-Profit Organizations With Hardin, Iowa, Jackson, Washington. Credit Available Elsewhere ..... 2.750 Acting Committee Management Officer. All other information in the original Non-Profit Organizations Without [FR Doc. 2020–20728 Filed 9–18–20; 8:45 am] declaration remains unchanged. Credit Available Elsewhere ..... 2.750 BILLING CODE P
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DEPARTMENT OF STATE Director of the Office of Foreign FOR FURTHER INFORMATION CONTACT: Yu- Missions. Jiang Zhang, Staff Director, Track and Structures Division, Office of Railroad [Public Notice 11207] Clifton C. Seagroves, Safety, FRA, 1200 New Jersey Avenue Acting Director, Office of Foreign Missions, SE, Washington, DC 20590, telephone Designation Pursuant to The Foreign Department of State. Missions Act (202) 493–6460 or email yujiang.zhang@ [FR Doc. 2020–20732 Filed 9–18–20; 8:45 am] dot.gov; Aaron Moore, Attorney, Office Pursuant to the authority vested in the BILLING CODE 4710–43–P of Chief Counsel, FRA, 1200 New Jersey Secretary of State by the laws of the Avenue SE, Washington, DC 20590, United States including the Foreign telephone (202) 493–7009 or email Missions Act (22 U.S.C. 4301 et seq.) SURFACE TRANSPORTATION BOARD [email protected]. SUPPLEMENTARY INFORMATION: On (the Act) and delegated pursuant to Release of Waybill Data Department of State Delegation of September 26, 2018, FRA approved Authority No. 214 of September 20, The Surface Transportation Board has BNSF’s Test Program and, subject to 1994, I hereby designate events outside received a request from the Federal certain conditions designed to ensure of a foreign mission premises as a Reserve Bank of Atlanta (WB20–41—9/ safety, suspended the requirements of benefit under the Act. 15/20) for permission to use data from 49 CFR 213.233(c) as necessary to carry the Board’s 1984–2019 Unmasked out the Test Program. For more Clifton C. Seagroves, Carload Waybill Samples. A copy of this information about the previously- Acting Director, Office of Foreign Missions, request may be obtained from the approved Test Program, please see Department of State. Board’s website under docket no. docket number FRA–2018–0091 at [FR Doc. 2020–20731 Filed 9–18–20; 8:45 am] WB20–41. www.regulations.gov. BILLING CODE 4710–43–P The waybill sample contains On August 19, 2020, BNSF petitioned confidential railroad and shipper data; FRA to modify Phase IV of the BNSF therefore, if any parties object to these Test Program to reduce the required DEPARTMENT OF STATE requests, they should file their automated inspections from twice objections with the Director of the monthly to ‘‘varying intervals up to a maximum of four weeks between [Public Notice 11208] Board’s Office of Economics within 14 calendar days of the date of this notice. inspections.’’ No other revisions were Determination Pursuant to the Foreign The rules for release of waybill data are requested. Missions Act codified at 49 CFR 1244.9. After review and analysis of BNSF’s Contact: Alexander Dusenberry, (202) request, FRA approved BNSF’s request Pursuant to the authority vested in the 245–0319. and modified the Test Program to create Secretary of State by the laws of the a new Phase V. A copy of FRA’s letter Tammy Lowery, approving BNSF’s request is available in United States including the Foreign Clearance Clerk. Missions Act (22 U.S.C. 4301 et seq.) docket number FRA–2018–0091 at [FR Doc. 2020–20776 Filed 9–18–20; 8:45 am] www.regulations.gov. FRA’s letter (the Act) and delegated pursuant to BILLING CODE 4915–01–P approving BNSF’s request states that all Department of State Delegation of Phase IV metrics and requirements will Authority No. 214 of September 20, apply to Phase V. BNSF must also 1994, I hereby determine it reasonably DEPARTMENT OF TRANSPORTATION continue to meet the conditions necessary to achieve one or more of the outlined in FRA’s September 26, 2018, purposes set forth in section 204(b) of Federal Railroad Administration and October 24, 2018 letters, available the Act (22 U.S.C. 4304(b)) to require in docket number FRA–2018–0091 at the bilateral People’s Republic of [Docket No. FRA–2018–0091] www.regulations.gov, and notify FRA of China’s (PRC) foreign mission to obtain the proposed start date of Phase V. advance approval