Vol. 85 Wednesday, No. 63 April 1, 2020

Pages 18105–18412

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 85, No. 63

Wednesday, April 1, 2020

Agricultural Marketing Service Coast Guard PROPOSED RULES PROPOSED RULES Exceptions to Geographic Boundaries, 18155–18156 Special Local Regulations: Upper Potomac River, National Harbor, MD, 18157–18160 Agriculture Department See Agricultural Marketing Service Commerce Department See Animal and Plant Health Inspection Service See Economic Development Administration See Forest Service See International Trade Administration NOTICES See National Oceanic and Atmospheric Administration Solicitation of Input From Stakeholders on Agricultural Innovations, 18185 Consumer Product Safety Commission RULES Air Force Department Revisions to Safety Standard for Children’s Folding Chairs NOTICES and Stools, 18111–18114 Environmental Impact Statements; Availability, etc.: Noise of Cancellation of Scoping Meetings for Proposed Defense Department Mortar and Artillery Training at Richardson Training See Air Force Department Area, Joint Base Elmendorf-Richardson, AK, 18217 See Engineers Corps Software and Documentation for Licensing, 18217–18218 See Navy Department PROPOSED RULES Alcohol, Tobacco, Firearms, and Explosives Bureau Federal Acquisition Regulations: NOTICES Construction Contract Administration, 18181–18184 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Drug Enforcement Administration Application for Federal Firearms License, 18275–18276 NOTICES Importer of Controlled Substances Application: Animal and Plant Health Inspection Service Shertech Laboratories, LLC, 18277 NOTICES Wildlife Laboratories, Inc., 18276 Proposed Revision To Import Requirements for the Importation of Fresh Citrus From South Africa Into the United States, 18185–18186 Economic Development Administration NOTICES Bureau of Consumer Financial Protection Petitions by Firms for Determination of Eligibility To Apply for Trade Adjustment Assistance, 18188–18189 NOTICES Request for Information: Assist the Taskforce on Federal Consumer Financial Law, Education Department 18214–18217 NOTICES Agency Information Collection Activities; Proposals, Centers for Disease Control and Prevention Submissions, and Approvals: NOTICES Migrant Education Program Regulations and Certificate of Meetings: Eligibility, 18220 Disease, Disability, and Injury Prevention and Control Special Emphasis Panel, 18243 Energy Department See Federal Energy Regulatory Commission Centers for Medicare & Medicaid Services See National Nuclear Security Administration NOTICES Medicare and Medicaid Programs: Engineers Corps Application From the Joint Commission for Continued NOTICES Approval of Its Home Health Agency Accreditation Environmental Impact Statements; Availability, etc.: Program, 18245–18247 2007 Folsom Dam Safety and Flood Damage Reduction, Medicare Program: 18219–18220 Approval of Application by the Utilization Review Sacramento Weir Component (Yolo County, CA) of the Accreditation Commission for Initial CMS-Approval American River Watershed Common Features Project, of Its Home Infusion Therapy Accreditation Program, as Authorized Under the Water Resources 18243–18245 Development Act of 2016, 18218–18219

Civil Rights Commission Environmental Protection Agency NOTICES RULES Meetings: Air Quality State Implementation Plans; Approvals and Indiana Advisory Committee, 18187–18188 Promulgations: Pennsylvania Advisory Committee, 18188 Tennessee: Chattanooga NSR Reform, 18126–18129

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PROPOSED RULES Federal Energy Regulatory Commission Air Quality State Implementation Plans; Approvals and NOTICES Promulgations: Combined Filings, 18223–18224 Vermont; Infrastructure State Implementation Plan Environmental Assessments; Availability, etc.: Requirements for the 2015 Ozone Standard, 18160– National Fuel Gas Supply Corp.; Amendment to West 18173 Side Expansion and Modernization Project, 18221– Modification of Significant New Uses of Certain Chemical 18222 Substances, 18173–18179 Extension of Time Request: Revocation of Significant New Use Rule for a Certain Transcontinental Gas Pipe Line Co., LLC, 18224–18225 Chemical Substance, 18179–18181 Initial Market-Based Rate Filings Including Requests for NOTICES Blanket Section 204 Authorizations: Agency Information Collection Activities; Proposals, Bluestone Farm Solar, LLC, 18222–18223 Submissions, and Approvals: Meetings: Regulation of Fuels and Fuel Additives: Gasoline Green Lake Water Power Co.; Cancellation of Dispute Volatility, 18228–18229 Resolution Panel Meeting and Technical Conference, Alternative Methods for Calculating Off-Cycle Credits 18223 Under the Light-Duty Vehicle Greenhouse Gas Emissions Program: Federal Maritime Commission Applications From Toyota Motor North America, 18227– 18228 NOTICES Requests for Nominations: Agreements Filed, 18230 Science Advisory Board and Science Advisory Board Standing Committees, 18225–18227 Federal Reserve System PROPOSED RULES Executive Office for Immigration Review Privacy Act Regulation, 18156–18157 RULES NOTICES Expanding the Size of the Board of Immigration Appeals, Agency Information Collection Activities; Proposals, 18105–18107 Submissions, and Approvals, 18230–18240 Privacy Act; Systems of Records, 18240–18242 Federal Aviation Administration Proposals to Engage in or To Acquire Companies Engaged RULES in Permissible Nonbanking Activities, 18240 Enforcement Policy for Expired Airman Medical Certificates, 18110–18111 Food and Drug Administration Special Conditions: RULES Delta Flight Products, Boeing Model No. 757–200 Series New Animal Drugs; Approval of New Animal Drug Airplane; Seats With Non-Traditional, Large, Non– Applications; Withdrawal of Approval of New Animal Metallic Panels, 18108–18110 Drug Applications; Change of Sponsor; Change of NOTICES Sponsors’ Name and Addresses, 18114–18125 Agency Information Collection Activities; Proposals, New Animal Drugs; Withdrawal of Approval of New Submissions, and Approvals: Animal Drug Applications, 18125–18126 Certification of Repair Stations, 18325–18327 NOTICES Petition for Exemption; Summary: Guidance: Monar Aero, Inc., 18328 Notifying the Food and Drug Administration of a Old Abe Aviation, LLC, 18327–18328 Permanent Discontinuance or Interruption in UAVantage, LLC, 18328–18329 Manufacturing Under Section 506C of the Federal Wild Rabbit Production, Inc., 18329–18330 Food, Drug, and Cosmetic Act, 18247–18249 Request To Release Airport Property, 18327 Meetings: Ophthalmic Devices Panel of the Medical Devices Federal Communications Commission Advisory Committee, 18249–18250 RULES Human Exposure to Radiofrequency Electromagnetic Fields Foreign Assets Control Office and Reassessment of FCC Radiofrequency Exposure NOTICES Limits and Policies, 18131–18151 Blocking or Unblocking of Persons and Properties, 18334– NOTICES 18364 Charter Renewal: Advisory Committee for the World Radio Conference, 18229–18230 Forest Service NOTICES Federal Emergency Management Agency Environmental Impact Statements; Availability, etc.: RULES Locatable Minerals, 18186–18187 Suspension of Community Eligibility, 18129–18131 NOTICES General Services Administration Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Federal Acquisition Regulations: Community Rating System––Application Letter and Construction Contract Administration, 18181–18184 Quick Check; Community Recertifications; NOTICES Environmental and Historic Preservation Office of Acquisition Policy; Establishment of Online Portal Certifications, 18253–18254 for GSA Guidance Documents, 18242

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Government Accountability Office Labor Department NOTICES See Workers Compensation Programs Office Request for Nominations: NOTICES Board of Governors of the Patient-Centered Outcomes Agency Information Collection Activities; Proposals, Research Institute, 18242–18243 Submissions, and Approvals: Cadmium in General Industry Standard, 18277–18278 Health and Human Services Department See Centers for Disease Control and Prevention National Aeronautics and Space Administration See Centers for Medicare & Medicaid Services PROPOSED RULES See Food and Drug Administration Federal Acquisition Regulations: See National Institutes of Health Construction Contract Administration, 18181–18184 See Substance Abuse and Mental Health Services Administration National Credit Union Administration NOTICES NOTICES Emergency Use Authorization Declaration, 18250–18251 Community Development Revolving Loan Fund Access for Homeland Security Department Credit Unions, 18280–18285 See Coast Guard See Federal Emergency Management Agency National Institutes of Health See U.S. Citizenship and Immigration Services NOTICES Meetings: Housing and Urban Development Department Center for Scientific Review, 18251–18252 NOTICES National Heart, Lung, and Blood Institute, 18252 Announcement of Funding Awards, 18255–18268 National Institute of Allergy and Infectious Diseases, 18251 Indian Affairs Bureau National Library of Medicine, 18251 NOTICES Indian Gaming: National Labor Relations Board Extension of Tribal-State Class III Gaming Compact RULES (Rosebud Sioux Tribe and the State of South Dakota), Representation––Case Procedures: 18268 Election Bars; Proof of Majority Support in Construction- Industry Collective-Bargaining Relationships, 18366– Interior Department 18400 See Indian Affairs Bureau National Nuclear Security Administration Internal Revenue Service NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, Defense Programs Advisory Committee, 18220 Submissions, and Approvals, 18330 Meetings: Taxpayer Advocacy Panel’s Notices and Correspondence National Oceanic and Atmospheric Administration Project Committee, 18331 RULES Taxpayer Advocacy Panel’s Toll-Free Phone Line Project Fisheries of the Exclusive Economic Zone off Alaska: Committee, 18330–18331 Pollock in the West Yakutat District of the Gulf of Alaska, 18153–18154 International Trade Administration Reallocation of Pollock in the Bering Sea and Aleutian NOTICES Islands, 18152–18153 Antidumping or Countervailing Duty Investigations, Orders, NOTICES or Reviews: Meetings: Advance Notification of Sunset Review, 18190 Fisheries of the Gulf of Mexico and the South Atlantic; Finished Carbon Steel Flanges from India, 18193–18194 Southeast Data, Assessment, and Review, 18195– Initiation of Five-Year (Sunset) Reviews, 18189–18190 18196 Opportunity To Request Administrative Review, 18191– New England Fishery Management Council, 18195 18193 Schedules for Atlantic Shark Identification Workshops and Safe Handling, Release, and Identification International Trade Commission Workshops; Correction, 18194–18195 NOTICES South Atlantic Fishery Management Council, 18213– Investigations; Determinations, Modifications, and Rulings, 18214 etc.: Takes of Marine Mammals Incidental to Specified Certain Replacement Automotive Service and Collission Activities: Parts and Components Thereof, 18274–18275 Gastineau Channel Historical Society Sentinel Island Oil Country Tubular Goods From China, 18268–18271 Moorage Float Project, Juneau, AK, 18196–18213 Polyvinyl Alcohol From China and Japan, 18271–18274 National Science Foundation Justice Department NOTICES See Alcohol, Tobacco, Firearms, and Explosives Bureau Meetings: See Drug Enforcement Administration Advisory Committee for Biological Sciences, 18285– See Executive Office for Immigration Review 18286

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Navy Department Substance Abuse and Mental Health Services RULES Administration Death Gratuity, 18126 NOTICES Agency Information Collection Activities; Proposals, Postal Regulatory Commission Submissions, and Approvals, 18252–18253 NOTICES New Postal Products, 18286 Transportation Department Presidential Documents See Federal Aviation Administration EXECUTIVE ORDERS Armed Forces, U.S.: Treasury Department Ordering Selected Reserve and Certain Ready Reserve See Foreign Assets Control Office Members to Active Duty (EO 13912), 18407–18408 See Internal Revenue Service Defense and National Security: Defense Production Act of 1950; Delegation of Authority U.S. Citizenship and Immigration Services Respecting Health and Medical Resources To NOTICES Respond to COVID–19 Transmission (EO 13911), Agency Information Collection Activities; Proposals, 18401–18405 ADMINISTRATIVE ORDERS Submissions, and Approvals: Health and Human Services: Generic Clearance for the Collection of Qualitative COVID–19 Response in Connecticut, Illinois, and Feedback on Agency Service Delivery, 18254 Michigan; Federal Support for Governors’ Use of Petition for Alien Relative, 18255 National Guard (Memorandum of March 30, 2020), 18411–18412 Workers Compensation Programs Office COVID–19 Response in Florida, Louisiana, Maryland, NOTICES Massachusetts, New Jersey, Guam, and Puerto Rico; Agency Information Collection Activities; Proposals, Federal Support for Governors’ Use of National Submissions, and Approvals: Guard (Memorandum of March 28, 2020), 18409– Request for Information on Earnings, Dual Benefits, 18410 Dependents and Third Party Settlement, 18279– 18280 Securities and Exchange Commission Meetings: NOTICES Advisory Board on Toxic Substances and Worker Health, Meetings; Sunshine Act, 18286, 18296–18297 18278–18279 Order Under Section 15B of the Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors From Specified Provisions of the Securities Exchange Act and Rule 15Ba1–5(a)(1) thereunder, 18299 Separate Parts In This Issue Self-Regulatory Organizations; Proposed Rule Changes: Cboe BZX Exchange, Inc., 18290–18292, 18304–18317 Part II Cboe Exchange, Inc., 18317–18323 Treasury Department, Foreign Assets Control Office, 18334– Financial Industry Regulatory Authority, Inc., 18299– 18364 18304 Miami International Securities Exchange, LLC, 18304 Part III Nasdaq ISE, LLC, 18297–18299 National Labor Relations Board, 18366–18400 New York Stock Exchange, LLC, 18286–18289, 18292– 18296 Part IV Small Business Administration Presidential Documents, 18401–18405, 18407–18412 RULES Express Bridge Loan Pilot Program; Modification of Eligibility and Loan Approval Deadline and Extension Reader Aids of Pilot Program, 18107–18108 Consult the Reader Aids section at the end of this issue for State Department phone numbers, online resources, finding aids, and notice NOTICES of recently enacted public laws. Agency Information Collection Activities; Proposals, To subscribe to the Federal Register Table of Contents Submissions, and Approvals: electronic mailing list, go to https://public.govdelivery.com/ Request for Advisory Opinion, 18323–18324 accounts/USGPOOFR/subscriber/new, enter your e-mail Statement of Material Change, Merger, Acquisition, or address, then follow the instructions to join, leave, or Divestiture of a Registered Party, 18324–18325 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR 19 (3 documents) ...... 18181 36 (3 documents) ...... 18181 Executive Orders: 43 (3 documents) ...... 18181 13911...... 18403 52 (3 documents) ...... 18181 13912...... 18407 Administrative Orders: 50 CFR 679 (2 documents) ...... 18152, Memorandums: Memorandum of March 18153 28, 2020 ...... 18409 Memorandum of March 30, 2020 ...... 18411 7 CFR Proposed Rules: 800...... 18155 8 CFR 1003...... 18105 12 CFR Proposed Rules: 261a...... 18156 13 CFR 120...... 18107 14 CFR 25...... 18108 61...... 18110 16 CFR 1232...... 18111 21 CFR 500...... 18114 510...... 18114 520 (2 documents) ...... 18114, 18125 522 (2 documents) ...... 18114, 18125 524...... 18114 526 (2 documents) ...... 18114, 18125 556...... 18114 558...... 18114 29 CFR 103...... 18366 32 CFR 716...... 18126 33 CFR Proposed Rules: 100...... 18157 40 CFR 52...... 18126 Proposed Rules: 52...... 18160 721 (2 documents) ...... 18173, 18179 44 CFR 64...... 18129 47 CFR 1...... 18131 2...... 18131 15...... 18131 18...... 18131 22...... 18131 24...... 18131 25...... 18131 27...... 18131 73...... 18131 90...... 18131 95...... 18131 97...... 18131 101...... 18131 48 CFR Proposed Rules: 12 (3 documents) ...... 18181

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Rules and Regulations Federal Register Vol. 85, No. 63

Wednesday, April 1, 2020

This section of the FEDERAL REGISTER that will provide the most assistance to CONTACT section above for the agency contains regulatory documents having general the Department in developing these counsel’s contact information by topic applicability and legal effect, most of which procedures will reference a specific in Section III, infra. are keyed to and codified in the Code of portion of the rule, explain the reason Federal Regulations, which is published under for any recommended change, and II. Background 50 titles pursuant to 44 U.S.C. 1510. include data, information, or authority The Executive Office for Immigration The Code of Federal Regulations is sold by that supports such recommended Review (‘‘EOIR’’) administers the the Superintendent of Documents. change. Nation’s immigration court system. Each submitted comment should Generally, cases commence before an include the agency name and reference DEPARTMENT OF JUSTICE immigration judge when the Department RIN 1125–AB00 or EOIR Docket No. 20– of Homeland Security (‘‘DHS’’) files a 0010 for this rulemaking. Please note charging document against an alien with Executive Office for Immigration that all properly received comments are the immigration court. See 8 CFR Review considered part of the public record and 1003.14(a). EOIR primarily decides made available for public inspection at whether foreign-born individuals who 8 CFR Part 1003 www.regulations.gov. Such information are charged by DHS with violating [Docket No. EOIR 20–0010; AG Order No. includes personally identifying 4663–2020] information (such as name, address, immigration law pursuant to the Immigration and Nationality Act RIN 1125–AB00 etc.) voluntarily submitted by the commenter. The Department may (‘‘INA’’) should be ordered removed from the United States, or should be Expanding the Size of the Board of withhold from public viewing granted relief or protection from Immigration Appeals information provided in comments that they determine may impact the privacy removal and be permitted to remain in AGENCY: Executive Office for of an individual or is offensive. For the United States. EOIR’s Office of the Immigration Review, Department of additional information, please read the Chief Immigration Judge administers Justice. Privacy Act notice that is available via these adjudications in immigration ACTION: Interim rule with request for the link in the footer of http:// courts nationwide. comments. www.regulations.gov. Decisions of the immigration judges If you want to submit personally are subject to review by EOIR’s SUMMARY: This rule amends the identifying information (such as your appellate body, the Board of Department of Justice regulations name, address, etc.) as part of your Immigration Appeals, which currently relating to the organization of the Board comment but do not want it to be posted comprises 21 permanent Board of Immigration Appeals (‘‘Board’’) by online, you must include the phrase members. The Board is the highest adding two Board member positions, ‘‘PERSONALLY IDENTIFYING administrative tribunal for interpreting thereby expanding the Board to 23 INFORMATION’’ in the first paragraph members. and applying U.S. immigration law. The of your comment and identify what Board’s decisions can be reviewed by DATES: information you want redacted. The the Attorney General, as provided in 8 Effective date: April 1, 2020. redacted personally identifying CFR 1003.1(g) and (h). Decisions of the Comment date: Written comments information will be placed in the Board and the Attorney General are must be submitted on or before May 1, agency’s public docket file but not subject to judicial review. 2020. Comments postmarked on or posted online. before that date will be considered If you want to submit confidential III. Expansion of Number of Board timely. The electronic Federal Docket business information as part of your Members Management System will accept comment but do not want it to be posted comments until midnight Eastern Time online, you must include the phrase EOIR’s mission is to adjudicate on that date. ‘‘CONFIDENTIAL BUSINESS immigration cases by fairly, expeditiously, and uniformly FOR FURTHER INFORMATION CONTACT: INFORMATION’’ in the first paragraph interpreting and administering the Lauren Alder Reid, Assistant Director, of your comment. You also must Nation’s immigration laws. This Executive Office for Immigration prominently identify confidential includes the initial adjudication of Review, 5107 Leesburg Pike, Suite 2616, business information to be redacted Falls Church, Virginia 22041, telephone within the comment. If a comment has aliens’ cases in immigration courts (703) 305–0289. so much confidential business nationwide, as well as appellate review information that it cannot be effectively by the Board when appeals are timely I. Public Participation redacted, all or part of that comment filed. In order to more efficiently Interested persons are invited to may not be posted on accomplish EOIR’s commitment to participate in this rulemaking by www.regulations.gov. The redacted promptly decide a large volume of submitting written data, views, or confidential business information will cases, as well as review a large quantity arguments on all aspects of this rule. not be placed in the public docket file. of appeals of those cases, this rule The Department also invites comments To inspect the agency’s public docket amends the Department’s regulations that relate to the economic, file in person, you must make an relating to the organization of the Board environmental, or federalism effects that appointment with agency counsel. by adding two Board member positions, might result from this rule. Comments Please see the FOR FURTHER INFORMATION thereby expanding the Board from 21 to