from the Department Program Modification Approval: BNSF Railway Company As explained in its approval letter, of State’s Office of Foreign Missions to FRA finds, considering the data host a cultural event with more than 50 AGENCY: Federal Railroad received from the Test Program so far, people in attendance in the United Administration (FRA), Department of the addition of Phase V is necessary for States and its territories held outside the Transportation (DOT). FRA to further evaluate potential physical boundaries of the PRC bilateral ACTION: Notice of approval of optimal combinations of visual and foreign mission. modification. automated inspections. For purposes of this determination, John Karl Alexy, SUMMARY: the term ‘‘bilateral PRC foreign mission’’ FRA is issuing this notice to explain its rationale for granting a Associate Administrator for Railroad Safety, means the PRC Embassy, consular posts, Chief Safety Officer. modification to the previously-approved miscellaneous foreign government BNSF Railway Company (BNSF) Test [FR Doc. 2020–20752 Filed 9–18–20; 8:45 am] offices, or operation falling under the Program designed to test track BILLING CODE 4910–06–P purview of the Vienna Convention on inspection technologies (i.e., an Diplomatic Relations and the Vienna autonomous track geometry Convention on Consular Relations, in measurement system) and new DEPARTMENT OF THE TREASURY the United States, including its real operational approaches to track property and personnel. inspections. The previously-approved Office of Foreign Assets Control This determination is subject to any Test Program included a limited, Notice of OFAC Sanctions Actions additional terms and conditions temporary suspension of a substantive approved by the Director or Deputy FRA rule that is necessary to facilitate AGENCY: Office of Foreign Assets the conduct of the Test Program. Control, Treasury.
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ACTION: Notice. persons are generally prohibited from Electronic Availability engaging in transactions with them. The Specially Designated Nationals SUMMARY: The Department of the DATES: See SUPPLEMENTARY INFORMATION and Blocked Persons List and additional Treasury’s Office of Foreign Assets section for applicable date(s). information concerning OFAC sanctions Control (OFAC) is publishing the names programs are available on OFAC’s of one or more persons that have been FOR FURTHER INFORMATION CONTACT: website (www.treas.gov/ofac). placed on OFAC’s Specially Designated OFAC: Associate Director for Global Nationals and Blocked Persons List Targeting, tel.: 202–622–2420; Assistant Notice of OFAC Action(s) based on OFAC’s determination that one Director for Sanctions Compliance & On September 16, 2020, OFAC or more applicable legal criteria were Evaluation, tel.: 202–622–2490; determined that the property and satisfied. All property and interests in Assistant Director for Licensing, tel.: interests in property subject to U.S. property subject to U.S. jurisdiction of 202–622–2480. jurisdiction of the following persons are blocked under the relevant sanctions these persons are blocked, and U.S. SUPPLEMENTARY INFORMATION: authorities listed below.
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Dated: September 16, 2020. collected is used to determine if the DEPARTMENT OF THE TREASURY Andrea M. Gacki, prototype plan submitted is an Director, Office of Foreign Assets Control, approved plan. Agency Information Collection U.S. Department of the Treasury. Activities; Submission for OMB Current Actions: There are no changes Review; Comment Request; Multiple [FR Doc. 2020–20793 Filed 9–18–20; 8:45 am] being made to the form at this time. BILLING CODE 4810–AL–P Department of Treasury Information Type of Review: Extension of a Collection Requests currently approved collection. AGENCY: Departmental Offices, U.S. DEPARTMENT OF THE TREASURY Affected Public: Business or other for- Department of the Treasury. profit organizations. Internal Revenue Service ACTION: Notice. Estimated Number of Respondents: 6. SUMMARY: Proposed Collection; Comment The Department of the Estimated Time Per Respondent: 19 Treasury will submit the following Request for Application for Approval hours, 22 minutes. of Prototype Simplified Employee information collection requests to the Pension (SEP) or Savings Incentive Estimated Total Annual Burden Office of Management and Budget Match Plan for Employees of Small Hours: 117. (OMB) for review and clearance in Employers (SIMPLE IRA Plan) The following paragraph applies to all accordance with the Paperwork of the collections of information covered Reduction Act of 1995, on or after the AGENCY: Internal Revenue Service (IRS), date of publication of this notice. The by this notice: Treasury. public is invited to submit comments on ACTION: Notice and request for An agency may not conduct or these requests. comments. sponsor, and a person is not required to DATES: Comments should be received on respond to, a collection of information or before October 21, 2020 to be assured SUMMARY: The Internal Revenue Service, unless the collection of information of consideration. as part of its continuing effort to reduce displays a valid OMB control number. ADDRESSES: Written comments and paperwork and respondent burden, Books or records relating to a recommendations for the proposed invites the general public and other collection of information must be information collection should be sent Federal agencies to take this within 30 days of publication of this opportunity to comment on information retained as long as their contents may notice to www.reginfo.gov/public/do/ collections, as required by the become material in the administration PRAMain. Find this particular Paperwork Reduction Act of 1995. The of any internal revenue law. Generally, information collection by selecting IRS is soliciting comments concerning tax returns and tax return information ‘‘Currently under 30-day Review—Open Form 5306–A, Application for Approval are confidential, as required by 26 for Public Comments’’ or by using the of Prototype Simplified Employee U.S.C. 6103. search function. Pension (SEP) or Savings Incentive Request for Comments: Comments FOR FURTHER INFORMATION CONTACT: Match Plan for Employees of Small submitted in response to this notice will Employers (SIMPLE IRA Plan). Copies of the submissions may be be summarized and/or included in the obtained from Molly Stasko by emailing DATES: Written comments should be request for OMB approval. All [email protected], calling (202) 622– received on or before November 20, comments will become a matter of 8922, or viewing the entire information 2020 to be assured of consideration. public record. Comments are invited on: collection request at www.reginfo.gov. ADDRESSES: Direct all written comments (a) Whether the collection of SUPPLEMENTARY INFORMATION: to Paul Adams, Internal Revenue information is necessary for the proper Service, room 6526, 1111 Constitution performance of the functions of the Departmental Offices Avenue NW, Washington, DC 20224. agency, including whether the 1. Title: Terrorism Risk Insurance FOR FURTHER INFORMATION CONTACT: information shall have practical utility; Program Claim and Program Forms. Requests for additional information or (b) the accuracy of the agency’s estimate OMB Control Number: 1505–0200. copies of the form and instructions of the burden of the collection of Type of Review: Revision of a should be directed to Sara Covington information; (c) ways to enhance the currently approved collection. (737) 800–6149 or Internal Revenue quality, utility, and clarity of the Description: The Terrorism Risk Service, Room 6526, 1111 Constitution information to be collected; (d) ways to Insurance Act of 2002, as amended (TRIA), established the Terrorism Risk Avenue NW, Washington, DC 20224, or minimize the burden of the collection of Insurance Program (TRIP or Program). through the internet, at information on respondents, including [email protected]. The Act establishes a temporary federal through the use of automated collection program of shared public and private SUPPLEMENTARY INFORMATION: Title: techniques or other forms of information Application for Approval of Prototype compensation for insured commercial technology; and (e) estimates of capital property and casualty losses resulting Simplified Employee Pension (SEP) or or start-up costs and costs of operation, Savings Incentive Match Plan for from an ‘‘act of terrorism,’’ as defined by maintenance, and purchase of services Employees