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23 members.1 This rule revises the third nationwide by immigration judges will U.S.C. 603(a); see 5 U.S.C. 604(a). Such sentence of 8 CFR 1003.1(a)(1), leaving increase and, in turn, the number of analysis is not required when a rule is the remainder of paragraph (a)(1) appeals filed with the Board will also exempt from notice-and-comment unchanged. increase. rulemaking under 5 U.S.C. 553(b) or Expanding the number of Board The current caseload at the Board is other law. Because this is a rule of members is necessary at this time for burdensome and may become internal agency organization and two primary reasons. First, EOIR is overwhelming in the future for a Board therefore is exempt from notice-and- currently managing the largest caseload of 21 members. At the same time, if the comment rulemaking, no RFA analysis both the immigration court system and Board becomes too large, it may have under 5 U.S.C. 603 or 604 is required. the Board have ever seen. At the end of difficulty fulfilling its responsibility of FY 2019, there were 1,047,803 cases providing coherent direction with C. Unfunded Mandates Reform Act of pending at the immigration courts, respect to the immigration laws. In 1995 marking an increase of 251,725 cases particular, because the Board currently pending above those at the end of FY issues precedent decisions only with the This rule will not result in the 2018. See Pending Cases, available at approval of a majority of permanent expenditure by State, local, and tribal https://www.justice.gov/eoir/file/ Board members, a substantial increase governments, in the aggregate, or by the 1242166/download. Similarly, the in the number of Board members may private sector, of $100 million or more pending caseload at the Board make the process of issuing such in any one year, and it will not essentially doubled between FY 2018 decisions more difficult. significantly or uniquely affect small and FY 2019, from 35,503 to 70,183. See Keeping in mind the goal of governments. Therefore, no actions were All Appeals Filed, Completed, and maintaining cohesion and the ability to deemed necessary under the provisions Pending, available at https:// reach consensus, but recognizing the of the Unfunded Mandates Reform Act www.justice.gov/eoir/page/file/1199201/ challenges the Board faces in light of its of 1995. download. Furthermore, DHS filed current and anticipated increased D. Executive Orders 12866 (Regulatory 504,848 new cases with EOIR in FY caseload, the Department has Planning and Review), 13563 2019, an increase of nearly 200,000 new determined that two positions should be (Improving Regulation and Regulatory cases filed over FY 2018. See New Cases added to the Board at this time. These Review), and 13771 (Reducing and Total Completions-Historical, changes are necessary to maintain an Regulation and Controlling Regulatory available at https://www.justice.gov/ efficient system of appellate eoir/page/file/1238746/download. Each adjudication in light of the increasing Costs) of the three previous fiscal years has set caseload. a new record for new case filings by This rule is limited to agency DHS, see id., leading to an increase in IV. Public Comments organization, management, or personnel matters and is therefore not subject to the backlog of pending cases and an This rule is exempt from the usual review by the Office of Management and increased need for EOIR adjudicators to requirements of prior notice and Budget pursuant to section 3(d)(3) of handle the new influx of cases, comment and a 30-day delay in effective Executive Order 12866, Regulatory including at the Board. The efficient and date because, as an internal delegation timely adjudication of cases is the of authority, it relates to a matter of Planning and Review. Nevertheless, the highest priority for EOIR, and EOIR agency organization, procedure, or Department certifies that this regulation requires additional resources to handle practice. See 5 U.S.C. 553(b). The has been drafted in accordance with the the increased caseload. Moreover, as the Department nonetheless has chosen to principles of Executive Order 12866, caseload in the immigration courts promulgate this rule as an interim rule, section 1(b), and Executive Order 13563. increases, the Department anticipates providing the public with opportunity Executive Orders 12866 and 13563 that the corresponding caseload at the for post-promulgation comment before direct agencies to assess all costs and Board will also expand, as it did the Department issues a final rule on benefits of available regulatory significantly in FY 2019. these matters. alternatives and, if regulation is Second, the Department has made necessary, to select regulatory concerted efforts in recent years to hire V. Regulatory Requirements approaches that maximize net benefits, more immigration judges, resulting in a A. Administrative Procedure Act including consideration of potential net increase of its immigration judge economic, environmental, public health, corps of 153 between the end of FY Prior notice and comment is unnecessary because this is a rule of and safety effects; distributive impacts; 2016 and the end of FY 2019. See and equity. The benefits of this rule Immigration Judge Hiring, available at management or personnel as well as a rule of agency organization, procedure, include providing the Department with https://www.justice.gov/eoir/file/ an appropriate means of responding to 1242156/download. Moreover, the or practice. See 5 U.S.C. 553(a)(2), (b)(A). For the same reasons, this rule is the increased number of appeals to the Department continues to advertise for Board. The public will benefit from the and select a new class of immigration not subject to a 30-day delay in effective date. See 5 U.S.C. 553(a)(2), (d). expansion of the number of Board judges almost every quarter of the fiscal members because such expansion will year. The Department expects that, as B. Regulatory Flexibility Act help EOIR better accomplish its mission these new immigration judges enter on Under the Regulatory Flexibility Act of adjudicating cases in an efficient and duty, the number of decisions rendered (RFA), ‘‘[w]henever an agency is timely manner. Overall, the benefits provided by the Board’s expansion 1 The Department expanded the number of Board required by section 553 of [the members from 15 to 17 on June 3, 2015, when it Administrative Procedure Act], or any outweigh the costs of employing published in the Federal Register an interim rule other law, to publish general notice of additional federal employees. Finally, amending 8 CFR 1003.1. See 80 FR 31461 (June 3, proposed rulemaking for any proposed because this rule is one of internal 2015). On February 27, 2018, the Department organization, management, or published a final rule further expanding the Board rule . . . the agency shall prepare and from 17 to 21 members. See 83 FR 8321 (Feb. 27, make available for public comment an personnel, it is not subject to the 2018). initial regulatory flexibility analysis.’’ 5 requirements of Executive Order 13771.

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E. Executive Order 13132—Federalism § 1003.1 Organization, jurisdiction, and DATES: The revised program powers of the Board of Immigration requirements described in this This rule will not have substantial Appeals. direct effects on the States, on the document apply to all Express Bridge relationship between the National (a)(1) * * * The Board shall consist of Pilot loans approved on or after April 1, Government and the States, or on the 23 members. * * * 2020, and the Express Bridge Pilot will distribution of power and * * * * * remain available through March 13, 2021. responsibilities among the various Dated: March 25, 2020. levels of government. Therefore, in William P. Barr, FOR FURTHER INFORMATION CONTACT: accordance with section 6 of Executive Attorney General. Dianna Seaborn, Director, Office of Order 13132, this rule does not have Financial Assistance, U.S. Small [FR Doc. 2020–06846 Filed 3–31–20; 8:45 am] sufficient federalism implications to Business Administration, 409 Third warrant the preparation of a federalism BILLING CODE 4410–30–P Street SW, Washington, DC 20416; summary impact statement. Telephone (202) 205–3645; email address: [email protected]. F. Executive Order 12988—Civil Justice SMALL BUSINESS ADMINISTRATION Reform SUPPLEMENTARY INFORMATION: On October 16, 2017, SBA published a 13 CFR Part 120 This rule meets the applicable document announcing the Express standards set forth in sections 3(a) and Bridge Pilot. (82 FR 47958) The Express 3(b)(2) of Executive Order 12988. Express Bridge Loan Pilot Program; Modification of Eligibility and Loan Bridge Pilot is designed to supplement G. Paperwork Reduction Act Approval Deadline and Extension of the Agency’s disaster response The provisions of the Paperwork Pilot Program capabilities and authorizes the Agency’s Reduction Act of 1995, Public Law 104– 7(a) Lenders with SBA Express lending AGENCY: U.S. Small Business 13, 44 U.S.C. chapter 35, and its authority to deliver expedited SBA- Administration. implementing regulations, 5 CFR part guaranteed financing on an emergency 1320, do not apply to this final rule ACTION: Notification of change to basis for disaster-related purposes to because there are no new or revised Express Bridge Loan Pilot Program and small businesses located in recordkeeping or reporting extension of pilot program. communities impacted by a requirements. Presidentially-declared disaster, while SUMMARY: On October 16, 2017, the U.S. the businesses apply for and await long- H. Congressional Review Act Small Business Administration (SBA) term financing (including through This is not a major rule as defined by published a document announcing the SBA’s direct disaster loan program, if 5 U.S.C. 804(2). This action pertains to Express Bridge Loan Pilot Program eligible). On May 7, 2018, SBA agency organization, management, and (Express Bridge Pilot). In that document, published a document to revise certain personnel and, accordingly, is not a SBA provided an overview of the Express Bridge Pilot requirements. (83 ‘‘rule’’ as that term is used in 5 U.S.C. Express Bridge Pilot and modified an FR 19921) The Express Bridge Pilot 804(3). Therefore, the reports to Agency regulation relating to loan applies the policies and procedures in Congress and the Government underwriting for loans made under the place for the Agency’s SBA Express Accountability Office specified by 5 Express Bridge Pilot. On May 7, 2018, program, except as outlined in the U.S.C. 801 are not required. SBA published a document to revise Federal Register documents published certain program requirements. SBA on October 16, 2017, and May 7, 2018. List of Subjects in 8 CFR Part 1003 continues to refine and improve the SBA continues to refine and improve Administrative practice and design of the Express Bridge Pilot and the design of the Express Bridge Pilot procedure, Aliens, Immigration, Legal is issuing this document to expand and, therefore, is issuing this document services, Organization and functions program eligibility to include small to expand program eligibility to include (Government agencies). businesses nationwide adversely small businesses nationwide adversely Accordingly, for the reasons stated in impacted under the Coronavirus Disease impacted under the Coronavirus Disease the preamble, part 1003 of title 8 of the (COVID–19) Emergency Declaration (COVID–19) Emergency Declaration Code of Federal Regulations is amended (COVID–19 Emergency Declaration) issued by President Trump on March as follows: issued by President Trump on March 13, 2020. Because the COVID–19 13, 2020. Further, SBA is revising Emergency Declaration covers all states, PART 1003—EXECUTIVE OFFICE FOR program requirements to allow Express territories, and the District of Columbia, IMMIGRATION REVIEW Bridge Pilot loans made under the eligible small businesses under the COVID–19 Emergency Declaration to be Express Bridge Pilot will now include ■ 1. The authority citation for part 1003 approved through March 13, 2021. The small businesses located in any state, continues to read as follows: modification of eligibility criteria and territory and the District of Columbia Authority: 5 U.S.C. 301; 6 U.S.C. 521; 8 program requirements will allow small that have been adversely impacted by U.S.C. 1101, 1103, 1154, 1155, 1158, 1182, businesses adversely impacted by the the COVID–19 emergency. (Previously, 1226, 1229, 1229a, 1229b, 1229c, 1231, COVID–19 emergency to qualify for those small businesses would not be 1254a, 1255, 1324d, 1330, 1361, 1362; 28 U.S.C. 509, 510, 1746; sec. 2 Reorg. Plan No. loans through the Express Bridge Pilot. eligible for Express Bridge Pilot loans 2 of 1950; 3 CFR, 1949–1953 Comp., p. 1002; Finally, SBA is extending the term of because the program has been limited to section 203 of Pub. L. 105–100, 111 Stat. the Express Bridge Pilot from September eligible small businesses located in 2196–200; sections 1506 and 1510 of Pub. L. 30, 2020 to March 13, 2021, to assist Primary Counties that have been 106–386, 114 Stat. 1527–29, 1531–32; section small businesses that may experience Presidentially-declared as major disaster 1505 of Pub. L. 106–554, 114 Stat. 2763A– delayed effects resulting from the areas, plus any Contiguous Counties.) 326 to –328. COVID–19 emergency to benefit from Further, SBA is revising program ■ 2. In § 1003.1, revise the third the Express Bridge Pilot and to allow requirements to allow Express Bridge sentence of paragraph (a)(1) to read as SBA to continue its evaluation of the Pilot loans made under the COVID–19 follows: program. Emergency Declaration to be approved

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through March 13, 2021. This is a DEPARTMENT OF TRANSPORTATION function of the docket website, anyone revision to the current policy that states can find and read the electronic form of Express Bridge Pilot loans can only be Federal Aviation Administration all comments received into any FAA made up to six months after the date of docket, including the name of the the applicable Presidential disaster 14 CFR Part 25 individual sending the comment (or declaration. This revision will allow [Docket No. FAA–2020–0273; Special signing the comment for an association, small businesses that experience Conditions No. 25–767–SC] business, labor union, etc.). DOT’s delayed impacts resulting from the complete Privacy Act Statement can be COVID–19 emergency to benefit from Special Conditions: Delta Flight found in the Federal Register published the pilot program. Products, Boeing Model No. 757–200 on April 11, 2000 (65 FR 19477–19478). Series Airplane; Seats With Non- Docket: Background documents or Finally, SBA is extending the term of Traditional, Large, Non-Metallic Panels comments received may be read at the Express Bridge Pilot. The Express http://www.regulations.gov/ at any time. AGENCY: Bridge Pilot is set to expire September Federal Aviation Follow the online instructions for 30, 2020. With this Notice, SBA is Administration (FAA), DOT. accessing the docket or go to Docket extending the pilot program through ACTION: Final special conditions; request Operations in Room W12–140 of the March 13, 2021. This extension will for comments. West Building Ground Floor at 1200 provide time for small businesses that SUMMARY: These special conditions are New Jersey Avenue SE, Washington, may experience delayed effects resulting issued for the Boeing Model No. 757– DC, between 9 a.m. and 5 p.m., Monday from the COVID–19 emergency to 200 series airplane. This airplane, as through Friday, except Federal holidays. benefit from the Express Bridge Pilot modified by Delta Flight Products, will FOR FURTHER INFORMATION CONTACT: John and to allow SBA to continue its have novel or unusual design features Shelden, Airframe & Cabin Safety evaluation of the program in accordance when compared to the state of Section, AIR–675, Transport Standards with the criteria set forth in the October technology envisioned in the Branch, Policy and Innovation Division, 16, 2017 Federal Register notice. airworthiness standards for transport Aircraft Certification Service, Federal All other SBA terms and conditions category airplanes. This design feature Aviation Administration, 2200 South and regulatory waivers related to the includes seats with large, non- 216th Street, Des Moines, Washington Express Bridge Pilot remain unchanged, traditional, non-metallic panels on 98198; telephone and fax 206–231– 3214; email [email protected]. including that loans made under the Boeing 757–200 series airplanes. The Express Bridge Pilot may be eligible to applicable airworthiness regulations do SUPPLEMENTARY INFORMATION: The be repaid with the proceeds of an SBA not contain adequate or appropriate substance of these special conditions direct disaster loan, including loans safety standards for this design feature. previously has been published in the These special conditions contain the made under the Economic Injury Federal Register for public comment. additional safety standards that the These special conditions have been Disaster Loan (EIDL) Program. All Administrator considers necessary to derived without substantive change references to disasters in the Express establish a level of safety equivalent to from those previously issued. It is Bridge Pilot program requirements will that established by the existing unlikely that prior public comment include the COVID–19 emergency. airworthiness standards. would result in a significant change SBA has provided more detailed DATES: This action is effective on Delta from the substance contained herein. guidance in the form of a program Flight Products on April 1, 2020. Send Therefore, the FAA has determined that guide, which has been updated to comments on or before May 18, 2020. prior public notice and comment are conform to this Notice and is available ADDRESSES: Send comments identified unnecessary, and finds that, for the on SBA’s website, https://www.sba.gov/ by Docket No. FAA–2020–0273 using same reason, good cause exists for document/support--express-bridge-loan- any of the following methods: adopting these special conditions upon pilot-program-guide. SBA will also • Federal eRegulations Portal: Go to publication in the Federal Register. provide additional guidance, if needed, http://www.regulations.gov/ and follow Comments Invited through SBA notices, which also will be the online instructions for sending your published on SBA’s website, http:// comments electronically. The FAA invites interested people to • www.sba.gov. Mail: Send comments to Docket take part in this rulemaking by sending Operations, M–30, U.S. Department of written comments, data, or views. The Authority: 15 U.S.C. 636(a)(25); 13 CFR Transportation (DOT), 1200 New Jersey most helpful comments reference a 120.3. Avenue SE, Room W12–140, West specific portion of the special Dated: March 19, 2020. Building Ground Floor, Washington, DC conditions, explain the reason for any Jovita Carranza, 20590–0001. recommended change, and include • Hand Delivery or Courier: Take supporting data. Administrator. comments to Docket Operations in The FAA will consider all comments [FR Doc. 2020–06356 Filed 3–30–20; 8:45 am] Room W12–140 of the West Building received by the closing date for BILLING CODE P Ground Floor at 1200 New Jersey comments. The FAA may change these Avenue SE, Washington, DC, between 9 special conditions based on the a.m. and 5 p.m., Monday through comments received. Friday, except Federal holidays. Background • Fax: Fax comments to Docket Operations at 202–493–2251. On September 3, 2019, Delta applied Privacy: The FAA will post all for a supplemental type certificate for an comments it receives, without change, interior reconfiguration that includes to http://www.regulations.gov/, seats containing large, non-traditional, including any personal information the non-metallic panels on Boeing 757–200 commenter provides. Using the search series airplanes. The Boeing 757–200

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series airplane is a twin-engine, In addition to the applicable ‘‘Compartment Interiors,’’ as amended transport category airplane with seating airworthiness regulations and special by Amendments 25–61 and 25–66) were provisions for up to 239 passengers. conditions, the Boeing Model 757–200 found to extend survival time by The applicable regulations to series airplane must comply with the approximately two minutes over airplanes currently approved under fuel vent and exhaust emission materials that do not comply. Type Certificate No. A2NM do not requirements of 14 CFR part 34 and the At the time Amendment 25–61 was require seats to meet the more-stringent noise certification requirements of 14 written, the potential application of the flammability standards required of CFR part 36. requirement to seats was explored. The large, non-traditional, non-metallic The FAA issues special conditions, as seat frame itself was not a concern panels in the cabin interior. At the time defined in 14 CFR 11.19, in accordance because it was primarily made of the applicable rules were written, seats with § 11.38, and they become part of aluminum and incorporated only small were designed with a metal frame the type certification basis under amounts of non-metallic materials (for covered by fabric, not with large, non- § 21.101. example, a food-tray table and armrest traditional, non-metallic panels. Seats Novel or Unusual Design Features closeout). The FAA determined that the also met the then-recently adopted overall effect on survivability was The Boeing 757–200 series airplane standards for flammability of seat negligible, whether or not these panels will incorporate the following novel or cushions. With the seat design being met the heat-release and smoke- mostly fabric and metal, their unusual design feature: This model offers interior emission requirements. The contribution to a fire in the cabin had requirements therefore did not address been minimized and was not considered arrangements that include passenger seats that incorporate large, non- seats, and the preambles to both Notice a threat. For these reasons, seats did not of Proposed Rule Making (NPRM) 85–10 need to be tested to heat-release and traditional, non-metallic panels in lieu of the traditional metal frame covered and the final rule (Amendment 25–61) smoke-emission requirements. specifically note that they were Seat designs have now evolved to by fabric. The flammability properties of these panels have been shown to excluded ‘‘. . . because the recently occasionally include large, non- adopted standards for flammability of traditional, non-metallic panels. Taken significantly affect the survivability of seat cushions will greatly inhibit in total, the surface area of these panels cabin occupants in the event of fire. involvement of the seats’’ in their post- is on the same order as the sidewall and These seats are considered a novel crash fire. overhead-stowage-bin interior panels. design for transport-category airplanes To provide the level of passenger that include Amendment 25–61 and In the late 1990s, when it became protection established by the Amendment 25–66 in the certification clear that seat designs were evolving to airworthiness standards, these large, basis, and were not considered when include large non-metallic panels with non-traditional, non-metallic panels in those airworthiness standards were surface area that would impact the cabin must meet the standards of established. survivability during a cabin-fire event Title 14, Code of Federal Regulations The existing regulations do not compared to partitions or galleys, the (CFR) part 25, Appendix F, parts IV and provide adequate or appropriate safety FAA issued Policy Memorandum 97– V, heat-release and smoke-emission standards for seat designs that 112–39. This memo noted that large requirements. incorporate large, non-traditional, non- surface-area panels must comply with metallic panels in their designs. To heat-release and smoke-emission Type Certification Basis provide a level of safety that is requirements, even if they were attached Under the provisions of title 14, Code equivalent to that afforded to the to a seat. If the FAA had not issued such of Federal Regulations (14 CFR) 21.101, balance of the cabin, additional policy, seat designs would have been an Delta Flight Products must show that airworthiness standards, in the form of exception to the airworthiness the Model 757–200 series airplane, as special conditions, are necessary. These standards, which could result in an changed, continues to meet the special conditions supplement 14 CFR unacceptable decrease in survivability applicable provisions of the regulations 25.853. The requirements contained in during a cabin fire event. listed in Type Certificate No. A2NM or these special conditions consist of These special conditions contain the the applicable regulations in effect on applying the identical test conditions, additional safety standards that the the date of application for the change, required of all other large panels in the Administrator considers necessary to except for earlier amendments as agreed cabin, to seats with large, non- establish a level of safety equivalent to upon by the FAA. traditional, non-metallic panels. that established by the existing If the Administrator finds that the airworthiness standards. Discussion applicable airworthiness regulations Definition of ‘‘Large, Non-Traditional, In the early 1980s, the Federal (e.g., 14 CFR part 25) do not contain Non-Metallic Panel’’ adequate or appropriate safety standards Aviation Administration (FAA) for the Boeing Model 757–200 series conducted extensive research on the A large, non-traditional, non-metallic airplane because of a novel or unusual effects of post-crash flammability in the panel, in this case, is defined as a panel design feature, special conditions are passenger cabin. As a result of this with exposed-surface areas greater than prescribed under the provisions of research and service experience, the 1.5 square feet installed per seat place. § 21.16. FAA adopted new standards for interior The panel may consist of either a single Special conditions are initially surfaces associated with larger surface- component or multiple components in a applicable to the model for which they area parts. Specifically, the rules require concentrated area. Examples of non- are issued. Should the applicant apply measurement of heat release and smoke traditional areas include, but are not for a supplemental type certificate to emission (part 25, Appendix F, parts IV limited to, seat backs, bottoms and leg/ modify any other model included on the and V) for the affected parts. Heat foot rests, kick panels, back shells, and same type certificate to incorporate the release has been shown to have a direct associated furniture. Examples of same novel or unusual design feature, correlation to post-crash fire-survival traditional, exempted areas include, but these special conditions would also time. The materials that comply with are not limited to, arm caps, armrest apply to the other model under § 21.101. the standards (e.g., § 25.853, close-outs, and items such as end-bays

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and center consoles, food trays, video traditional, non-metallic panel material Evaluation, Enforcement Division, monitors, and shrouds. per seat place that does not have to Office of the Chief Counsel, Federal comply with No. 1. A triple seat Aviation Administration, 800 Clarification of ‘‘Exposed’’ assembly may have a total of 4.5 square Independence Avenue SW, Washington, ‘‘Exposed’’ is considered to include feet excluded on any portion of the DC 20591; telephone: (202) 267–8198; those panels directly exposed to the assembly (e.g., outboard seat place 1 sq. email: [email protected]. passenger cabin in the traditional sense, ft., middle 1 sq. ft., and inboard 2.5 sq. SUPPLEMENTARY INFORMATION: plus those panels enveloped, such as by ft.). a dress cover. Traditional fabrics or 3. Seats need not meet the test Background leathers currently used on seats are requirements of part 25 Appendix F, FAA regulations set forth the excluded from the special conditions. parts IV and V when installed in requirements for, and duration of, These materials must still comply with compartments that are not otherwise medical certificates issued under 14 § 25.853(a) and (c) if used as a covering required to meet these requirements. CFR part 67. A person may serve as a for a seat cushion, or § 25.853(a) if Examples include: required pilot flight crewmember of a installed elsewhere on the seat. Large, a. Airplanes with passenger capacities civil aircraft only if that person holds non-metallic panels covered with of 19 or fewer. the appropriate unexpired medical traditional fabrics or leathers will be b. Airplanes that do not have smoke certificate issued under 14 CFR part 67 tested without their coverings or emission and heat release in their (or other documentation acceptable to covering attachments. certification basis and do not need to the FAA).1 The duration of a medical certificate issued to a required pilot Applicability comply with the requirements of 14 CFR 121.312. flight crewmember depends on the age As discussed above, these special c. Airplanes exempted from heat- of the applicant at the date of the conditions are applicable to the Boeing release and smoke-emission examination, the type of operation, and Model 757–200 series airplane. Should requirements. class of certificate.2 In addition, a Delta Flight Products apply at a later person may serve as a flight engineer of date for a supplemental type certificate Issued in Des Moines, Washington, on March 12, 2020. a civil aircraft only if that person holds to modify any other model included on an unexpired second-class (or higher) James E. Wilborn, Type Certificate No. A2NM to medical certificate issued under 14 CFR incorporate the same novel or unusual Acting Manager, Transport Standards part 67 (or other documentation Branch, Policy and Innovation Division, design feature, these special conditions 3 Aircraft Certification Service. acceptable to the FAA). To receive a would apply to that model as well. new medical certificate, a person must [FR Doc. 2020–06339 Filed 3–31–20; 8:45 am] Conclusion submit to a medical examination given BILLING CODE 4910–13–P by an aviation medical examiner.4 This action affects only certain novel Regardless of whatever day a medical or unusual design features on one model DEPARTMENT OF TRANSPORTATION certificate is issued, all medical series of airplanes. It is not a rule of certificates expire at the end of the last general applicability and affects only Federal Aviation Administration day of the month of expiration.5 the applicant who applied to the FAA On March 11, 2020, the World Health for approval of these features on the 14 CFR Part 61 Organization (WHO) characterized airplane. COVID–19 as a pandemic, as the rates [Docket No.: FAA–2020–0312] List of Subjects in 14 CFR Part 25 of infection continued to rise in many locations around the world and across Enforcement Policy for Expired Airman Aircraft, Aviation safety, Reporting the United States. On March 13, 2020, Medical Certificates and recordkeeping requirements. the President declared that the COVID– Authority Citation AGENCY: Federal Aviation 19 outbreak in the United States constitutes a national emergency. The authority citation for these Administration (FAA), Department of COVID–19 cases have been reported in special conditions is as follows: Transportation (DOT). ACTION: Notification of enforcement all 50 States as well as the District of Authority: 49 U.S.C. 106(f), 106(g), 40113, policy. Columbia, Puerto Rico, Guam, and the 44701, 44702, 44704. U.S. Virgin Islands. The Special Conditions SUMMARY: Due to extraordinary The President’s March 13, 2020, circumstances related to the Novel declaration observed that the spread of Accordingly, pursuant to the Coronavirus Disease (COVID–19) COVID–19 within our Nation’s authority delegated to me by the pandemic, until June 30, 2020, the communities threatens to strain our Administrator, the following special Federal Aviation Administration (FAA) Nation’s healthcare systems. conditions are issued as part of the type will not take legal enforcement action Widespread transmission of COVID–19 certification basis for Boeing Model against any person serving as a required could translate into large numbers of 757–200 series airplanes, as modified by pilot flight crewmember or flight people needing medical care at the same Delta Flight Products. engineer based on noncompliance with time. The Centers for Disease Control 1. Compliance with 14 CFR part 25, medical certificate duration standards and Prevention (CDC) advises that Appendix F, parts IV and V, heat release when expiration of the required medical healthcare facilities and clinicians and smoke emission, is required for certificate occurs from March 31, 2020, should prioritize urgent and emergency seats that incorporate large, non- through June 30, 2020. visits and procedures now and for the traditional, non-metallic panels that DATES: The policy described herein is may either be a single component or 1 effective from March 31, 2020, through See 14 CFR 61.2(a)(5), 61.3(c)(1). multiple components in a concentrated 2 See 14 CFR 61.23. area in their design. June 30, 2020. 3 See 14 CFR 63.3(b). 2. The applicant may designate up to FOR FURTHER INFORMATION CONTACT: 4 See 14 CFR 67.3, 67.4, 67.405. and including 1.5 square feet of non- James Barry, Manager, Policy/Audit/ 5 See 14 CFR 61.23(d).

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coming several weeks. The CDC’s advice other action is needed to address this safety standard for children’s folding includes rescheduling elective and non- pandemic-related challenge. chairs and stools. The standard urgent admissions, and postponing The relief provided in this incorporated by reference the applicable routine dental and eye care visits. notification does not extend to the ASTM voluntary standard. We are Additionally, the President and the requirements of 14 CFR 61.53 and 63.19 publishing this direct final rule revising White House Coronavirus Task Force regarding prohibition on operations the CPSC’s mandatory standard for have announced a program called ‘‘15 during medical deficiency. These children’s folding chairs and stools to Days to Slow the Spread,’’ a nationwide prohibitions remain critical for all pilots incorporate by reference the most recent effort to slow the spread of COVID–19 and flight engineers to observe, version of the applicable ASTM in the United States through the especially given the policy of emergency standard. implementation of social distancing at accommodation announced here and DATES: This direct final rule is effective all levels of society. the health threat of COVID–19. on July 6, 2020, unless we receive Statement of Policy Accordingly, the FAA emphasizes that significant adverse comment by May 1, under 14 CFR 61.53, no person who 2020. If we receive timely significant It is not in the public interest at this holds a medical certificate issued under adverse comments, we will publish a time to maintain the requirement of an 14 CFR part 67 may act as a required document in the Federal Register, FAA medical examination, which is a pilot flight crewmember while that withdrawing this direct final rule before nonemergency medical service, in order person: (1) Knows or has reason to know its effective date. The incorporation by for pilots and flight engineers with of any medical condition that would reference of the publication listed in expiring medical certificates to obtain make the person unable to meet the this rule is approved by the Director of new medical certificates. This is requirements for the medical certificate the Federal Register as of July 6, 2020. because of the burden that COVID–19 necessary for the pilot operation; or (2) ADDRESSES: You may submit comments, places on the U.S. healthcare system, is taking medication or receiving other and because these aviation medical identified by Docket No. CPSC–2015– treatment for a medical condition that 0029, by any of the following methods: examinations increase the risk of results in the person being unable to transmission of the virus through Electronic Submissions: Submit meet the requirements for the medical electronic comments to the Federal personal contact between the physician certificate necessary for the pilot and the applicant for an airman medical eRulemaking Portal at: https:// operation. Additionally, under 14 CFR www.regulations.gov. Follow the certificate. 63.19, no person may serve as a flight Accordingly, as an exercise of the instructions for submitting comments. engineer during a period of known FAA’s enforcement discretion, through The CPSC does not accept comments physical deficiency, or increase in June 30, 2020, the FAA will not take submitted by electronic mail (email), legal enforcement action against any physical deficiency, that would make except through https:// person serving as a required pilot flight the flight engineer unable to meet the www.regulations.gov. The CPSC crewmember or flight engineer based on physical requirements for an unexpired encourages you to submit electronic noncompliance with medical certificate medical certificate. comments by using the Federal duration standards when expiration of All required pilot flight crewmembers eRulemaking Portal, as described above. the medical certificate occurs from and flight engineers are to comply with Mail/hand delivery/courier March 31, 2020, through June 30, 2020. all other applicable obligations under Submissions: Submit comments by This discretionary accommodation does the FAA’s regulations and other mail/hand delivery/courier to: Division not apply to pilots or flight engineers applicable laws. This notification of the Secretariat, Consumer Product who lacked an unexpired medical creates no individual rights of action Safety Commission, Room 820, 4330 certificate as of March 31, 2020. Also, and establishes no precedent for future East-West Highway, Bethesda, MD regardless of the date of expiration of a determinations. 20814; telephone (301) 504–7479. medical certificate, this accommodation Issued in Washington, DC, on March 26, Instructions: All submissions received does not commit to non-enforcement for 2020. must include the agency name and noncompliance with medical certificate Naomi Tsuda, docket number for this notice. All comments received may be posted duration standards that occurs after June Assistant Chief Counsel for Enforcement, 30, 2020. This policy applies only to Federal Aviation Administration. without change, including any personal identifiers, contact information, or other holders of an FAA-issued medical [FR Doc. 2020–06784 Filed 3–30–20; 8:45 am] personal information provided, to: certificate serving as a required pilot BILLING CODE 4410–09–P flight crewmember or flight engineer https://www.regulations.gov. Do not within the United States. It does not submit electronically confidential apply to holders of an FAA-issued business information, trade secret CONSUMER PRODUCT SAFETY information, or other sensitive or medical certificate serving as a required COMMISSION pilot flight crewmember or flight protected information that you do not engineer outside the United States. [Docket No. CPSC–2015–0029] want to be available to the public. If you The FAA has determined that those wish to submit such information please persons subject to this temporary 16 CFR Part 1232 submit it according to the instructions measure may operate beyond the for written submissions. Revisions to Safety Standard for Docket: For access to the docket to validity period of their medical Children’s Folding Chairs and Stools certificate during the effective period of read background documents or this accommodation without creating a AGENCY: Consumer Product Safety comments received, go to: https:// risk to aviation safety that is Commission. www.regulations.gov, and insert the docket number, CPSC–2015–0029, into unacceptable under the extraordinary ACTION: Direct final rule. circumstances surrounding the COVID– the ‘‘Search’’ box, and follow the 19 pandemic. The FAA will reevaluate SUMMARY: In December 2017, the U.S. prompts. this decision as circumstances unfold, Consumer Product Safety Commission FOR FURTHER INFORMATION CONTACT: to determine whether an extension or (CPSC) issued a consumer product Keysha Walker, Compliance Officer,

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Office of Compliance and Field ASTM F2613, Standard Consumer Substantive Change Operations, Consumer Product Safety Safety Specification for Children’s There is one substantive change in Commission, 4330 East-West Highway, Chairs and Stools, applies to children’s ASTM F2613–19 concerning the Bethesda, MD 20814–4408; telephone: folding chairs and stools with a seat requirement that products without 301–504–6820; email: kwalker@ height of 15 inches or less, and latching or locking mechanisms have cpsc.gov. equipped with or without a rocking adequate clearance to protect fingers, SUPPLEMENTARY INFORMATION: base. These chairs are intended to be hands and toes from crushing, used by a single child who can get in A. Background laceration or pinching hazards. and out of the product unassisted. The The original ASTM F2613–17a 1. Statutory Authority standard was codified in the sections 5.8.2 and 5.8.2.1 provided that Commission’s regulations at 16 CFR part Section 104(b)(1)(B) of the Consumer if products without latching or locking 1232. Since publication of ASTM mechanisms had an accessible gap at Product Safety Improvement Act F2613–17a, the current mandatory the hinge line that could ‘‘admit a 3⁄16- (CPSIA), also known as the Danny standard, ASTM has published one in. (5-mm) diameter rod, it shall also Keysar Child Product Safety revision to ASTM F2613. ASTM F2613– admit a 1⁄2-in. (13-mm) diameter rod at Notification Act, requires the 19 was approved and published in all positions of the hinge.’’ In other Commission to promulgate consumer November 2019. ASTM officially words, products without locking or product safety standards for durable notified the Commission of this revision latching mechanisms could have gaps at infant or toddler products. The law on January 6, 2020. The rule is the hinge line smaller than 3⁄16 inch or requires these standards to be incorporating ASTM F2613–19 as the larger than 1⁄2 inch, but could not have ‘‘substantially the same as’’ applicable mandatory standard. voluntary standards or more stringent gaps between 3⁄16 and 1⁄2 inch wide. than the voluntary standards if the B. Revisions to the ASTM Standard ASTM F2613–19 now simplifies this Commission concludes that more Under section 104(b)(4)(B) of the requirement by requiring that all stringent requirements would further CPSIA, unless the Commission products without latching and locking reduce the risk of injury associated with determines that ASTM’s revision of a mechanisms must have a hinge gap the product. voluntary standard that is a CPSC greater than or equal to 1⁄2-inch. A The CPSIA also sets forth a process mandatory standard ‘‘does not improve minimum 1⁄2 inch gap will require that for updating CPSC’s durable infant or the safety of the consumer product all hinge clearances must be large toddler standards when the voluntary covered by the standard,’’ the revised enough to prevent injury should a child standard upon which the CPSC standard voluntary standard becomes the new insert their finger in the hinge gap. was based is changed. Section mandatory standard. As discussed Thus, section 5.8.2 now requires that 104(b)(4)(B) of the CPSIA provides that below, the Commission determines that products without latching and locking if an organization revises a standard that the changes made in ASTM F2613–19 mechanisms ‘‘shall be constructed such has been adopted, in whole or in part, are neutral or improve the safety of that a 1⁄2-in (13-mm) diameter rod can be as a consumer product safety standard children’s folding chairs and stools. admitted at all positions between any under this subsection, it shall notify the Therefore, the Commission will allow adjacent moving parts and between any Commission. In addition, the revised the revised voluntary standard to moving part and an adjacent stationary voluntary standard shall be considered become effective as a mandatory part along the entire length of the to be a consumer product safety consumer product safety standard under clearance. The entire length of the standard issued by the Commission the statute, effective July 6, 2020. clearance shall be assessed during under section 9 of the Consumer folding and unfolding of the product.’’ Product Safety Act (15 U.S.C. 2058), Differences Between 16 CFR Part 1232 In section 6.2, Locking Test Method, effective 180 days after the date on and ASTM F2613–19 testing for the latching or locking which the organization notifies the In November 2019, ASTM revised mechanism would apply a force of 10 Commission (or such later date ASTM F2613–17a. The resulting lbf (45 N) to the latching or locking specified by the Commission in the standard, ASTM F2613–19, includes the mechanism in the direction tending to Federal Register) unless, within 90 days changes below: release it. CPSC staff concludes that after receiving that notice, the ASTM F2613–19 section 5.8.2 is a Non-Substantive Changes Commission notifies the organization simpler requirement that enhances that it has determined that the proposed Several changes were minor and safety compared to the original ASTM revision does not improve the safety of editorial and do not affect the safety of F2613–17a. Instead of the original the consumer product covered by the children’s folding chairs and stools. ASTM F2613–17a standard which standard and that the Commission is Specifically, sections 5.7 and 5.8 allowed for hinge gaps less than or retaining the existing consumer product removed duplicative language such as equal to 3⁄16-inch and greater than or safety standard. ‘‘when folded’’ and ‘‘when being equal to 1⁄2-inch, the new standard folded,’’ and clarified words to add simply prohibits hinge gaps less than a 2. The Children’s Folding Chair and ‘‘comply with’’ instead of ‘‘meet.’’ The 1⁄2-inch. The Commission considers Stool Standard Latching and Locking Mechanisms these changes an improvement to safety. On December 15, 2017, the sections under section 5.8.1 were Commission published a final rule restructured to improve clarity and C. Incorporation by Reference issuing a mandatory standard for organization. All of these changes are The Office of the Federal Register children’s folding chairs and stools that explanatory or editorial in nature and (OFR) has regulations concerning incorporated by reference the standard non-substantive. The Commission finds incorporation by reference. 1 CFR part in effect at that time, ASTM F2613–17a, that all of the non-substantive changes 51. Under these regulations, agencies Standard Consumer Specification for made in ASTM F2613–19 are neutral must discuss, in the preamble to the Children’s Chairs and Stools. 82 FR regarding safety and do not affect the final rule, ways that the materials the 59505. The ASTM standard for safety of children’s folding chairs and agency incorporates by reference are children’s folding chairs and stools, stools. reasonably available to interested