of Small Employers (SIMPLE TRIA. In order for the Program to make to provide information. IRA Plan). payments, the losses from an event must OMB Number: 1545–0199. Approved: September 14, 2020. exceed certain thresholds and be in Form Number: 5306–A. Sara L. Covington, excess of participating insurer Abstract: This form is used by banks, deductibles. Only ‘‘acts of terrorism’’ IRS Tax Analyst. credit unions, insurance companies, and that have been certified as such by the trade or professional associations to [FR Doc. 2020–20605 Filed 9–18–20; 8:45 am] Secretary (in consultation with the apply for approval of a simplified BILLING CODE 4830–01–P Attorney General and the Secretary of employee pension plan or a Savings Homeland Security) are subject to the Incentive Match Plan to be used by compensation provisions of the more than one employer. The data Program. In the event Treasury does
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make payments under the Program, it Estimated Number of Respondents: participating insurers. Treasury has may be required, through surcharges 8,431. determined, however, that all other data imposed upon all commercial Frequency of Response: On occasion. components remain unavailable from policyholders, to recoup some or all of Estimated Total Number of Annual other sources. Accordingly, Treasury any amounts expended. Since the Responses: 42,931. will continue to request this remaining inception of the Program in 2002, Estimated Time per Response: Varies data and information directly from Treasury has sought and obtained from from 5 minutes–40 hours. insurers. By continuing to collect the Office of Management and Budget Estimated Total Annual Burden information on a consolidated basis (OMB) approvals for certain information Hours: 223,877 hours. with state regulators, however, a collections that will be necessary if 2. Title: Collection of Data from significant reduction in overall data Treasury needs to process claims for the Property and Casualty Insurers for collection burdens for participating Federal share of compensation, and Reports Concerning the Terrorism Risk insurers is achieved. potentially recoup amounts expended as Insurance Program. Affected Public: Businesses and other OMB Control Number: 1505–0257. required under TRIA. Most of these Type of Review: Extension without for profits institutions. information collections are managed change of a currently approved Estimated Number of Respondents: through forms that have been developed collection. 900. by Treasury to permit participating Description: The Terrorism Risk Frequency of Response: Annually. insurers to demonstrate that they are Insurance Act of 2002, as amended Estimated Total Number of Annual entitled to payments for the Federal (TRIA), established the Terrorism Risk Responses: 900. share of compensation. In some cases, Insurance Program (TRIP or Program). Estimated Time per Response: Varies the information collection is not subject Reauthorized through 2027, the Act from 28 hours–82 hours. to a specific form, but is based upon establishes a temporary federal program Estimated Total Annual Burden circumstances that may develop in the of shared public and private Hours: 44,400 hours. future, in the event the Program is compensation for insured commercial 3. Title: CARES Act Loan and Payroll triggered, or might be triggered, by the property and casualty losses resulting Support Programs. Secretary’s certification of an act of from an ‘‘act of terrorism,’’ as defined by OMB Control Number: 1505–0263. terrorism. TRIA. The Act requires the Secretary to Type of Review: Extension without In December 2019, the Terrorism Risk perform periodic analyses of certain change of a currently approved Insurance Program Reauthorization Act matters concerning the Program. In collection. of 2019 extended the Program until order to assist the Secretary with this Description: On March 27, 2020, the December 31, 2027. The recent process, TRIA requires insurers to President signed the ‘‘Coronavirus Aid, reauthorization of the Program did not submit on an annual basis certain Relief, and Economic Security Act’’ or incorporate any changes that require insurance data and information the ‘‘CARES Act,’’ (Pub. L. 116–136) revisions to current Program forms