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persons and how interested parties can Commission has previously published a standard, unless the Commission obtain the materials. In addition, the notice of requirements (NOR) for determines that ASTM’s revision does preamble to the final rule must accreditation of third party conformity not improve the safety of the product. summarize the material. 1 CFR 51.5(b). assessment bodies for testing children’s Thus, unless the Commission makes In accordance with the OFR’s folding chairs and stools (82 FR 59505, such a determination, the ASTM requirements, section A of this preamble December 15, 2017). The NOR provided revision becomes CPSC’s standard by summarizes the major provisions of the the criteria and process for our operation of law. The Commission is ASTM F2613–19 standard that the acceptance of accreditation of third allowing ASTM F2613–19 to become Commission incorporates by reference party conformity assessment bodies for CPSC’s new standard. The purpose of into 16 CFR part 1232. The standard is testing children’s folding chairs and this direct final rule is merely to update reasonably available to interested stools to 16 CFR part 1232. The NORs the reference in the Code of Federal parties, and interested parties may for all mandatory standards for durable Regulations (CFR) so that it reflects purchase a copy of the standard from infant or toddler products are listed in accurately the version of the standard ASTM International, 100 Barr Harbor the Commission’s rule, ‘‘Requirements that takes effect by statute. The rule Drive, P.O. Box C700, West Pertaining to Third Party Conformity updates the reference in the CFR, but Conshohocken, PA 19428–2959 USA; Assessment Bodies,’’ codified at 16 CFR under the terms of the CPSIA, ASTM phone: 610–832–9585; www.astm.org. In part 1112. F2613–19 takes effect as the new CPSC addition, once the rule becomes The section 5.8.2 revision in ASTM standard for children’s folding chairs effective, a read-only copy of the F2613–19 simplifies the minimum and stools, even if the Commission did standard will be available for viewing hinge gap size to 1⁄2-in. for all positions not issue this rule. Thus, public on the ASTM website at https:// in a product without latching and comment will not impact the www.astm.org/READINGLIBRARY/. A locking mechanisms. This reduces the substantive changes to the standard or copy of the standard can also be number of probes required to test the effect of the revised standard as a inspected at CPSC’s Division of the compliance to the standard. Testing consumer product safety standard under Secretariat, U.S. Consumer Product laboratories that are currently CPSC- section 104(b) of the CPSIA. Under Safety Commission, Room 820, 4330 accepted, have demonstrated these circumstances, notice and East-West Highway, Bethesda, MD competence for testing in accordance comment are not necessary. In 20814, telephone 301–504–7923. with ASTM F2613–17a, and will have Recommendation 95–4, the the competence to conduct the testing to D. Certification Administrative Conference of the the new standard under the revised United States (ACUS) endorsed direct Section 14(a) of the CPSA requires standard ASTM F2613–19. Therefore, final rulemaking as an appropriate that products subject to a consumer the Commission considers the existing procedure to expedite promulgating product safety rule under the CPSA, or CPSC-accepted laboratories for testing to rules that are noncontroversial and that to a similar rule, ban, standard, or ASTM F2613–17a to be capable of are not expected to generate significant regulation under any other act enforced testing to ASTM F2613–19 as well. adverse comment. See 60 FR 43108 by the Commission, be certified as Accordingly, the existing NOR for this (August 18, 1995). ACUS recommended complying with all applicable CPSC standard will remain in place, and that agencies use the direct final rule requirements. 15 U.S.C. 2063(a). Such CPSC-accepted third party conformity process when they act under the certification must be based on a test of assessment bodies are expected in the ‘‘unnecessary’’ prong of the good cause each product, or on a reasonable testing normal course of renewing their exemption in 5 U.S.C. 553(b)(B). program, or, for children’s products, on accreditation to update the scope of the Consistent with the ACUS tests on a sufficient number of samples testing laboratories’ accreditation to recommendation, the Commission is by a third party conformity assessment reflect the revised standard. publishing this rule as a direct final rule body accredited by the Commission to F. Direct Final Rule Process because we do not expect any test according to the applicable significant adverse comments. requirements. As noted, standards The Commission is issuing this rule issued under section 104(b)(1)(B) of the as a direct final rule. Although the Unless we receive a significant CPSIA are ‘‘consumer product safety Administrative Procedure Act (APA) adverse comment within 30 days, the standards.’’ Thus, they are subject to the generally requires notice and comment rule will become effective on July 6, testing and certification requirements of rulemaking, section 553 of the APA 2020. In accordance with ACUS’s section 14 of the CPSA. provides an exception when the agency, recommendation, the Commission Because children’s folding chairs and for good cause, finds that notice and considers a significant adverse comment stools are children’s products, samples public procedure are ‘‘impracticable, to be one where the commenter explains of these products must be tested by a unnecessary, or contrary to the public why the rule would be inappropriate, third party conformity assessment body interest.’’ 5 U.S.C. 553(b)(B). The including an assertion challenging the whose accreditation has been accepted Commission concludes that when the rule’s underlying premise or approach, by the Commission. These products also Commission updates a reference to an or a claim that the rule would be must comply with all other applicable ASTM standard that the Commission ineffective or unacceptable without CPSC requirements, such as the lead has incorporated by reference under change. As noted, this rule merely content requirements in section 101 of section 104(b) of the CPSIA, notice and updates a reference in the CFR to reflect the CPSIA, the tracking label comment are not necessary. a change that occurs by statute. requirement in section 14(a)(5) of the Under the process set out in section Should the Commission receive a CPSA, and the consumer registration 104(b)(4)(B) of the CPSIA, when ASTM significant adverse comment, the form requirements in section 104(d) of revises a standard that the Commission Commission would withdraw this direct the CPSIA. has previously incorporated by final rule. Depending on the comments reference as a Commission standard for and other circumstances, the E. Notice of Requirements a durable infant or toddler product Commission may then incorporate the In accordance with section under section 104(b)(1)(b) of the CPSIA, adverse comment into a subsequent 14(a)(3)(B)(iv) of the CPSIA, the that revision will become the new CPSC direct final rule or publish a notice of

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proposed rulemaking, providing an will preempt in accordance with section § 1232.2 Requirements for children’s opportunity for public comment. 26(a) of the CPSA. folding chairs and stools. Each children’s folding chair and G. Regulatory Flexibility Act K. Effective Date stool shall comply with all applicable The Regulatory Flexibility Act (RFA) Under the procedure set forth in provisions of ASTM F2613–19, generally requires that agencies review section 104(b)(4)(B) of the CPSIA, when Standard Consumer Safety proposed and final rules for their a voluntary standard organization Specification for Children’s Chairs and potential economic impact on small revises a standard upon which a Stools, approved on November 1, 2019. entities, including small businesses, and consumer product safety standard was The Director of the Federal Register prepare regulatory flexibility analyses. 5 based, the revision becomes the CPSC approves this incorporation by reference U.S.C. 603 and 604. The RFA applies to standard within 180 days of notification in accordance with 5 U.S.C. 552(a) and any rule that is subject to notice and to the Commission, unless the 1 CFR part 51. You may obtain a copy comment procedures under section 553 Commission determines that the of this ASTM standard from ASTM of the APA. Id. As explained, the revision does not improve the safety of International, 100 Barr Harbor Drive, Commission has determined that notice the product, or the Commission sets a P.O. Box C700, West Conshohocken, PA and comment are not necessary for this later date in the Federal Register. The 19428–2959 USA; phone: 610–832– direct final rule. Thus, the RFA does not statutory effective date of 180 days falls 9585; www.astm.org. A read-only copy apply. We also note the limited nature on July 4, 2020, a legal holiday and a of the standard is available for viewing of this document, which merely updates weekend. Therefore, the Commission is on the ASTM website at https:// the incorporation by reference to reflect setting the effective date of the rule on www.astm.org/READINGLIBRARY/. You the mandatory CPSC standard that takes the next business day, July, 6, 2020. As may inspect a copy at the Division of effect under section 104 of the CPSIA. discussed in the preceding section, this the Secretariat, U.S. Consumer Product is a direct final rule. Unless we receive Safety Commission, Room 820, 4330 H. Paperwork Reduction Act a significant adverse comment within 30 East-West Highway, Bethesda, MD The standard for children’s folding days, the rule will become effective on 20814, telephone 301–504–7923, or at chairs and stools contains information- July 6, 2020. the National Archives and Records collection requirements under the Administration (NARA). For L. The Congressional Review Act Paperwork Reduction Act of 1995 (44 information on the availability of this U.S.C. 3501–3520). The revisions made The Congressional Review Act (CRA; material at NARA, email fedreg.legal@ no changes to that section of the 5 U.S.C. 801–808) states that, before a nara.gov, or go to: www.archives.gov/ standard. Thus, the revisions will have rule may take effect, the agency issuing federal-register/cfr/ibr-locations.html. no effect on the information-collection the rule must submit the rule, and Alberta E. Mills, requirements related to the standard. certain related information, to each Secretary, U.S. Consumer Product Safety I. Environmental Considerations House of Congress and the Comptroller Commission. General. 5 U.S.C. 801(a)(1). The [FR Doc. 2020–06334 Filed 3–31–20; 8:45 am] The Commission’s regulations submission must indicate whether the BILLING CODE 6355–01–P provide a categorical exclusion for the rule is a ‘‘major rule.’’ The CRA states Commission’s rules from any that the Office of Information and requirement to prepare an Regulatory Affairs (OIRA) determines DEPARTMENT OF HEALTH AND environmental assessment or an whether a rule qualifies as a ‘‘major HUMAN SERVICES environmental impact statement where rule.’’ Pursuant to the CRA, this rule they ‘‘have little or no potential for does not qualify as a ‘‘major rule,’’ as Food and Drug Administration affecting the human environment.’’ 16 defined in 5 U.S.C. 804(2). To comply CFR 1021.5(c)(2). This rule falls within with the CRA, the Office of the General 21 CFR Parts 500, 510, 520, 522, 524, the categorical exclusion, so no Counsel will submit the required 526, 556, and 558 environmental assessment or information to each House of Congress environmental impact statement is and the Comptroller General. [Docket No. FDA–2019–N–0002] required. List of Subjects in 16 CFR Part 1232 New Animal Drugs; Approval of New J. Preemption Animal Drug Applications; Withdrawal Consumer protection, Imports, of Approval of New Animal Drug Section 26(a) of the CPSA, 15 U.S.C. Incorporation by reference, Infants and Applications; Change of Sponsor; 2075(a), provides that where a consumer children, Law enforcement, Safety, Change of Sponsors’ Name and product safety standard is in effect and Toys. applies to a product, no state or political Addresses For the reasons stated above, the subdivision of a state may either Commission amends Title 16 CFR AGENCY: Food and Drug Administration, establish or continue in effect a chapter II as follows: HHS. requirement dealing with the same risk ACTION: Final rule; technical of injury unless the state requirement is PART 1232—SAFETY STANDARD FOR amendments. identical to the federal standard. Section CHILDREN’S FOLDING CHAIRS AND 26(c) of the CPSA also provides that STOOLS SUMMARY: The Food and Drug states or political subdivisions of states Administration (FDA or we) is may apply to the CPSC for an exemption ■ 1. Revise the authority citation for part amending the animal drug regulations to from this preemption under certain 1232 to read as follows: reflect application-related actions for circumstances. Section 104(b) of the new animal drug applications (NADAs) CPSIA deems rules issued there under Authority: Sec. 104, Pub. L. 110–314, 122 and abbreviated new animal drug Stat. 3016 (15 U.S.C. 2056a); Sec 3, Pub. L. ‘‘consumer product safety rules.’’ 112–28, 125 Stat. 273. applications (ANADAs) during October, Therefore, once a rule issued under November, and December 2019. FDA is section 104 of the CPSIA takes effect, it ■ 2. Revise § 1232.2 to read as follows: informing the public of the availability

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of summaries of the basis of approval I. Approval Actions Management Staff (HFA–305), Food and and of environmental review FDA is amending the animal drug Drug Administration, 5630 Fishers documents, where applicable. The regulations to reflect approval actions Lane, Rm. 1061, Rockville, MD 20852, animal drug regulations are also being for NADAs and ANADAs during between 9 a.m. and 4 p.m., Monday amended to make technical October, November, and December through Friday. Persons with access to amendments to improve the accuracy of 2019, as listed in table 1. In addition, the internet may obtain these the regulations. FDA is informing the public of the documents at the CVM FOIA Electronic DATES: This rule is effective March 30, availability, where applicable, of Reading Room: https://www.fda.gov/ 2020. documentation of environmental review about-fda/center-veterinary-medicine/ required under the National cvm-foia-electronic-reading-room. FOR FURTHER INFORMATION CONTACT: Environmental Policy Act (NEPA) and, Marketing exclusivity and patent George K. Haibel, Center for Veterinary for actions requiring review of safety or information may be accessed in FDA’s Medicine (HFV–6), Food and Drug effectiveness data, summaries of the publication, Approved Animal Drug Administration, 7500 Standish Pl., basis of approval (FOI Summaries) Products Online (Green Book) at: Rockville, MD 20855, 240–402–5689, under the Freedom of Information Act https://www.fda.gov/animal-veterinary/ [email protected]. (FOIA). These public documents may be products/approved-animal-drug- SUPPLEMENTARY INFORMATION: seen in the office of the Dockets products-green-book. TABLE 1—ORIGINAL AND SUPPLEMENTAL NADAS AND ANADAS APPROVED DURING OCTOBER, NOVEMBER, AND DECEMBER 2019

Public Approval date File No. Sponsor Product name Species Effect of the action documents

October 11, 200–652 Huvepharma EOOD, 5th Monensin and Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. Floor, 3A Nikolay decoquinate Type B (monensin Type A medicated article) with Haytov Str., 1113 So- and Type C medicated DECCOX (decoquinate) Type A medicated phia, Bulgaria. feeds. articles in the manufacture of Type B and Type C medicated feeds as a generic copy of NADA 141–148 October 11, 200–653 Do ...... Monensin, tylosin phos- Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. phate, and (monensin Type A medicated article) with decoquinate Type B TYLOVET (tylosin phosphate) and DECCOX and Type C medicated (decoquinate) Type A medicated articles in feeds. the manufacture of Type B and Type C medicated feeds as a generic copy of NADA 141–149 October 11, 200–654 Do ...... Monensin and tilmicosin Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. phosphate Type B and (monensin Type A medicated article) with Type C medicated TILMOVET (tilmicosin phosphate) Type A feeds. medicated article in the manufacture of Type B and Type C medicated feeds as a generic copy of NADA 141–343 October 11, 200–655 Do ...... Monensin and tilmicosin Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. phosphate Type B and (monensin Type A medicated article) with Type C medicated PULMOTIL (tilmicosin phosphate) Type A feeds. medicated article in the manufacture of Type B and Type C medicated feeds as a generic copy of NADA 141–343 October 11, 200–656 Do ...... Monensin, tylosin phos- Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. phate, and (monensin Type A medicated article) with decoquinate Type B TYLAN (tylosin phosphate) and DECCOX and Type C medicated (decoquinate) Type A medicated articles in feeds. the manufacture of Type B and Type C medicated feeds as a generic copy of NADA 141–149 October 11, 200–658 Do ...... Monensin and Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. melengestrol acetate (monensin Type A medicated article) with Type C medicated MGA (melengestrol acetate Type A medi- feeds. cated article) in the manufacture of Type C medicated feeds as a generic copy of NADA 125–476 October 11, 200–659 Do ...... Monensin, ractopamine Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. hydrochloride, and (monensin Type A medicated article) with melengestrol acetate ACTOGAIN (ractopamine hydrochloride Type Type C medicated A medicated article) and MGA (melengestrol feeds. acetate Type A medicated articles) in the manufacture of Type C medicated feeds as a generic copy of NADA 141–234 October 11, 200–660 Do ...... Monensin, tylosin phos- Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. phate, and (monensin Type A medicated article) with melengestrol acetate TYLOVET (tylosin phosphate) Type A medi- Type C medicated cated article, and MGA (melengestrol ace- feeds. tate Type A medicated article) in the manu- facture of Type C medicated feeds as a ge- neric copy of NADA 138–870

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TABLE 1—ORIGINAL AND SUPPLEMENTAL NADAS AND ANADAS APPROVED DURING OCTOBER, NOVEMBER, AND DECEMBER 2019—Continued

Public Approval date File No. Sponsor Product name Species Effect of the action documents

October 11, 200–661 Do ...... Monensin, tylosin phos- Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. phate, and (monensin Type A medicated article) with melengestrol acetate TYLAN (tylosin phosphate) Type A medi- Type C medicated cated article, and MGA (melengestrol ace- feeds. tate Type A medicated article) in the manu- facture of Type C medicated feeds as a ge- neric copy of NADA 138–870 October 11, 200–662 Do ...... Monensin and Cattle ...... Original approval for use of MONOVET 90 FOI Summary. 2019. ractopamine hydro- (monensin Type A medicated article) with chloride Type B and ACTOGAIN (ractopamine hydrochloride Type Type C medicated A medicated article) in the manufacture of feeds. Type B and Type C medicated feeds as a generic copy of NADA 141–225 October 29, 200–635 Mizner Bioscience LLC, Clomipramine Hydro- Dogs ...... Original approval as a generic copy of NADA FOI Summary. 2019. 225 NE Mizner Blvd., chloride Tablets. 141–120 Suite 760, Boca Raton, FL 33432. November 14, 141–518 Intervet, Inc., 2 Giralda BRAVECTO PLUS Cats ...... Original approval for the prevention of heart- FOI Summary. 2019. Farms, Madison, NJ (fluralaner and worm disease and for the treatment of infec- 07940. moxidectin topical so- tions with intestinal roundworm and lution) Solution. hookworm; kills adult fleas and is indicated for the treatment and prevention of flea in- festations, and the treatment and control of tick infestations for 2 months in cats and kit- tens November 20, 200–663 Norbrook Laboratories SELARID (selamectin) Dogs and Original approval as a generic copy of NADA FOI Summary. 2019. Ltd., Station Works, Topical Solution. cats. 141–152 County Down, Newry, BT35 6JP, UK. November 25, 141–513 Kindred Biosciences, ZIMETA (dipyrone injec- Horses ...... Original approval for control of pyrexia in FOI Summary. 2019. Inc., 1555 Bayshore tion). horses Hwy., Suite 200, Bur- lingame, CA 94010. December 9, 141–528 Elanco US Inc., 2500 In- CREDELIO CAT Cats ...... Original approval for killing adult fleas, and for FOI Summary. 2019. novation Way, Green- (lotilaner) Chewable the treatment and prevention of flea infesta- field, IN 46140. Tablets. tions for 1 month in cats and kittens December 9, 200–546 Bimeda Animal Health BIMAGARD 12.5% Swine ...... Original approval as a generic copy of NADA FOI Summary. 2019. Ltd., 1B The Herbert (tiamulin hydrogen fu- 140–916 Building, The Park, marate) Liquid Con- Carrickmines, Dublin, centrate for Swine. 18, EI. December 19, 200–615 Vetoquinol USA, Inc., IMOXI (imidacloprid and Dogs ...... Original approval as a generic copy of NADA FOI Summary. 2019. 4250 N. Sylvania Ave., moxidectin) Topical 141–251 Fort Worth, TX 76137. Solution for Dogs. December 30, 111–636 Zoetis Inc., 333 Portage LINCOMIX (lincomycin Honeybees Supplemental approval of a tolerance for resi- FOI Summary. 2019. St., Kalamazoo, MI hydrochloride) Soluble dues of lincomycin in honey 49007. Powder. December 30, 008–862 Do ...... TERRAMYCIN (oxytetra- Honeybees Supplemental approval of a tolerance for resi- FOI Summary. 2019. cycline hydrochloride) dues of oxytetracycline in honey Soluble Powder. December 30, 013–076 Elanco US Inc. 2500 In- TYLAN (tylosin tartrate) Honeybees Supplemental approval of a tolerance for resi- FOI Summary. 2019. novation Way, Green- Soluble. dues of tylosin in honey field, IN 46140.