and regarding their participation in the which provides emergency assistance collections, and Treasury seeks to Program. and health care response for extend these previously approved Treasury began collecting data from individuals, families and businesses collections without change. No insurers in 2016 on a voluntary basis, affected by the COVID–19 pandemic, additional burdens are imposed by the and on a mandatory basis beginning in and provides emergency appropriations renewal of the existing forms or 2017. In 2018, Treasury and state to support executive branch agency collections, or in the reinstatement of insurance regulators (which also collect operations during the COVID–19 the lapsed information collection, either information on terrorism risk insurance pandemic. The Act authorizes the in terms of the estimates of the number in separate data calls) agreed on joint Secretary of the Treasury to make loans, of insurers affected or time burdens for reporting templates substantially similar loan guarantees, and other investments compliance. None of the identified to those used by Treasury in prior years. that do not exceed $500 billion in the information will need to be reported The forms that are currently approved aggregate to provide liquidity to eligible unless there is a certified act of for use, and which were utilized during businesses, States, and municipalities terrorism (including the information the 2020 TRIP data call, expire effective related to losses incurred as a result of that an insurer seeking payment of the September 30, 2020. Treasury seeks to coronavirus. Section 4003(b)(1)–(3) Federal share of compensation needs to continue to use the same forms for the authorizes the Secretary to make loans provide), or in some cases where next three-year period, without changes and loan guarantees available to Treasury is considering certification of except for non-material modifications passenger air carriers and cargo air an act of terrorism. Treasury has each year relating to the dates for which carriers, as well as certain related designed the forms to identify elements data is sought and the incorporation of businesses, and businesses critical to that insurers already regularly collect in relevant Program thresholds, and maintaining national security. As part of their ordinary course of business when changes to the modeled loss question the loan and payroll support handling insurance claims, which will that is posed each year to estimate the agreements, applicants will need to minimize any burden associated with potential impact upon the Program from maintain records for a period of 2, 5, or their completion. hypothetical terrorism loss events. 10 years, depending on the loan type, as Forms: Treasury Form TRIP 01, Pursuant to TRIA, Treasury has well as submit compliance reports Treasury Form TRIP 02, Treasury Form evaluated whether publicly available quarterly to ensure funding is used in TRIP 02A, Treasury Form TRIP 02B, sources can supply the information accordance with the agreements and aid Treasury Form TRIP 02C, Treasury needed in the annual data call. statutory reporting requirements. Form TRIP 03, Treasury Form TRIP Information relating to workers’ Forms: Payroll Support and Loan 04A, Treasury Form TRIP 04B, Treasury compensation exposures is available Application Forms and Agreements, Form TRIP 05, Treasury Form TRIP 06, from the workers’ compensation rating Quarterly and Annual Compliance and Treasury Form TRIP 07. bureaus, and Treasury will continue to Reporting Collection. Affected Public: Businesses and other coordinate with those entities to provide Affected Public: Businesses and other for profit institutions. that information on behalf of for profits institutions.
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Estimated Number of Respondents: Dated: September 15, 2020. ACTION: Notice. 1,000 for applications, 1,100 for Spencer W. Clark, reporting. Treasury PRA Clearance Officer. SUMMARY: The United States Mint is Frequency of Response: Once for [FR Doc. 2020–20707 Filed 9–18–20; 8:45 am] announcing pricing for recurring and applications, Quarterly for reporting. BILLING CODE 4810–25–P new United States Mint numismatic Estimated Total Number of Annual products in accordance with the table SUPPLEMENTARY INFORMATION Responses: 1,000 for applications, 4,400 shown in for reporting. DEPARTMENT OF THE TREASURY below: Estimated Time per Response: 2 hours United States Mint FOR FURTHER INFORMATION CONTACT: for applications, 4 hours for reporting. Angela Hicks, Marketing Specialist, Estimated Total Annual Burden Establish Pricing for 2020 United Sales and Marketing; United States Hours: 2,000 for applications, 17,600 for States Mint Numismatic Products Mint; 801 9th Street NW,; Washington, DC 20220; or call 202–354–7750. reporting. AGENCY: United States Mint, Department Authority: 44 U.S.C. 3501 et seq. of the Treasury. SUPPLEMENTARY INFORMATION:
2020 Product retail price
American InnovationTM $1 Coin Roll—P mint mark (Connecticut) ...... $34.50 American Innovation $1 Coin Roll—D mint mark (Connecticut) ...... $34.50 American Innovation $1 Coin—100-Coin Bag—P mint mark (Connecticut) ...... $117.50 American Innovation $1 Coin—100-Coin Bag—D mint mark (Connecticut) ...... $117.50 American Innovation $1 Coin Roll—P mint mark (Massachusetts) ...... $34.50 American Innovation $1 Coin Roll—D mint mark (Massachusetts) ...... $34.50 American Innovation $1 Coin—100-Coin Bag—P mint mark (Massachusetts) ...... $117.50 American Innovation $1 Coin—100-Coin Bag—D mint mark (Massachusetts) ...... $117.50 American Innovation $1 Coin Roll—P mint mark (Maryland) ...... $34.50 American Innovation $1 Coin Roll—D mint mark (Maryland) ...... $34.50 American Innovation $1 Coin—100-Coin Bag—P mint mark (Maryland) ...... $117.50 American Innovation $1 Coin—100-Coin Bag—D mint mark (Maryland) ...... $117.50 American Innovation $1 Coin Roll—P mint mark (South Carolina) ...... $34.50 American Innovation $1 Coin Roll—D mint mark (South Carolina) ...... $34.50 American Innovation $1 Coin—100-Coin Bag—P mint mark (South Carolina) ...... $117.50 American Innovation $1 Coin—100-Coin Bag—D mint mark (South Carolina) ...... $117.50 George H.W. Bush Presidential $1 Coin Roll—P mint mark ...... $34.50 George H.W. Bush Presidential $1 Coin Roll—D mint mark ...... $34.50 George H.W. Bush Presidential $1 Coin 100-Coin Bag—P mint mark ...... $117.50 George H.W. Bush Presidential $1 Coin 100-Coin Bag—D mint mark ...... $117.50 George H.W. Bush Presidential $1 Coin 250-Coin Box—P mint mark ...... $289.75 George H.W. Bush Presidential $1 Coin 250-Coin Box—D mint mark ...... $289.75
Authority: 31 U.S.C. 5111, 5112, 5132 & 9701. Eric Anderson, Executive Secretary, United States Mint. [FR Doc. 2020–20775 Filed 9–18–20; 8:45 am] BILLING CODE P
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Reader Aids Federal Register Vol. 85, No. 183 Monday, September 21, 2020
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING SEPTEMBER
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. 1710...... 57077 Presidential Documents 3 CFR 1779...... 57077 Executive orders and proclamations 741–6000 Proclamations: 1780...... 57077 The United States Government Manual 741–6000 9705 (See Proc. 1783...... 57077 10064) ...... 54877 Other Services 1942...... 57077 9759 (See Proc. 1980...... 57077 Electronic and on-line services (voice) 741–6020 10064) ...... 54877 3570...... 57077 Privacy Act Compilation 741–6050 10064...... 54877 4274...... 57077 10065...... 55161 4279...... 57077 10066...... 55163 ELECTRONIC RESEARCH 4280...... 57077 10067...... 55165 Proposed Rules: World Wide Web 10068...... 55167 959...... 55388 10069...... 56463 1222...... 54945 Full text of the daily Federal Register, CFR and other publications 10070...... 57663 is located at: www.govinfo.gov. 10071...... 59165 8 CFR Federal Register information and research tools, including Public 10072...... 59167 Proposed Rules: Inspection List and electronic text are located at: Executive Orders: 1...... 56338 www.federalregister.gov. 13947...... 59171 103...... 55597, 56338 Administrative Orders: 204...... 56338 E-mail Memorandums: 207...... 56338 208...... 56338 FEDREGTOC (Daily Federal Register Table of Contents Electronic Memorandum of September 20, 2013 209...... 56338 Mailing List) is an open e-mail service that provides subscribers 210...... 56338 with a digital form of the Federal Register Table of Contents. The (revoked by Memorandum of 212...... 56338 digital form of the Federal Register Table of Contents includes 214...... 