II. Withdrawals of Approval Ireland, has requested that FDA products are no longer manufactured or Norbrook Laboratories, Ltd., Station withdraw approval of the NADAs listed marketed: Works, Newry BT35 6JP, Northern in the following table because the

21 CFR File No. Product name section

055–036 PRINCILLIN (ampicillin trihydrate) Capsules ...... 520.90c. 055–050 PRINCILLIN (ampicillin trihydrate) Soluble Powder ...... 520.90e. 055–056 PRINCILLIN (ampicillin trihydrate) Bolus ...... 520.90f. 055–061 PRINCILLIN ‘‘125’’ For Oral Suspension ...... 520.90d. 055–068 BOVICLOX (cloxacillin benzathine) ...... 526.464b. 065–013 Dihydrostreptomycin (dihydrostreptomycin sulfate) ...... 522.650. 065–493 JETPEN (penicillin G benzathine and penicillin G procaine) Aqueous Suspension ...... 522.1696a. 065–500 TANDEM PEN (penicillin G procaine) ...... 522.1696b.

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Elsewhere in this issue of the Federal incorporation by reference of the Cosmetic Act (FD&C Act) (21 Register, FDA gave notice that approval residue assay method for n-methyl-2- U.S.C.360b(i)), which requires Federal of NADAs 055–036, 055–050, 055–056, pyrrolidone, is being updated. Register publication of ‘‘notice[s] . . . 055–061, 055–068, 065–013, 065–493, • We are removing entries for effective as a regulation,’’ of the and 065–500, and all supplements and ‘‘Strategic Veterinary Pharmaceuticals, conditions of use of approved new amendments thereto, is withdrawn, Inc.’’ from the lists of sponsors of animal drugs. This rule sets forth effective March 30, 2020. As provided approved applications in § 510.600(c) technical amendments to the regulations in the regulatory text of this document, and the drug labeler code for KC to codify recent actions on approved the animal drug regulations are Pharmacal from 21 CFR 520.260. new animal drug applications and amended to reflect these actions. • The indications for use of corrections to improve the accuracy of oxytetracycline soluble powder in the regulations, and as such does not III. Changes of Sponsor honey bees at 21 CFR 520.1660d are impose any burden on regulated Cooperative Research Farms, Box 69, amended to reflect current labeling. entities. Charlotteville, NY 12036, has informed • The single section for euthanasia Although denominated a rule FDA that it has transferred ownership injectable solutions at 21 CFR 522.900 is pursuant to the FD&C Act, this of, and all rights and interest in, being removed and separate sections for document does not meet the definition approved NADA 119–253 for Cattle the active pharmaceutical ingredients of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because Block M (monensin) a free-choice Type are added at 21 CFR 522.1697 and it is a ‘‘rule of particular applicability.’’ C medicated cattle feed to Wildcat 522.2092. Therefore, it is not subject to the Feeds, 215 NE Strait Ave., Topeka, KS • The section heading in 21 CFR congressional review requirements in 5 66616. Following this change of 524.1742 for ‘‘N-(Mercaptomethyl) U.S.C. 801–808. Likewise, this is not a sponsorship, Cooperative Research phthalimide S-(O,O-dimethyl rule subject to Executive Order 12866, Farms is no longer the sponsor of an phosphorodithioate) emulsifiable which defines a rule as ‘‘an agency approved application. liquid’’ is amended to read ‘‘Phosmet statement of general applicability and Dechra, Ltd., Snaygill Industrial emulsifiable liquid’’. future effect, which the agency intends • Estate, Keighley Rd., Skipton, North The entries in 21 CFR parts 556 and to have the force and effect of law, that Yorkshire, BD23 2RW, United Kingdom, 558 for coumaphos for which approval is designed to implement, interpret, or has informed FDA that it has transferred of the last approved application was prescribe law or policy or to describe ownership of, and all rights and interest withdrawn in 2018 (83 FR 48940, the procedure or practice requirements in, approved ANADA 200–273 for September 28, 2018) are being removed. of an agency.’’ VETRO–GEN Veterinary Ophthalmic • The entries in part 556 (21 CFR part Ointment to Putney, Inc., One 556) are being removed for tolerances of List of Subjects Monument Sq., suite 400, Portland, ME residues of erythromycin in swine 21 CFR Part 500 04101. tissues, of virginiamycin in turkey Huvepharma EOOD, 5th Floor, 3A tissues, and of new animal drugs for Animal drugs, Animal feeds, Cancer, Nikolay Haytov Str., 1113 Sofia, which approval of their applications has Incorporation by reference, Labeling, Bulgaria, has informed FDA that it has been withdrawn. Packaging and containers, transferred ownership of, and all rights • Cross-references to related Polychlorinated biphenyls (PCBs). and interest in, approved NADA 141– approved uses of new animal drugs in 21 CFR Parts 520, 522, 524, and 526 472 for virginiamycin and diclazuril part 556 and to related tolerances for Type C medicated feed to Elanco US drugs approved for use in food- Animal drugs. Inc., 2500 Innovation Way, Greenfield, producing animals in 21 CFR parts 520, 21 CFR Part 556 IN 46140. 522, 524, and 558 are being corrected. Animal drugs, Food. Accordingly, we are amending the • A redundant cross-reference for regulations to reflect these changes. related tolerances in 21 CFR 558.355 for 21 CFR Part 558 use of monensin in medicated feeds is Animal drugs, Animal feeds. IV. Change of Sponsors’ Name and being removed and reserved. Addresses • The acceptable daily intake of total Therefore, under the Federal Food, Putney, Inc., One Monument Sq., residues of ivermectin and tolerances Drug, and Cosmetic Act and under suite 400, Portland, ME 04101, has for residues of ivermectin in cattle liver authority delegated to the Commissioner informed FDA that it has changed its and muscle in § 556.344 are being of Food and Drugs, 21 CFR parts 500, name and address to Dechra Veterinary corrected. 510, 520, 522, 524, 526, 556, and 558 are Products LLC, 7015 College Blvd., suite • The acceptable daily intake of total amended as follows: 525, Overland Park, KS 66211. In residues of tildipirosin in § 556.733 is PART 500—GENERAL addition, Virbac AH, Inc., 3200 being corrected. • Meacham Blvd., Ft. Worth, TX 76137 The regulations in 21 CFR ■ 1. The authority citation for part 500 has informed FDA that it has changed 520.2260b for sulfamethazine sustained- continues to read as follows: its address to PO Box 162059, Fort release boluses and in 21 CFR 522.1662a Worth, TX 76161. Accordingly, we are for oxytetracycline hydrochloride Authority: 21 U.S.C. 321, 331, 342, 343, amending § 510.600(c) (21 CFR injection are being reformatted to 348, 351, 352, 353, 360b, 371, 379e. 510.600(c)) to reflect these changes. present the tolerance cross-reference in ■ 2. In § 500.1410, revise paragraph (a) a consistent location. to read as follows: V. Technical Amendments • Typographical errors are being FDA is making the following corrected wherever they have been § 500.1410 N-methyl-2-pyrrolidone. amendments to improve the readability found. (a) Standard for residues. No residues and accuracy of the animal drug of n-methyl-2-pyrrolidone may be found regulations: VI. Legal Authority in the uncooked edible tissues of cattle • The contact information in 21 CFR This final rule is issued under section as determined by a method entitled 500.1410, which provides for the 512(i) of the Federal Food, Drug, and ‘‘Method of Analysis: N-methyl-2-

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pyrrolidone,’’ September 26, 2011, information on the availability of this ■ iv. Revise the entry for ‘‘Virbac AH, Center for Veterinary Medicine, Food material at NARA, email fedreg.legal@ Inc.’’; and and Drug Administration, which is nara.gov, or go to: www.archives.gov/ ■ v. Add an entry for ‘‘Wildcat Feeds’’ incorporated by reference with the federal-register/cfr/ibr-locations.html. in alphabetical order; and approval of the Director of the Federal * * * * * ■ b. In the table in paragraph (c)(2): Register under 5 U.S.C. 522(a) and 1 ■ i. Revise the entry for ‘‘026637’’; PART 510—NEW ANIMAL DRUGS CFR part 51. To obtain a copy of the ■ analytical method, please submit a ii. Remove the entry for ‘‘051267’’; Freedom of Information request to: ■ 3. The authority citation for part 510 ■ iii. Revise the entry for ‘‘051311’’; https://www.accessdata.fda.gov/scripts/ continues to read as follows: ■ iv. Remove the entry for ‘‘054628’’; foi/FOIRequest/requestinfo.cfm; or go Authority: 21 U.S.C. 321, 331, 351, 352, and to: https://www.fda.gov/about-fda/ 353, 360b, 371, 379e. ■ v. Add entries for ‘‘086039’’ and center-veterinary-medicine/cvm-foia- ■ 4. In § 510.600: ‘‘086113’’ in numerical order. electronic-reading-room. You may ■ a. In the table in paragraph (c)(1): The revisions and additions read as inspect a copy at the office of the ■ i. Remove the entry for ‘‘Cooperative follows: Dockets Management Staff (HFA–305), Research Farms’’; Food and Drug Administration, 5630 ■ ii. Add entries for ‘‘Dechra Veterinary § 510.600 Names, addresses, and drug Fishers Lane, Rm. 1061, Rockville, MD Products LLC’’ and ‘‘Mizner Bioscience labeler codes of sponsors of approved applications. 20852, 301–827–6860, between 9 a.m. LLC’’ in alphabetical order; and 4 p.m., Monday through Friday or ■ iii. Remove the entries for ‘‘Putney, * * * * * at the National Archives and Records Inc.’’ and ‘‘Strategic Veterinary (c) * * * Administration (NARA). For Pharmaceuticals, Inc.’’; (1) * * *

Drug labeler Firm name and address code

******* Dechra Veterinary Products LLC, 7015 College Blvd., Suite 525, Overland Park, KS 66211 ...... 026637

******* Mizner Bioscience LLC, 225 NE Mizner Blvd., Suite 760, Boca Raton, FL 33432 ...... 086039

******* Virbac AH, Inc., PO Box 162059, Fort Worth, TX 76161 ...... 051311

******* Wildcat Feeds, 215 NE Strait Ave., Topeka, KS 66616 ...... 086113

*******

(2) * * *

Drug labeler code Firm name and address

******* 026637 ...... Dechra Veterinary Products LLC, 7015 College Blvd., Suite 525, Overland Park, KS 66211.

******* 051311 ...... Virbac AH, Inc., PO Box 162059, Fort Worth, TX 76161.

******* 086039 ...... Mizner Bioscience LLC, 225 NE Mizner Blvd., Suite 760, Boca Raton, FL 33432.

******* 086113 ...... Wildcat Feeds, 215 NE Strait Ave., Topeka, KS 66616.

*******

PART 520—ORAL DOSAGE FORM § 520.88c [Amended] § § 520.90d and 520.90e [Removed] NEW ANIMAL DRUGS ■ 6. In § 520.88c(c), remove ‘‘§ 556.510’’ ■ 8. Remove §§ 520.90d and 520.90e. and in its place add ‘‘§ 556.38’’. ■ 5. The authority citation for part 520 § 520.90f [Redesignated as § 520.90c and Amended] continues to read as follows: § § 520.90b and 520.90c [Redesignated as §§ 520.90a and 520.90b] ■ Authority: 21 U.S.C. 360b. 9. Redesignate § 520.90f as § 520.90c and in newly redesignated § 520.90c, ■ 7. Redesignate §§ 520.90b and 520.90c revise paragraphs (b) and (d) to read as as §§ 520.90a and 520.90b. follows:

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§ 520.90c Ampicillin boluses. (2) Cats—(i) Amount. Administer (b) Sponsor. See No. 054771 in * * * * * orally once a month at the § 510.600(c) of this chapter. (b) Sponsor. See No. 054771 in recommended minimum dosage of 2.7 * * * * * § 510.600(c) of this chapter. mg/lb (6 mg/kg). ■ 22. Add § 522.728 to read as follows: * * * * * (ii) Indications for use. Kills adult (d) Conditions of use in fleas, and for the treatment and § 522.728 Dipyrone. nonruminating calves—(1) Amount. 5 prevention of flea infestations (a) Specifications. Each milliliter of milligrams per pound of body weight (Ctenocephalides felis) for 1 month in solution contains 500 milligrams (mg) twice daily not to exceed 4 days. cats and kittens 8 weeks of age or older dipyrone. (2) Indications for use. Oral treatment and weighing 2 pounds or greater. (b) Sponsor. See No. 086078 in of bacterial enteritis (colibacillosis) (iii) Limitations. Federal law restricts § 510.600(c) of this chapter. caused by E. coli. this drug to use by or on the order of (c) Conditions of use in horses—(1) (3) Limitations. Treated calves must a licensed veterinarian. Amount. Administer 30 mg per not be slaughtered for food during ■ 15. In § 520.1660d, revise paragraph kilogram of body weight (13.6 mg per treatment and for 7 days after the last (d)(2)(ii) to read as follows: pound) by intravenous injection, once treatment. Federal law restricts this drug or twice daily at a 12-hour interval for to use by or on the order of a licensed § 520.1660d Oxytetracycline powder. up to 3 days. veterinarian. * * * * * (2) Indications for use. For control of § 520.260 [Amended] (d) * * * pyrexia in horses. (2) * * * (3) Limitations. Do not use in horses ■ 10. In § 520.260(b)(2), remove ‘‘No. (ii) Indications for use. For control of intended for human consumption. Do 038782 for 884 or 1,768 milligram or American foulbrood caused by not use in any food-producing animals, 4.42 gram capsules;’’. Paenibacillus larvae. including lactating dairy animals. § 520.455 [Amended] * * * * * Federal law restricts this drug to use by or on the order of a licensed ■ 11. In § 520.455(b), remove ‘‘No. § § 520.1696b, 520.1696c, and 520.1696d veterinarian. 058198’’ and in its place add ‘‘Nos. [Redesignated as §§ 520.1696a, 520.1696b, 058198 and 086039’’. and 520.1696c] § 522.900 [Removed] ■ § § 520.903d and 520.903e [Redesignated ■ 16. Redesignate §§ 520.1696b, 23. Remove § 522.900. as §§ 520.903c and 520.903d] 520.1696c, and 520.1696d as § 522.1367 [Amended] ■ 12. Redesignate §§ 520.903d and §§ 520.1696a, 520.1696b, and ■ 24. In § 522.1367(c)(1)(i), remove 520.903e as §§ 520.903c and 520.903d. 520.1696c. ‘‘§ 520.1350(c)’’ and in its place add § 520.1263c [Redesignated as § 520.1263b] § 520.2218 [Amended] ‘‘§ 520.1367(c)’’. ■ 13. Redesignate § 520.1263c as ■ 17. In § 520.2218(c), remove § 522.1662a [Amended] § 520.1263b. ‘‘§§ 556.670 and 556.685’’ and in its ■ 25. In § 522.1662a: ■ place add ‘‘§§ 556.660, 556.670, and 14. Revise § 520.1286 to read as ■ 556.685’’. a. Redesignate paragraphs (a) through follows: (e) as paragraphs (b) through (f); § 520.1286 Lotilaner. § 520.2260b [Amended] ■ b. Further redesignate newly redesignated paragraphs (c)(3)(i)(a) (a) Specifications. Each chewable ■ 18. In § 520.2260b, redesignate through (c) and (c)(3)(ii)(a) through (c) tablet contains: paragraphs (a) through (f) and (g) as as paragraphs (c)(3)(i)(A) through (C) (1) For use in dogs: 56.25, 112.5, 225, paragraphs (b) through (g) and (a), and (c)(3)(ii)(A) through (C), 450, or 900 milligrams (mg) lotilaner; or respectively. (2) For use in cats: 12 or 48 mg respectively; ■ 19. In § 520.2455, add paragraph (b)(4) lotilaner. ■ c. Further redesignate newly to read as follows: (b) Sponsor. See No. 058198 in redesignated paragraphs (e)(3)(i)(a) § 510.600(c) of this chapter. § 520.2455 Tiamulin. through (c) as paragraphs (e)(3)(i)(A) through (C); (c) Conditions of use—(1) Dogs—(i) * * * * * Amount. Administer orally once a ■ d. Further redesignate newly (b) * * * month at the recommended minimum redesignated paragraphs (e)(3)(ii)(a) and (4) No. 061133 for product described dosage of 9 mg/lb (20 mg/kg). (b) and paragraphs (e)(3)(ii)(A) and (B); (ii) Indications for use. Kills adult in paragraph (a)(2) of this section. ■ e. Further redesignate newly fleas, and for the treatment and * * * * * redesignated paragraphs (e)(3)(iii)(a) prevention of flea infestations through (c) as paragraphs (e)(3)(iii)(A) (Ctenocephalides felis), and the PART 522—IMPLANTATION OR through (C); treatment and control of tick INJECTABLE DOSAGE FORM NEW ■ f. In newly redesignated paragraph infestations (Amblyomma americanum ANIMAL DRUGS (e)(3)(iii)(C), remove ‘‘paragraph (lone star tick), Dermacentor variabilis (d)(3)(iii)(c) of this section’’ and in its ■ 20. The authority citation for part 522 (American dog tick), Ixodes scapularis place add ‘‘this paragraph (e)(3)(iii)(C)’’; continues to read as follows: (black-legged tick), and Rhipicephalus ■ g. Further redesignate newly sanguineus (brown dog tick)) for 1 Authority: 21 U.S.C. 360b. redesignated paragraphs (f)(3)(i)(a) month in dogs and puppies 8 weeks of ■ 21. In § 522.650, revise paragraph (b) through (c) and (f)(3)(ii)(a) through (c) as age or older and weighing 4.4 pounds or to read as follows: paragraphs (f)(3)(i)(A) through (C) and greater. (f)(3)(ii)(A) through (C), respectively; (iii) Limitations. Federal law restricts § 522.650 Dihydrostreptomycin sulfate ■ h. Redesignate paragraphs (g)(3)(i)(a) this drug to use by or on the order of injection. through (c) and (g)(3)(ii)(a) through (c) a licensed veterinarian. * * * * * as paragraphs (g)(3)(i)(A) through (C)