56338 HTML and PDF links to the full text of each document. September 2, 2020) ...... 55585 215...... 56338 To join or leave, go to https://public.govdelivery.com/accounts/ Memorandum of 216...... 56338 USGPOOFR/subscriber/new, enter your email address, then August 29, 2020...... 54883 235...... 55597, 56338 follow the instructions to join, leave, or manage your Memorandum of 236...... 56338 subscription. September 2, 240...... 56338 244...... 56338 2020 ...... 55585 PENS (Public Law Electronic Notification Service) is an e-mail 245...... 56338 Presidential service that notifies subscribers of recently enacted laws. 245a...... 56338 Determinations: To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 264...... 56338 No. 2020–10 of and select Join or leave the list (or change settings); then follow 287...... 56338 the instructions. September 9, 316...... 56338 2020 ...... 57075 FEDREGTOC and PENS are mailing lists only. We cannot 333...... 56338 Notices: 335...... 56338 respond to specific inquiries. Notice of September Reference questions. Send questions and comments about the 10, 2020 ...... 56467 9 CFR Federal Register system to: [email protected] Notice of September 93...... 57944 10, 2020 ...... 56469 The Federal Register staff cannot interpret specific documents or Proposed Rules: Space Policy regulations. 2...... 57998 Directives: 3...... 57998 Space Policy 4...... 57998 FEDERAL REGISTER PAGES AND DATE, SEPTEMBER Directive—5...... 56155 352...... 56538 54233–54480...... 1 5 CFR 354...... 56538 412...... 56538 54481–54884...... 2 1600...... 57665 54885–55168...... 3 1650...... 57665, 59173 10 CFR 55169–55358...... 4 Proposed Rules: 72...... 54885 55359–55586...... 8 212...... 59207 429...... 56475 55587–55780...... 9 213...... 59207 430...... 56475 55781–56158...... 10 302...... 59207 Proposed Rules: 56159–56470...... 11 316...... 56536 35...... 57148 56471–57076...... 14 930...... 59207 50...... 56548 52...... 56548 57077–57664...... 15 7 CFR 57665–57936...... 16 73...... 56548 1...... 55359 429...... 58299 57937–58250...... 17 9...... 59174 430...... 56185, 57787 58251–59172...... 18 205...... 57937 431...... 57149 59173–59376...... 21 905...... 55359 990...... 55363 12 CFR 1210...... 56471 3...... 57956
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217...... 57956 38...... 55201 51...... 58268 41...... 58282 261...... 57616 292...... 58300 52...... 58268 42...... 58282 324...... 57956 55...... 58268 210...... 58114, 58160 19 CFR 624...... 54233 62...... 58268 Proposed Rules: 701...... 56498, 57666 Ch. I ...... 57108 64...... 58268 210...... 58170 Proposed Rules: 360...... 56162 66...... 58268 22...... 54946 Proposed Rules: 67...... 58268 38 CFR 208...... 54946 351...... 55801 70...... 58268 21...... 59190 339...... 54946 72...... 58268 Proposed Rules: 21 CFR 614...... 54946, 55786 74...... 58268 3...... 56189 615...... 55786 101...... 55587 76...... 58268 620...... 55786 Proposed Rules: 80...... 58268 39 CFR 82...... 58268 628...... 55786 300...... 55802 551...... 55192 760...... 54946 866...... 58300 83...... 58268 100...... 54494, 58268 Proposed Rules: 14 CFR 24 CFR 101...... 58268 3050...... 56192 103...... 58268 21...... 58251 Proposed Rules: 40 CFR 39 ...... 54481, 54885, 54888, 104...... 58268 887...... 59234 9...... 57968 54891, 54893, 54896, 54900, 105...... 58268 984...... 59234 52 ...... 54504, 54507, 54509, 55169, 55171, 55781, 56159, 106...... 58268 54510, 54924, 56521, 57694, 56161, 57666, 57668, 57671, 26 CFR 107...... 58268 57696, 57698, 57700, 57701, 57965, 59175, 59178, 59180 109...... 58268 1 ...... 55185, 56686, 58266 57703, 57707, 57712, 57714, 71 ...... 54233, 55174, 55366, 114...... 58268 Proposed Rules: 57721, 57723, 57727, 57729, 55368, 55369, 55371, 56514, 115...... 58268 1...... 56846, 58307 57731, 57733, 57736, 58283, 57085, 57086, 57088, 57673, 117 ...... 54496, 56516, 57691, 58286, 59192, 59194 57674 27 CFR 58268 55...... 55377 73...... 57675 118...... 58268 9...... 54491 60 ...... 57018, 57398, 57739 91...... 55372 125...... 58268 61...... 57739 93...... 58255, 58258 29 CFR 126...... 58268 63 ...... 55744, 56080, 57739 95...... 55174 127...... 58268 826...... 57677 81 ...... 57733, 57736, 58286 97 ...... 54902, 54909, 58260, 143...... 58268 1926...... 57109 141...... 54235 58262 145...... 58268 2520...... 59132 146...... 58268 143...... 54235 Proposed Rules: 4022...... 57123 148...... 58268 180 ...... 54259, 54927, 55193, 25...... 55198 4044...... 57123 149...... 58268 55380, 57746, 57750 39 ...... 54286, 54515, 55388, Proposed Rules: 150...... 58268 281...... 57754 55391, 55619, 55622, 55624, 2509...... 55219 151...... 58268 282...... 56172 57165, 57168, 57799, 57802, 2510...... 54288 153...... 58268 300...... 54931 57804, 58002, 58004, 58007, 2550...... 55219 154...... 58268 721...... 57756, 57968 58010, 58014, 59217 4022...... 55587 155...... 58268 Proposed Rules: 71 ...... 55200, 55395, 55627, 156...... 58268 49...... 55628 57170, 57806, 59220 31 CFR 160...... 58268 52 ...... 54947, 54952, 54954, 15 CFR 501...... 54911 161...... 58268 54960, 54961, 56193, 56196, 800...... 57124 162...... 58268 56198, 57810, 58310, 58315, 743...... 56294 1010...... 57129 164...... 58268 58319, 58320, 59256 772...... 56294 1020...... 57129 165 ...... 54497, 54499, 54501, 60...... 57815 774...... 56294 Proposed Rules: 55190, 56517, 56519, 58268 61...... 57815 Proposed Rules: 1...... 58308 166...... 58268 63...... 57815 30...... 58016 Ch. X...... 58023 167...... 58268 81...... 54517 16 CFR 169...... 58268 131...... 54967 32 CFR 177...... 58268 180...... 55810 1450...... 58263 105...... 57967 Proposed Rules: 271...... 56200 Proposed Rules: 143...... 56172 Ch. II ...... 57298 282...... 56207 641...... 57172 199...... 54914 117...... 57808 300...... 54970 642...... 59226 204...... 55783 165 ...... 54946, 56186, 57175, 698...... 59226 217...... 55783 59254 41 CFR 327...... 57967 201...... 54263 17 CFR Proposed Rules: 34 CFR 1...... 57462 553...... 57640 Ch. III ...... 57693 42 CFR 23...... 56924, 57462 Ch. VI...... 57138 9...... 54271 140...... 57462 33 CFR 600...... 54742 71...... 56424 200...... 57089 1...... 58268 602...... 54742 402...... 55385 202...... 57089 2...... 58268 668...... 54742 403...... 55385 227...... 54483 3...... 58268 Proposed Rules: 405...... 58432 239...... 54483 5...... 58268 Ch. III ...... 55802 410...... 54820 240...... 55082 6...... 58268 411...... 55385 270...... 57089 8...... 58268 36 CFR 412...... 55385, 58432 276...... 55155 13...... 58268 1155...... 59187 413...... 54820, 58432 Proposed Rules: 17...... 58268 Proposed Rules: 414...... 54820, 57980 232...... 58018 23...... 58268 214...... 54311 417...... 58432 25...... 58268 228...... 54311 422...... 54820, 55385 18 CFR 26...... 58268 261...... 54311 423...... 54820, 55385 292...... 54638 27...... 58268 460...... 55385 375...... 54638 40...... 58268 37 CFR 476...... 58432 Proposed Rules: 45...... 58268 1...... 58282 480...... 58432 37...... 55201 50...... 58268 11...... 58282 482...... 54820
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483...... 54820, 55385 2...... 58268 64...... 59110 223...... 59198 484...... 58432 4...... 58268 300...... 58297 48 CFR 485...... 54820 7...... 58268 600...... 56177, 59199 488...... 54820, 55385 8...... 58268 Proposed Rules: 622 ...... 54513, 54942, 54943, 493...... 54820, 55385 16...... 58268 1...... 56549, 57177 55592, 57982 495...... 58432 28...... 58268 7...... 56549 635...... 57783 Proposed Rules: 30...... 58268 12...... 56558 648 ...... 54514, 55595, 56534, Ch. I ...... 56108 35...... 58268 25...... 56549, 56558 57785, 57986 405...... 54327 39...... 58268 44...... 56549 660...... 55784 68...... 58268 52 ...... 56549, 56558, 57177 665...... 57988 43 CFR 227...... 59258 679 ...... 54285, 55595, 57785, 47 CFR 252...... 59258 Proposed Rules: 57786, 58298, 59204, 59205, 3170...... 55940 1...... 57980 59206 2...... 57980 49 CFR 44 CFR 25...... 57980 Ch. XII...... 57108 Proposed Rules: 64...... 55196, 58294 27...... 57765, 57980 543...... 55386 17 ...... 54339, 55398, 57578, 52...... 57767 571...... 54273 57816, 58192, 58224 45 CFR 54...... 56528, 59196 1244...... 54936 229...... 59258 1173...... 56525 64...... 56530 Proposed Rules 300...... 58321 Proposed Rules: 73...... 58295 571...... 55396 600...... 56569 302...... 58029 101...... 57980 660...... 54529 Proposed Rules: 50 CFR 665...... 56208 46 CFR 1 ...... 54523, 56549, 58032 17...... 54281 679...... 55243, 58322 1...... 57757, 58268 2...... 56549 216...... 58297 680...... 55243
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