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and (g)(3)(ii)(A) through (C), incineration, or other method in § 524.1146 Imidacloprid and moxidectin. respectively; and compliance with State and local laws, to (a) Specifications. Each milliliter of ■ i. Redesignate paragraph (k) as prevent consumption of carcass material solution contains: paragraph (j) and paragraph (l) as by scavenging wildlife.’’ (1) 100 milligrams (mg) imidacloprid paragraph (a). (d) Conditions of use in dogs—(1) and 25 mg moxidectin; or Amount. Administer 1 mL per 10 (2) 100 mg imidacloprid and 10 mg § 522.1696a [Amended] pounds of body weight as a single, bolus moxidectin. ■ 26. In § 522.1696a(b)(1) and (2) and intravenous injection. (b) Sponsors. See sponsor numbers in (d)(2)(iii), remove ‘‘, 055529,’’. (2) Indications for use. For humane, § 510.600(c) of this chapter as follows: painless, and rapid euthanasia. § 522.1696b [Amended] (1) Nos. 000859 and 017030 for use of (3) Limitations. Do not use in animals product described in paragraph (a)(1) of ■ 27. In § 522.1696b: intended for food. Federal law restricts this section as in paragraph (d)(1) of this ■ a. In paragraph (b)(1), remove this drug to use by or on the order of section. ‘‘016592, 054771, and 055529’’ and in a licensed veterinarian. (2) No. 000859 for use of product its place add ‘‘016592 and 054771’’; described in paragraph (a)(2) of this ■ b. Remove paragraphs (d)(2)(i)(A) and PART 524—OPHTHALMIC AND section as in paragraphs (d)(2) and (3) of (B); and TOPICAL DOSAGE FORM NEW this section. ■ c. In paragraph (d)(2)(iii)(B), remove ANIMAL DRUGS * * * * * ‘‘Nos. 000859 and 055529’’ and in its place add ‘‘No. 016592’’. ■ 30. The authority citation for part 524 ■ 34. In § 524.1742: ■ ■ continues to read as follows: a. Revise the section heading; 28. Add § 522.1697 to read as follows: ■ Authority: 21 U.S.C. 360b. b. Redesignate paragraphs (c) and (d) § 522.1697 Pentobarbital and phenytoin. as paragraphs (d) and (c), respectively; ■ (a) Specifications. Each milliliter (mL) 31. Add an undesignated center ■ c. Add a heading for the table in of solution contains 390 milligrams (mg) heading before § 524.981 to read as newly redesignated paragraph (d)(1) pentobarbital sodium and 50 mg follows: introductory text; and phenytoin sodium. Fluocinolone Topical and Otic Dosage ■ d. Further redesignate newly (b) Sponsors. See Nos. 000061, Forms redesignated paragraphs (d)(1)(i)(a) and 051311, and 054925 in § 510.600(c) of (b) as paragraphs (d)(1)(i)(A) and (B). this chapter. ■ 32. Add § 524.1001 to read as follows: The revision and addition reads as follows: (c) Special considerations. Product § 524.1001 Furalaner and moxidectin. labeling shall bear the following § 524.1742 Phosmet emulsifiable liquid. warning statements: (a) Specifications. Each milliliter of ‘‘ENVIRONMENTAL HAZARD: This solution contains 280 milligram (mg) * * * * * product is toxic to wildlife. Birds and furalaner and 14 mg moxidectin. Each (d) * * * mammals feeding on treated animals individually packaged tube contains (1) * * * may be killed. Euthanized animals must either 112.5 mg furalaner and 5.6 mg Table 1 to Paragraph (d)(1) be properly disposed of by deep burial, moxidectin; 250 mg furalaner and 12.5 * * * * * incineration, or other method in mg moxidectin; or 500 mg furalaner and § 524.2098 [Amended] compliance with State and local laws, to 25 mg moxidectin. (b) Sponsor. See No. 000061 in prevent consumption of carcass material ■ 35. In § 524.2098(b), remove ‘‘054771’’ § 510.600(c) of this chapter. by scavenging wildlife.’’ and in its place add ‘‘Nos. 054771 and (d) Conditions of use in dogs—(1) (c) Conditions of use—(1) Amount. 055529’’. Amount. Administer 1 mL per 10 Administer topically as a single dose pounds of body weight as a single, bolus every 2 months to provide a minimum PART 526—INTRAMAMMARY DOSAGE intravenous or intracardiac injection. dose of 18.2 mg/lb (40 mg/kg) fluralaner FORM NEW ANIMAL DRUGS (2) Indications for use. For humane, and 0.9 mg/lb (2 mg/kg) moxidectin. ■ painless, and rapid euthanasia. (2) Indications for use. For the 36. The authority citation for part 526 (3) Limitations. Do not use in animals prevention of heartworm disease caused continues to read as follows: intended for food. Federal law restricts by Dirofilaria immitis and for the Authority: 21 U.S.C. 360b. this drug to use by or on the order of treatment of infections with intestinal § 526.464b [Removed] a licensed veterinarian. roundworm (Toxocara cati, 4th stage larvae, immature adults, and adults) and ■ 29. Add § 522.2092 to read as follows: ■ 37. Remove § 526.464b. hookworm (Ancylostoma tubaeforme, § 522.2092 Secobarbital and dibucaine. 4th stage larvae, immature adults, and § 526.464c [Redesignated as § 526.464b] (a) Specifications. Each milliliter (mL) adults); kills adult fleas and is indicated ■ 38. Redesignate § 526.464c as of solution contains 400 milligram (mg) for the treatment and prevention of flea § 526.464b. secobarbital sodium and 25 mg infestations (Ctenocephalides felis) and dibucaine hydrochloride. the treatment and control of tick PART 556—TOLERANCES FOR (b) Sponsor. See No. 054771 in infestations (Ixodes scapularis (black- RESIDUES OF NEW ANIMAL DRUGS § 510.600(c) of this chapter. legged tick) and Dermacentor variabilis IN FOOD (c) Special considerations. Product (American dog tick)) for 2 months in labeling shall bear the following cats and kittens 6 months of age and ■ 39. The authority citation for part 556 warning statements: older and weighing 2.6 lb or greater. continues to read as follows: ‘‘ENVIRONMENTAL HAZARD: This (3) Limitations. Federal law restricts Authority: 21 U.S.C. 342, 360b, 371. product is toxic to wildlife. Birds and this drug to use by or on the order of mammals feeding on treated animals a licensed veterinarian. § 556.40 [Amended] may be killed. Euthanized animals must ■ 33. In § 524.1146, revise paragraphs ■ 40. In § 556.40(c), remove ‘‘§§ 520.90e, be properly disposed of by deep burial, (a) and (b) to read as follows: 520.90f, 522.90a, and 522.90b’’ and in

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its place add ‘‘§§ 520.90c, 522.90a, and (6) Honey. 750 ppb. (b) * * * 522.90b’’. * * * * * (1) Cattle. (i) Liver (target tissue): 12 ppb. § 556.165 [Amended] § 556.510 [Amended] (ii) Muscle: 10 ppb. ■ 41. In § 556.165(c), remove ■ 48. In § 556.510(c), remove * * * * * ‘‘§§ 526.464a, 526.464b, and 526.464c’’ ‘‘520.1696b’’ and in its place add and in its place add ‘‘§§ 526.464a and ‘‘520.1696a’’. PART 558—NEW ANIMAL DRUGS FOR 526.464b’’. USE IN ANIMAL FEEDS § 556.660 [Amended] § 556.168 [Removed] ■ 49. In § 556.660(c), remove ■ 56. The authority citation for part 558 ■ 42. Remove § 556.168. ‘‘§ 558.582’’ and in its place add continues to read as follows: ‘‘§§ 520.2218 and 558.582’’. Authority: 21 U.S.C. 354, 360b, 360ccc, § 556.230 [Amended] 360ccc–1, 371. § 556.670 [Amended] ■ 43. In § 556.230, remove paragraph ■ 57. In § 558.55, add paragraph (d)(5) (b)(3). ■ 50. In § 556.670, in paragraph (c), remove ‘‘§§ 520.2260a, 520.2260b, to read as follows: § 556.304 [Amended] 520.2260c, 520.2261a, 520.2261b, § 558.55 Amprolium. 522.2260, 558.140, and 558.630’’ and in ■ 44. In § 556.304(c), remove * * * * * its place add ‘‘§§ 520.2218, 520.2260a, ‘‘§§ 522.1077, 522.1079, and 522.1081’’ (d) * * * 520.2260b, 520.2260c, 520.2261a, and in its place add ‘‘§§ 522.1079 and (5) Permitted combinations. 520.2261b, 522.2260, 558.140, and 522.1081’’. Amprolium may also be used in 558.630’’. § 556.344 [Amended] combination with: § 556.685 [Amended] (i) Virginiamycin as in § 558.635. ■ 45. In § 556.344: ■ (ii) [Reserved] ■ a. In paragraph (a), remove ‘‘1 mg/kg’’ 51. In § 556.685(c), remove ■ 58. In § 558.76, revise paragraphs and in its place add ‘‘5 mg/kg’’; ‘‘§§ 520.2325a, 520.2325b, and 558.586’’ and in its place add ‘‘§§ 520.2218, (e)(2)(vii), (viii), and (xi) to read as ■ b. In paragraph (b)(2)(i), remove ‘‘100 520.2325a, 520.2325b, and 558.586’’. follows: ppb’’ and in its place add ‘‘1.6 ppm’’; and § 556.733 [Amended] § 558.76 Bacitracin methylenedisalicylate. ■ c. In paragraph (b)(2)(ii), remove ‘‘10 ■ 52. In § 556.733(a), remove ‘‘10 mg/kg’’ * * * * * ppb’’ and in its place add ‘‘650 ppb’’. and in its place add ‘‘50 mg/kg’’. (e) * * * ■ 46. In § 556.360, add paragraph (b)(3) ■ 53. In § 556.746, add paragraph (b)(4) (2) * * * and revise paragraph (c) to read as to read as follows: (vii) Fenbendazole as in § 558.258. follows: (viii) Halofuginone as in § 558.265. § 556.746 Tylosin. § 556.360 Lincomycin. * * * * * * * * * * (xi) Monensin as in § 558.355. * * * * * (b) * * * * * * * * (b) * * * (4) Honey. 500 ppb. (3) Honey. 750 ppb. * * * * * § 558.185 [Removed] (c) Related conditions of use. See ■ §§ 520.1263b, 522.1260, and 558.325 of § 556.750 [Amended] 59. Remove § 558.185. this chapter. ■ 54. In § 556.750, remove paragraph ■ 60. In § 558.195, revise paragraph ■ 47. In § 556.500, add paragraph (b)(6) (b)(4). (e)(2)(ii) to read as follows: to read as follows: ■ 55. In § 556.765, revise paragraph § 558.195 Decoquinate. (b)(1) to read as follows: § 556.500 Oxytetracycline. * * * * * * * * * * § 556.765 Zilpaterol. (e) * * * (b) * * * * * * * * (2) * * *

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Decoquinate in Combination in grams/ton grams/ton Indications for use Limitations Sponsor

******* (ii) 12.9 to 90.8 .. Monensin, 5 to 30 ...... Cattle fed in confinement for slaughter: For Feed continuously as the sole ration to provide 016592, 054771. prevention of coccidiosis caused by Eimeria 22.7 mg of decoquinate per 100 lb of body bovis and E. zuernii; and for improved feed weight per day and 50 to 360 mg of efficiency. monensin per head per day. Feed at least 28 days during period of exposure to coc- cidiosis or when it is likely to be a hazard. Do not feed to animals producing milk for food. Do not feed to lactating dairy cattle. Also see paragraph (d)(1) of this section and § 558.355(d)(9)(i). Monensin as provided by No. 016592 or 058198 in § 510.600(c) of this chapter.

*******

* * * * * § 558.342 Melengestrol. (1) * * * ■ 61. In § 558.342, revise paragraph * * * * * (e)(1)(iv) to read as follows: (e) * * *

Melengestrol acetate in mg/ Combination in Indications for use Limitations Sponsor head/day grams/ton

******* (iv) 0.25 to 0.5 ... Monensin, 10 to 40 ..... Heifers fed in confinement for slaughter: For Add at the rate of 0.5 to 2 lb/head/day a medi- 016592, 054771, increased rate of weight gain, improved feed cated feed (liquid or dry) containing 0.125 to 058198 efficiency, and suppression of estrus (heat); 1 mg melengestrol acetate/lb to a feed con- and for the prevention and control of coccidi- taining 10 to 40 g of monensin per ton to osis due to Eimeria bovis and E. zuernii.. provide 0.25 to 0.5 mg melengestrol acetate/ head/day and 0.14 to 0.42 mg monensin/lb body weight, depending on severity of coc- cidiosis challenge, up to 480 mg monensin/ head/day. See § 558.355(d). Monensin as provided by No. 016592 or 058198 in § 510.600(c) of this chapter.

*******

* * * * * § 558.355 Monensin. ■ 62. In § 558.355, remove and reserve * * * * * paragraph (e) and revise paragraph (f) * * * (f)(4)(iv) to read as follows: (4) * * *

Monensin amount Indications for use Limitations Sponsor

******* (iv) 400 mg per pound of Pasture cattle (slaughter, stocker, feed- Provide 50 to 200 mg of monensin (2 to 8 ounces of 086113 block (0.088%). er, and dairy and beef replacement block) per head per day, at least 1 block per 5 heifers): For increased rate of weight head of cattle. Feed blocks continuously. Do not gain. feed salt or mineral supplements in addition to the blocks. Ingestion by cattle of monensin at levels of 600 mg per head per day and higher has been fatal. The effectiveness of this block in cull cows and bulls has not been established. See para- graph (d)(10)(i) of this section.

*******

* * * * * § 558.500 Ractopamine. (2) Cattle. ■ 63. In § 558.500, revise paragraph * * * * * (e)(2) to read as follows: (e) * * *

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Ractopamine in Combination in grams/ton grams/ton Indications for use Limitations Sponsor

(i) 8.2 to 24.6...... Cattle fed in confinement for Feed continuously as sole ration during the 054771 slaughter: For increased rate of last 28 to 42 days on feed. 058198 weight gain and improved feed efficiency during the last 28 to 42 days on feed. (ii) 8.2 to 24.6 ..... Monensin 10 to 40 to Cattle fed in confinement for Feed continuously as sole ration during the 016592 provide 0.14 to 0.42 slaughter: For increased rate of last 28 to 42 days on feed. See paragraph 054771 mg monensin/lb of weight gain and improved feed § 558.355(d). Ractopamine as provided by 058198 body weight, de- efficiency during the last 28 to No. 058198 or 054771; monensin as pro- pending on severity 42 days on feed, and for pre- vided by No. 016592 or 058198 in of coccidiosis chal- vention and control of coccidi- § 510.600(c) of this chapter. lenge, up to 480 osis due to Eimeria bovis and mg/head/day.. E. zuernii. (iii) 9.8 to 24.6...... Cattle fed in confinement for Feed continuously as sole ration during the 054771 slaughter: For increased rate of last 28 to 42 days on feed. Not for animals 058198 weight gain, improved feed effi- intended for breeding. ciency, and increased carcass leanness during the last 28 to 42 days on feed. (iv) 9.8 to 24.6 .... Monensin 10 to 40 to Cattle fed in confinement for Feed continuously as sole ration during the 016592 provide 0.14 to 0.42 slaughter: For increased rate of last 28 to 42 days on feed. Not for animals 054771 mg monensin/lb of weight gain, improved feed effi- intended for breeding. See paragraph 058198 body weight, de- ciency, and increased carcass § 558.355(d). Ractopamine as provided by pending on severity leanness during the last 28 to No. 058198 or 054771; monensin as pro- of coccidiosis chal- 42 days on feed, and for pre- vided by No. 016592 or 058198 in lenge, up to 480 vention and control of coccidi- § 510.600(c) of this chapter. mg/head/day. osis due to Eimeria bovis and E. zuernii. (v) 9.8 to 24.6 .... Monensin 10 to 40 to Heifers fed in confinement for Feed continuously as sole ration during the 016592 provide 0.14 to 0.42 slaughter: For increased rate of last 28 to 42 days on feed. Not for animals 054771 mg monensin/lb of weight gain, improved feed effi- intended for breeding. See §§ 558.342(d) 058198 body weight, de- ciency, and increased carcass and 558.355(d). Melengestrol acetate as pending on severity leanness during the last 28 to provided by No. 058198 or 054771; of coccidiosis chal- 42 days on feed, and for pre- monensin as provided by No. 016592 or lenge, up to 480 vention and control of coccidi- 058198 in § 510.600(c) of this chapter. mg/head/day, plus osis due to Eimeria bovis and melengestrol ace- E. zuernii, and for suppression tate to provide 0.25 of estrus (heat). to 0.5 mg/head/day. (vi) Not to exceed ...... Cattle fed in confinement for Top dress in a minimum of 1 lb of medicated 054771 800; to provide slaughter: For increased rate of feed. 058198 70 to 400 mg/ weight gain and improved feed head/day. efficiency during the last 28 to 42 days on feed. (vii) Not to ex- Monensin 10 to 40 to Cattle fed in confinement for Top dress ractopamine in a minimum of 1 lb 016592 ceed 800; to provide 0.14 to 0.42 slaughter: For increased rate of of medicated feed during the last 28 to 42 054771 provide 70 to mg monensin/lb of weight gain and improved feed days on feed. Not for animals intended for 058198 400 mg/head/ body weight, de- efficiency during the last 28 to breeding. See § 558.355(d). Ractopamine day. pending on severity 42 days on feed, and for pre- as provided by No. 058198 or 054771; of coccidiosis chal- vention and control of coccidi- monensin as provided by No. 016592 or lenge, up to 480 osis due to Eimeria bovis and 058198 in § 510.600(c) of this chapter. mg/head/day. E. zuernii.

* * * * * § 558.618 Tilmicosin. (2) * * * ■ 64. In § 558.618, revise paragraphs * * * * * (e)(2)(ii) and (iii) to read as follows: (e) * * *

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Tilmicosin phosphate in Combination in Indications for use Limitations Sponsor grams/ton grams/ton

******* (ii) 568 to 757 Monensin, 5 to 40 ...... Cattle fed in confinement for Feed continuously for 14 days to provide 12.5 016592 slaughter: For improved feed ef- mg tilmicosin/kg of bodyweight/day. The 058198 ficiency; and for the control of safety of tilmicosin has not been established bovine respiratory disease in cattle intended for breeding purposes. (BRD) associated with This drug product is not approved for use in Mannheimia haemolytica, female dairy cattle 20 months of age or Pasteurella multocida, and older. Use in these cattle may cause drug Histophilus somni in groups of residues in milk. This drug product is not cattle fed in confinement for approved for use in calves intended to be slaughter, where active BRD has processed for veal. A withdrawal period has been diagnosed in at least 10 not been established in pre-ruminating percent of the animals in the calves. Cattle intended for human consump- group. tion must not be slaughtered within 28 days of the last treatment with this drug product. See § 558.355(d). Tilmicosin as provided by No. 016592 or 058198; monensin as pro- vided by No. 016592 or 058198 in § 510.600(c) of this chapter. (iii) 568 to 757 Monensin, 10 to 40 ..... Cattle fed in confinement for Feed continuously for 14 days to provide 12.5 016592 slaughter: For prevention and mg tilmicosin/kg of bodyweight/day. The 058198 control of coccidiosis due to safety of tilmicosin has not been established Eimeria bovis and E. zuernii; in cattle intended for breeding purposes. and for the control of BRD asso- This drug product is not approved for use in ciated with Mannheimia female dairy cattle 20 months of age or haemolytica, Pasteurella older. Use in these cattle may cause drug multocida, and Histophilus somni residues in milk. This drug product is not in groups of cattle fed in confine- approved for use in calves intended to be ment for slaughter, where active processed for veal. A withdrawal period has BRD has been diagnosed in at not been established in pre-ruminating least 10 percent of the animals calves. Cattle intended for human consump- in the group. tion must not be slaughtered within 28 days of the last treatment with this drug product. See § 558.355(d). Tilmicosin as provided by No. 016592 or 058198; monensin as pro- vided by No. 016592 or 058198 in § 510.600(c) of this chapter.

■ 65. In § 558.625, revise paragraphs § 558.625 Tylosin. (e) * * * (e)(2)(vi) and (ix) to read as follows: * * * * * (2) * * *

Tylosin Combination in grams/ton grams/ton Indications for use Limitations Sponsor

******* (vi) 8 to 10 .. Monensin, 5 to 30 plus Cattle fed in confinement for Feed continuously as the sole ration to provide 016592 decoquinate, 13.6 to slaughter: For reduction of inci- 22.7 mg of decoquinate per 100 lb body 054771 22.7. dence of liver abscesses caused weight per day, 50 to 360 mg of monensin/ by Fusobacterium necrophorum head/day, and 60 to 90 mg of tylosin/head/ and Arcanobacterium pyogenes; day. Feed at least 28 days during period of for the prevention of coccidiosis exposure to coccidiosis or when it is likely to caused by Eimeria bovis and E. be a hazard. Do not feed to animals pro- zuernii; and for improved feed ef- ducing milk for food. Do not feed to lactating ficiency. dairy cattle. A withdrawal time has not been established for pre-ruminating calves. Do not use in calves to be processed for veal. Tylosin as provided by No. 016592 or 058198; monensin as provided by No. 016592 or 058198; decoquinate as provided by No. 058198 in § 510.600(c) of this chap- ter. See §§ 558.311(d) and 558.355(d).

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Tylosin Combination in grams/ton grams/ton Indications for use Limitations Sponsor

******* (ix) 8 to 10 .. Monensin, 10 to 40 Heifers fed in confinement for Feed continuously as sole ration to heifers at a 016592 plus melengestrol, slaughter: For reduction of inci- rate of 0.5 to 2 pounds per head per day to 054771 0.25 to 2.0. dence of liver abscesses caused provide 0.25 to 0.5 mg/head/day 058198 by Fusobacterium necrophorum melengestrol acetate and 0.14 to 0.42 mg and Arcanobacterium monensin/lb body weight per day, depending (Actinomyces) pyogenes; for pre- on the severity of the coccidiosis challenge, vention and control of coccidiosis up to 480 mg/head/day and 60 to 90 mg/ caused by Eimeria bovis and E. head/day tylosin. The melengestrol acetate zuernii; and for increased rate of portion of this Type C medicated feed must weight gain, improved feed effi- be mixed into the complete feed containing ciency, and suppression of estrus 10 to 40 g/ton monensin and 8 to 10 g/ton (heat). tylosin at feeding into the amount of complete feed consumed by an animal per day. A with- drawal time has not been established for pre- ruminating calves. Do not use in calves to be processed for veal. Tylosin provided by No. 016592 or 058198; monensin as provided by No. 016592 or 058198; melengestrol pro- vided by No. 054771 or 058198 in § 510.600(c) of this chapter. See §§ 558.342(d) and 558.355(d).

*******

■ 66. In § 558.635, revise paragraph § 558.635 Virginiamycin. (e) * * * (e)(1)(iv) to read as follows: * * * * * (1) * * *

Virginiamycin Combination in grams/ton grams/ton Indications for use Limitations Sponsor

******* (iv) 20 ...... Diclazuril, 0.91 ...... Broiler chickens: For prevention of Feed continuously as the sole ration. Do not 058198 necrotic enteritis caused by use in hens producing eggs for human Clostridium perfringens suscep- food. Diclazuril as provided by No. 058198 tible to virginiamycin; and for in § 510.600(c) of this chapter. the prevention of coccidiosis caused by Eimeria tenella, E. necatrix, E. acervulina, E. brunetti, E. mitis (mivati), and E. maxima. Because diclazuril is effective against E. maxima late in its life cycle, subclinical intestinal lesions may be present for a short time after in- fection. Diclazuril was shown in studies to reduce lesions scores and improve perform- ance and health of birds chal- lenged with E. maxima.

*******

* * * * * DEPARTMENT OF HEALTH AND ACTION: Notification of withdrawal. Dated: March 25, 2020. HUMAN SERVICES SUMMARY: The Food and Drug Lowell J. Schiller, Food and Drug Administration Administration (FDA) is withdrawing Principal Associate Commissioner for Policy. approval of eight new animal drug [FR Doc. 2020–06688 Filed 3–30–20; 8:45 am] 21 CFR Parts 520, 522, and 526 applications (NADAs) at the sponsor’s BILLING CODE 4164–01–P [Docket No. FDA–2019–N–0002] request because the products are no longer manufactured or marketed. New Animal Drugs; Withdrawal of DATES: Withdrawal of approval is Approval of New Animal Drug effective March 30, 2020 Applications FOR FURTHER INFORMATION CONTACT: AGENCY: Food and Drug Administration, Sujaya Dessai, Center for Veterinary HHS. Medicine (HFV–212), Food and Drug

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Administration, 7519 Standish Pl., SUPPLEMENTARY INFORMATION: Norbrook of the NADAs listed in the following Rockville, MD 20855, 240–402–5761, Laboratories, Ltd., Station Works, table because the products are no longer [email protected]. Newry BT35 6JP, Northern Ireland, has manufactured or marketed: requested that FDA withdraw approval

21 CFR File No. Product name section

055–036 ...... PRINCILLIN (ampicillin trihydrate) Capsules ...... 520.90c. 055–050 ...... PRINCILLIN (ampicillin trihydrate) Soluble Powder ...... 520.90e. 055–056 ...... PRINCILLIN (ampicillin trihydrate) Bolus ...... 520.90f. 055–061 ...... PRINCILLIN ‘‘125’’ For Oral Suspension ...... 520.90d. 055–068 ...... BOVICLOX (cloxacillin benzathine) ...... 526.464b. 065–013 ...... Dihydrostreptomycin (dihydrostreptomycin sulfate) ...... 522.650. 065–493 ...... JETPEN (penicillin G benzathine and penicillin G procaine) Aqueous Suspension ...... 522.1696a. 065–500 ...... TANDEM PEN (penicillin G procaine) ...... 522.1696b.

Therefore, under authority delegated to be duplicative of statute and internal Dated: March 26, 2020. to the Commissioner of Food and Drugs policy, thus it should be removed from D.J. Antenucci, and in accordance with § 514.116 Notice the CFR. Commander, Judge Advocate General’s Corps, of withdrawal of approval of application U.S. Navy, Federal Register Liaison Officer. DATES: (21 CFR 514.116), notice is given that This rule is effective on April 1, 2020. [FR Doc. 2020–06694 Filed 3–31–20; 8:45 am] approval of NADAs 055–036, 055–050, BILLING CODE 3810–FF–P 055–056, 055–061, 055–068, 065–013, FOR FURTHER INFORMATION CONTACT: CDR 065–493, and 065–500, and all Dave Melson at 703–697–1311. supplements and amendments thereto, is withdrawn, effective March 30, 2020. SUPPLEMENTARY INFORMATION: 32 CFR ENVIRONMENTAL PROTECTION Elsewhere in this issue of the Federal part 716, ‘‘Death Gratuity,’’ last updated AGENCY Register, FDA is amending the animal on May 2, 1979 (44 FR 25647), contains drug regulations to reflect the voluntary information regarding DON payments of 40 CFR Part 52 withdrawal of approval of these death gratuity. The Department of applications. Defense publishes the policies, process [EPA–R04–OAR–2019–0294; FRL–10007– and requirements around death gratuity 17–Region 4] Dated: March 25, 2020. payments in Chapter 36 of Volume 7A Lowell J. Schiller, of the Financial Management Regulation Air Plan Approval; Tennessee: Principal Associate Commissioner for Policy. (DoD 7000.14–R was updated March Chattanooga NSR Reform [FR Doc. 2020–06689 Filed 3–30–20; 8:45 am] 2018 and is available at https:// AGENCY: Environmental Protection BILLING CODE 4164–01–P comptroller.defense.gov/Portals/45/ Agency (EPA). _ documents/fmr/Volume 07a.pdf). ACTION: Final rule. Additionally, 10 U.S. Code 1475–1480 DEPARTMENT OF DEFENSE captures all current guidance related to SUMMARY: The Environmental Protection the death gratuity. It has been Agency (EPA) is finalizing approval of Department of the Navy determined that publication of this CFR revisions to the Tennessee State part removal for public comment is Implementation Plan (SIP) submitted 32 CFR Part 716 impracticable, unnecessary, and through two letters dated June 25, 2008, [Docket ID: USN–2019–HQ–0016] contrary to public interest since this and September 12, 2018. The SIP subject matter is already addressed in revisions were submitted by the RIN 0703–AB23 statute and by internal DoD policies and Tennessee Department of Environment procedures that are publicly available and Conservation (TDEC) on behalf of Death Gratuity on the Department’s website. the Chattanooga/Hamilton County Air AGENCY: Department of the Navy (DON), This rule is not significant under Pollution Control Bureau and modify the Prevention of Significant DoD. Executive Order (E.O.) 12866, Deterioration (PSD) regulations in the ACTION: Final rule. ‘‘Regulatory Planning and Review.’’ Chattanooga portion of the Tennessee Therefore, E.O. 13771, ‘‘Reducing SIP to address changes to the federal SUMMARY: This final rule removes the Regulation and Controlling Regulatory new source review (NSR) regulations in Department of the Navy (DON) Costs’’ does not apply. regulation requiring the Secretary of the recent years for the implementation of Navy to pay a death gratuity between Removal of this part supports a the national ambient air quality $800 and $3,000 upon the death of a recommendation of the DoD Regulatory standards (NAAQS). Additionally, the member of the naval service while on Reform Task Force. SIP revisions include updates to Chattanooga’s regulations of nitrogen active duty, active duty for training, or List of Subjects in 32 CFR Part 716 inactive duty training. That benefit is oxides (NOX) and other miscellaneous enumerated in both U.S. Code and the Military personnel. typographical and administrative Department of Defense (DoD) Financial updates. This action is being taken Management Regulation. The DoD and PART 716—[REMOVED] pursuant to the Clean Air Act (CAA or DON have robust procedures for Act). responding to the death of a service ■ Accordingly, by the authority of 5 DATES: This rule is effective May 1, member. This part has been determined U.S.C. 301, 32 CFR part 716 is removed. 2020.

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ADDRESSES: EPA has established a portions of these SIP revisions that of the Tennessee SIP. The February 11, docket for this action under Docket make changes to the Chattanooga City 2020, NPRM provides additional details Identification No. EPA–R04–OAR– Code, Part II, Chapter 4, Article II, regarding EPA’s action. Comments on 2019–0294. All documents in the docket Section 4–41. Specifically, EPA is the February 11, 2020, NPRM were due are listed on the www.regulations.gov approving changes in Section 4–41, on or before March 12, 2020. EPA website. Although listed in the index, which include updates to Rule 2— received no adverse comments on the some information is not publicly Regulation of Nitrogen Oxides; Rule 9— proposed action. available, i.e., Confidential Business Regulation of Visible Emissions from II. Incorporation by Reference Information or other information whose Internal Combustion Engines, and Rule disclosure is restricted by statute. 18—Prevention of Significant In this document, EPA is finalizing Certain other material, such as Deterioration of Air Quality.4567 regulatory text that includes copyrighted material, is not placed on Aside from making typographical and incorporation by reference. In the internet and will be publicly administrative corrections to some of accordance with requirements of 1 CFR available only in hard copy form. the rules, these SIP revisions are meant 51.5, EPA is finalizing the incorporation Publicly available docket materials are to address changes to the federal NSR by reference of Chattanooga City Code, available either electronically through regulations, as promulgated by EPA in Part II, Chapter 4, Section 4–41, Rule www.regulations.gov or in hard copy at various rules and as described in EPA’s 2—Regulation of Nitrogen Oxides; and the Air Regulatory Management Section, February 11, 2020, notice of proposed Rule 9—Regulation of Visible Emissions Air Planning and Implementation rulemaking (NPRM). See 85 FR 7986. In from Internal Combustion Engines, both Branch, Air and Radiation Division, the February 11, 2020, NPRM, EPA locally effective December 12, 2007; as U.S. Environmental Protection Agency, proposed to approve the aforementioned well as Rule 18—Prevention of Region 4, 61 Forsyth Street SW, Atlanta, changes to Section 4–41, Rule 2— Significant Deterioration of Air Quality, Georgia 30303–8960. EPA requests that Regulation of Nitrogen Oxides, Rule 9— locally effective October 3, 2017.89 The if at all possible, you contact the person Regulation of Visible Emissions from revisions are designed to address listed in the FOR FURTHER INFORMATION Internal Combustion Engines, and Rule changes to the Federal NSR regulations CONTACT section to schedule your 18—Prevention of Significant in recent years for the implementation inspection. The Regional Office’s Deterioration of Air Quality in the of the NAAQS and updates to official hours of business are Monday Chattanooga–Hamilton County portion Chattanooga’s regulations of NOX and through Friday 8:30 a.m. to 4:30 p.m., other miscellaneous typographical and excluding Federal holidays. September 12, 2018, submittal. This letter is administrative updates. EPA has made, discussed in the proposed action (85 FR 7986) and FOR FURTHER INFORMATION CONTACT: and will continue to make, these is available in the Docket. materials generally available through Andres Febres, Air Regulatory 4 The list of SIP-approved rules for Chattanooga/ Management Section, Air Planning and Hamilton County, found at Table 4 of 40 CFR www.regulations.gov and at the EPA Implementation Branch, Air and 52.2220(c), currently shows the title of Section Region 4 Office (please contact the Radiation Division, Region 4, U.S. 4–41, Rule 18 as ‘‘Prevention of Significant Air person identified in the FOR FURTHER Quality Deterioration.’’ In this final rule, EPA is INFORMATION CONTACT section of this Environmental Protection Agency, 61 approving a change to this title to instead show Forsyth Street SW, Atlanta, Georgia ‘‘Prevention of Significant Deterioration of Air preamble for more information). 30303–8960. The telephone number is Quality.’’ Therefore, these materials have been (404) 562–8966. Mr. Febres can also be 5 In this final action, EPA is also approving approved by EPA for inclusion in the reached via electronic mail at febres- substantively identical changes from Chattanooga’s State implementation plan, have been Section 4–41, Rule 18, in the following sections of incorporated by reference by EPA into [email protected]. the Air Pollution Control Regulations/Ordinances that plan, are fully federally enforceable SUPPLEMENTARY INFORMATION: for the remaining jurisdictions within the Bureau, which were locally effective as of the relevant dates under sections 110 and 113 of the CAA I. This Action below: Hamilton County—Section 41, Rule 18 as of the effective date of the final (9/6/17); City of Collegedale—Section 14–341, Rule rulemaking of EPA’s approval, and will EPA is taking final action to approve 18 (10/16/17); City of East Ridge—Section 8–41, changes to the Chattanooga-Hamilton Rule 18 (10/12/17); City of Lakesite—Section 14–41, be incorporated by reference in the next 10 County portion of the Tennessee SIP Rule 18 (11/2/17); City of Red Bank—Section 20– update to the SIP compilation. 41, Rule 18 (11/21/17); City of Soddy-Daisy— regarding PSD permitting, as well as Section 8–41, Rule 18 (10/5/17); City of Lookout III. Final Action updates to the regulations of NO and X Mountain—Section 41, Rule 18 (11/14/17); City of EPA is taking final action to approve other miscellaneous typographical and Ridgeside Section 41, Rule 18 (1/16/18); City of changes to Chattanooga’s June 25, 2008, administrative updates, submitted by Signal Mountain Section 41, Rule 18 (10/20/17); and Town of Walden Section 41, Rule 18 (10/16/ and September 12, 2018, SIP submittals, TDEC on behalf of the Chattanooga/ 17). However, changes to Chattanooga’s Section meant to address changes to the federal Hamilton County Air Pollution Control 4–41, Rule 2 and Rule 9, only apply to the City of NSR regulations, as well as making Chattanooga (12/12/07); Hamilton County—Section Bureau (Bureau) through two letters typographical and administrative dated June 25, 2008, and September 12, 8–541, Rules 2 and 9 (11/7/07); and City of 123 Collegedale—Section 8–541, Rules 2 and 9 updates. Specifically, EPA is finalizing 2018. EPA is finalizing approval of (1/22/08); therefore, EPA is not approving any approval of changes to Chattanooga City corresponding Regulations/Ordinances for the 1 Code, Part II, Chapter 4, Section 4–41, EPA received the SIP revisions on July 8, 2008, remaining municipalities. which include updates to Rule 2— and September 18, 2018, respectively. 6 In the February 11, 2020, NPRM (85 FR 7686), 2 The Bureau is comprised of Hamilton County EPA inadvertently misidentified the section and the municipalities of Chattanooga, Collegedale, numbers for: (1) Hamilton County’s Rules 2 and 9, 8 EPA’s approval also includes regulations/ East Ridge, Lakesite, Lookout Mountain, Red Bank, as Section 41; and (2) the City of Collegedale’s ordinances submitted for the other ten jurisdictions Ridgeside, Signal Mountain, Soddy Daisy, and Rules 2 and 9, as Section 14–341. The correct within the Bureau. See supra notes 2 and 5. Walden. The Bureau recommends regulatory section number for both municipalities is Section 9 In the February 11, 2020, NPRM (85 FR 7986), revisions, which are subsequently adopted by the 8–541. EPA inadvertently misidentified the locally eleven jurisdictions. The Bureau then implements 7 Because the air pollution control regulations/ effective dates for: (1) Chattanooga’s Section 4–41, and enforces the regulations, as necessary, in each ordinances adopted by the jurisdictions within the Rule 18, as January 23, 2017; and (2) the City of jurisdiction. Bureau are substantively identical, EPA refers Lakesite’s Section 14–41, Rule 18, as October 17, 3 On January 16, 2020, TDEC submitted, on behalf solely to Chattanooga and the Chattanooga rules 2017. The correct dates are October 3, 2017, and of the Bureau, a letter dated January 15, 2020, throughout the notice as representative of the other November 2, 2017, respectively. providing supplemental information for the jurisdictions for brevity and simplicity. 10 See 62 FR 27968 (May 22, 1997).

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Regulation of Nitrogen Oxides; Rule 9— Order 13132 (64 FR 43255, August 10, Under section 307(b)(1) of the CAA, Regulation of Visible Emissions from 1999); petitions for judicial review of this Internal Combustion Engines, and Rule • Are not an economically significant action must be filed in the United States 18—Prevention of Significant regulatory action based on health or Court of Appeals for the appropriate Deterioration of Air Quality. EPA is safety risks subject to Executive Order circuit by June 1, 2020. Filing a petition approving changes into the Chattanooga 13045 (62 FR 19885, April 23, 1997); for reconsideration by the Administrator portion of the Tennessee SIP because • Are not a significant regulatory of this final rule does not affect the the changes are consistent with section action subject to Executive Order 13211 finality of this action for the purposes of 110 of the CAA. (66 FR 28355, May 22, 2001); judicial review nor does it extend the • Are not subject to requirements of time within which a petition for judicial IV. Statutory and Executive Order Section 12(d) of the National Reviews review may be filed, and shall not Technology Transfer and Advancement postpone the effectiveness of such rule Under the CAA, the Administrator is Act of 1995 (15 U.S.C. 272 note) because or action. These actions may not be required to approve a SIP submission application of those requirements would challenged later in proceedings to that complies with the provisions of the be inconsistent with the CAA; and • enforce its requirements. See section Act and applicable Federal regulations. Do not provide EPA with the 307(b)(2). See 42 U.S.C. 7410(k); 40 CFR 52.02(a). discretionary authority to address, as Thus, in reviewing SIP submissions, appropriate, disproportionate human List of Subjects in 40 CFR Part 52 EPA’s role is to approve state choices, health or environmental effects, using provided that they meet the criteria of practicable and legally permissible Environmental protection, Air the CAA. These actions merely approve methods, under Executive Order 12898 pollution control, Carbon monoxide, state law as meeting Federal (59 FR 7629, February 16, 1994). Incorporation by reference, requirements and does not impose The SIP is not approved to apply on Intergovernmental relations, Lead, additional requirements beyond those any Indian reservation land or in any Nitrogen dioxide, Ozone, Particulate imposed by state law. For that reason, other area where EPA or an Indian tribe matter, Reporting and recordkeeping these actions: has demonstrated that a tribe has requirements, Sulfur oxides, Volatile • Are not a significant regulatory jurisdiction. In those areas of Indian organic compounds. action subject to review by the Office of country, the rule does not have tribal Dated: March 17, 2020. Management and Budget under implications as specified by Executive Mary S. Walker, Executive Orders 12866 (58 FR 51735, Order 13175 (65 FR 67249, November 9, Regional Administrator, Region 4. October 4, 1993) and 13563 (76 FR 3821, 2000), nor will it impose substantial January 21, 2011); direct costs on tribal governments or PART 52—APPROVAL AND • Are not an Executive Order 13771 preempt tribal law. PROMULGATION OF (82 FR 9339, February 2, 2017) The Congressional Review Act, 5 IMPLEMENTATION PLANS regulatory action because SIP approvals U.S.C. 801 et seq., as added by the Small Business Regulatory Enforcement are exempted under Executive Order ■ 1. The authority citation for part 52 Fairness Act of 1996, generally provides 12866; continues to read as follows: • Do not impose an information that before a rule may take effect, the collection burden under the provisions agency promulgating the rule must Authority: 42 U.S.C. 7401 et seq. of the Paperwork Reduction Act (44 submit a rule report, which includes a Subpart RR—Tennessee U.S.C. 3501 et seq.); copy of the rule, to each House of the • Are certified as not having a Congress and to the Comptroller General significant economic impact on a of the United States. EPA will submit a ■ 2. In § 52.2220, paragraph (c), amend substantial number of small entities report containing this action and other table 4 by revising the entries for under the Regulatory Flexibility Act (5 required information to the U.S. Senate, ‘‘Section 4–41, Rule 2,’’ ‘‘Section 4–41, U.S.C. 601 et seq.); the U.S. House of Representatives, and Rule 9,’’ and ‘‘Section 4–41, Rule 18,’’ • Do not contain any unfunded the Comptroller General of the United under the heading ‘‘Article II. Section mandate or significantly or uniquely States prior to publication of the rule in 4–41 Rules, Regulations, Criteria, affect small governments, as described the Federal Register. A major rule Standards’’ to read as follows: in the Unfunded Mandates Reform Act cannot take effect until 60 days after it § 52.2220 Identification of plan. of 1995 (Pub. L. 104–4); is published in the Federal Register. • Do not have Federalism These actions are not a ‘‘major rule’’ as * * * * * implications as specified in Executive defined by 5 U.S.C. 804(2). (c) * * * TABLE 4—EPA-APPROVED CHATTANOOGA REGULATIONS

Adoption State section Title/subject date EPA approval date Explanation

*******

Article II. Section 4–41 Rules, Regulations, Criteria, Standards

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TABLE 4—EPA-APPROVED CHATTANOOGA REGULATIONS—Continued

Adoption State section Title/subject date EPA approval date Explanation

******* Section 4–41 Rule 2 .... Regulation of Nitrogen Oxides ... 12/12/07 April 1, 2020, [Insert citation of EPA’s approval includes the corresponding sections of publication]. the Air Pollution Control Regulations/Ordinances for the following jurisdictions within the Chattanooga- Hamilton County Air Pollution Control Bureau, which were locally effective as of the relevant dates below: Hamilton County—Section 8–541, Rule 2 (11/7/07); and City of Collegedale—Section 8–541, Rule 2 (1/ 22/08).

******* Section 4–41 Rule 9 .... Regulation of Visible Emissions 12/12/07 April 1, 2020, [Insert citation of EPA’s approval includes the corresponding sections of from Internal Combustion En- publication]. the Air Pollution Control Regulations/Ordinances for gines. the following jurisdictions within the Chattanooga- Hamilton County Air Pollution Control Bureau, which were locally effective as of the relevant dates below: Hamilton County—Section 8–541, Rule 9 (11/7/07); and City of Collegedale—Section 8–541, Rule 9 (1/ 22/08).

******* Section 4–41 Rule 18 .. Prevention of Significant Deterio- 10/3/17 April 1, 2020, [Insert citation of EPA’s approval includes the corresponding sections of ration of Air Quality. publication]. the Air Pollution Control Regulations/Ordinances for the remaining jurisdictions within the Chattanooga- Hamilton County Air Pollution Control Bureau, which were locally effective as of the relevant dates below: Hamilton County—Section 41, Rule 18 (9/6/17); City of Collegedale—Section 14–341, Rule 18 (10/16/ 17); City of East Ridge—Section 8–41, Rule 18 (10/ 12/17); City of Lakesite—Section 14–41, Rule 18 (11/2/17); City of Red Bank—Section 20–41, Rule 18 (11/21/17); City of Soddy-Daisy—Section 8–41, Rule 18 (10/5/17); City of Lookout Mountain—Sec- tion 41, Rule 18 (11/14/17); City of Ridgeside Sec- tion 41, Rule 18 (1/16/18); City of Signal Mountain Section 41, Rule 18 (10/20/17); and Town of Wal- den Section 41, Rule 18 (10/16/17).

*******

* * * * * Management Agency (FEMA) receives SUPPLEMENTARY INFORMATION: The NFIP [FR Doc. 2020–06583 Filed 3–31–20; 8:45 am] documentation that the community has enables property owners to purchase BILLING CODE 6560–50–P adopted the required floodplain Federal flood insurance that is not management measures prior to the otherwise generally available from effective suspension date given in this private insurers. In return, communities DEPARTMENT OF HOMELAND rule, the suspension will not occur and agree to adopt and administer local SECURITY a notice of this will be provided by floodplain management measures aimed publication in the Federal Register on a at protecting lives and new construction Federal Emergency Management subsequent date. Also, information from future flooding. Section 1315 of Agency identifying the current participation the National Flood Insurance Act of status of a community can be obtained 1968, as amended, 42 U.S.C. 4022, 44 CFR Part 64 from FEMA’s Community Status Book prohibits the sale of NFIP flood [Docket ID FEMA–2020–0005; Internal (CSB). The CSB is available at https:// insurance unless an appropriate public Agency Docket No. FEMA–8623] www.fema.gov/national-flood- body adopts adequate floodplain insurance-program-community-status- management measures with effective Suspension of Community Eligibility book. enforcement measures. The AGENCY: Federal Emergency DATES: The effective date of each communities listed in this document no Management Agency, DHS. community’s scheduled suspension is longer meet that statutory requirement the third date (‘‘Susp.’’) listed in the for compliance with program ACTION: Final rule. third column of the following tables. regulations, 44 CFR part 59. SUMMARY: This rule identifies FOR FURTHER INFORMATION CONTACT: If Accordingly, the communities will be communities where the sale of flood you want to determine whether a suspended on the effective date in the insurance has been authorized under particular community was suspended third column. As of that date, flood the National Flood Insurance Program on the suspension date or for further insurance will no longer be available in (NFIP) that are scheduled for information, contact Adrienne L. the community. We recognize that some suspension on the effective dates listed Sheldon, PE, CFM, Federal Insurance of these communities may adopt and within this rule because of and Mitigation Administration, Federal submit the required documentation of noncompliance with the floodplain Emergency Management Agency, 400 C legally enforceable floodplain management requirements of the Street SW, Washington, DC 20472, (202) management measures after this rule is program. If the Federal Emergency 212–3966. published but prior to the actual

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suspension date. These communities Each community receives 6-month, under the criteria of section 3(f) of will not be suspended and will continue 90-day, and 30-day notification letters Executive Order 12866 of September 30, to be eligible for the sale of NFIP flood addressed to the Chief Executive Officer 1993, Regulatory Planning and Review, insurance. A notice withdrawing the stating that the community will be 58 FR 51735. suspension of such communities will be suspended unless the required Executive Order 13132, Federalism. published in the Federal Register. floodplain management measures are This rule involves no policies that have In addition, FEMA publishes a Flood met prior to the effective suspension federalism implications under Executive Insurance Rate Map (FIRM) that date. Since these notifications were Order 13132. identifies the Special Flood Hazard made, this final rule may take effect Executive Order 12988, Civil Justice Areas (SFHAs) in these communities. within less than 30 days. Reform. This rule meets the applicable The date of the FIRM, if one has been National Environmental Policy Act. standards of Executive Order 12988. published, is indicated in the fourth FEMA has determined that the column of the table. No direct Federal community suspension(s) included in Paperwork Reduction Act. This rule financial assistance (except assistance this rule is a non-discretionary action does not involve any collection of pursuant to the Robert T. Stafford and therefore the National information for purposes of the Disaster Relief and Emergency Environmental Policy Act of 1969 (42 Paperwork Reduction Act, 44 U.S.C. Assistance Act not in connection with a U.S.C. 4321 et seq.) does not apply. 3501 et seq. flood) may be provided for construction Regulatory Flexibility Act. The List of Subjects in 44 CFR Part 64 or acquisition of buildings in identified Administrator has determined that this SFHAs for communities not rule is exempt from the requirements of Flood insurance, Floodplains. participating in the NFIP and identified the Regulatory Flexibility Act because Accordingly, 44 CFR part 64 is for more than a year on FEMA’s initial the National Flood Insurance Act of amended as follows: FIRM for the community as having 1968, as amended, Section 1315, 42 flood-prone areas (section 202(a) of the U.S.C. 4022, prohibits flood insurance PART 64—[AMENDED] Flood Disaster Protection Act of 1973, coverage unless an appropriate public 42 U.S.C. 4106(a), as amended). This body adopts adequate floodplain ■ 1. The authority citation for Part 64 prohibition against certain types of management measures with effective continues to read as follows: Federal assistance becomes effective for enforcement measures. The Authority: 42 U.S.C. 4001 et seq.; the communities listed on the date communities listed no longer comply Reorganization Plan No. 3 of 1978, 3 CFR, shown in the last column. The with the statutory requirements, and 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, Administrator finds that notice and after the effective date, flood insurance 3 CFR, 1979 Comp.; p. 376. public comment procedures under 5 will no longer be available in the § 64.6 [Amended] U.S.C. 553(b), are impracticable and communities unless remedial action unnecessary because communities listed takes place. ■ 2. The tables published under the in this final rule have been adequately Regulatory Classification. This final authority of § 64.6 are amended as notified. rule is not a significant regulatory action follows:

Date Certain Federal Community Effective date authorization/cancellation of Current effective assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs

Region I Connecticut: North Stonington, Town of, New Lon- 090101 September 15, 1975, Emerg; April 3, 1985, April 3, 2020 ..... April 3, 2020. don County. Reg; April 3, 2020, Susp. Stonington, Town of, New London 090106 May 28, 1975, Emerg; September 30, 1980, ...... do * ...... Do. County. Reg; April 3, 2020, Susp. Voluntown, Town of, New London 090143 July 17, 1975, Emerg; June 3, 1988, Reg; ...... do ...... Do. County. April 3, 2020, Susp. Rhode Island: Charlestown, Town of, Washington 445395 October 30, 1970, Emerg; July 13, 1972, ...... do ...... Do. County. Reg; April 3, 2020, Susp. Coventry, Town of, Kent County ...... 440004 November 21, 1973, Emerg; September 1, ...... do ...... Do. 1978, Reg; April 3, 2020, Susp. Exeter, Town of, Washington County ... 440032 February 4, 1976, Emerg; March 1, 1982, ...... do ...... Do. Reg; April 3, 2020, Susp. Hopkinton, Town of, Washington Coun- 440028 September 8, 1975, Emerg; March 16, ...... do ...... Do. ty. 1981, Reg; April 3, 2020, Susp. Narragansett, Town of, Washington 445402 September 18, 1970, Emerg; December 3, ...... do ...... Do. County. 1971, Reg; April 3, 2020, Susp. Narragansett Indian Tribe, Tribal Na- 445414 N/A, Emerg; February 14, 2005, Reg; April ...... do ...... Do. tion, Washington County. 3, 2020, Susp. North Kingstown, Town of, Washington 445404 September 18, 1970, Emerg; July 14, 1972, ...... do ...... Do. County. Reg; April 3, 2020, Susp. Richmond, Town of, Washington Coun- 440031 July 7, 1975, Emerg; November 5, 1980, ...... do ...... Do. ty. Reg; April 3, 2020, Susp. South Kingstown, Town of, Washington 445407 September 11, 1970, Emerg; June 23, ...... do ...... Do. County. 1972, Reg; April 3, 2020, Susp.

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Date Certain Federal Community Effective date authorization/cancellation of Current effective assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs

West Greenwich, Town of, Kent County 440037 October 10, 1975, Emerg; January 3, 1986, ...... do ...... Do. Reg; April 3, 2020, Susp. Westerly, Town of, Washington County 445410 August 14, 1970, Emerg; July 28, 1972, ...... do ...... Do. Reg; April 3, 2020, Susp. Region II New Jersey: Belleville, Township of, Essex County.. 340177 June 28, 1973, Emerg; September 28, ...... do ...... Do. 1979, Reg; April 3, 2020, Susp. Bloomfield, Township of, Essex County 340178 May 12, 1972, Emerg; August 15, 1977, ...... do ...... Do. Reg; April 3, 2020, Susp. Caldwell, Borough of, Essex County ..... 340584 April 4, 2000, Emerg; June 4, 2007, Reg; ...... do ...... Do. April 3, 2020, Susp. Cedar Grove, Township of, Essex 340180 March 15, 1974, Emerg; February 1, 1980, ...... do ...... Do. County. Reg; April 3, 2020, Susp. East Orange, City of, Essex County ..... 340181 July 14, 1972, Emerg; February 2, 1977, ...... do ...... Do. Reg; April 3, 2020, Susp. Essex Fells, Borough of, Essex County 340575 July 28, 1975, Emerg; January 2, 1980, ...... do ...... Do. Reg; April 3, 2020, Susp. Glen Ridge, Borough of, Essex County 340183 April 15, 1975, Emerg; April 3, 1984, Reg; ...... do ...... Do. April 3, 2020, Susp. Newark, City of, Essex County...... 340189 November 3, 1972, Emerg; March 28, ...... do ...... Do. 1980, Reg; April 3, 2020, Susp. North Caldwell, Borough of, Essex 340190 May 2, 1975, Emerg; April 3, 1985, Reg; ...... do ...... Do. County. April 3, 2020, Susp. Nutley, Township of, Essex County ...... 340191 June 30, 1972, Emerg; April 15, 1977, Reg; ...... do ...... Do. April 3, 2020, Susp. Orange Township, City of, Essex Coun- 340192 October 2, 1973, Emerg; June 15, 1984, ...... do ...... Do. ty. Reg; April 3, 2020, Susp. Roseland, Borough of, Essex County ... 340193 July 31, 1975, Emerg; September 2, 1981, ...... do ...... Do. Reg; April 3, 2020, Susp. Verona, Township of, Essex County ..... 340195 February 23, 1973, Emerg; February 15, ...... do ...... Do. 1980, Reg; April 3, 2020, Susp. Region III Maryland: Barton, Town of, Allegany County ...... 240002 June 13, 1975, Emerg; September 28, ...... do ...... Do. 1979, Reg; April 3, 2020, Susp. Cumberland, City of, Allegany County .. 240003 January 23, 1974, Emerg; September 1, ...... do ...... Do. 1978, Reg; April 3, 2020, Susp. Frostburg, City of, Allegany County ...... 240004 April 17, 1975, Emerg; December 18, 1979, ...... do ...... Do. Reg; April 3, 2020, Susp. Lonaconing, Town of, Allegany County 240005 June 19, 1975, Emerg; September 28, ...... do ...... Do. 1979, Reg; April 3, 2020, Susp. Midland, Town of, Allegany County ...... 240006 June 2, 1975, Emerg; August 15, 1979, ...... do ...... Do. Reg; April 3, 2020, Susp. Westernport, Town of, Allegany County 240007 February 19, 1975, Emerg; July 16, 1979, ...... do ...... Do. Reg; April 3, 2020, Susp. *-do = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.

Katherine B. Fox, FEDERAL COMMUNICATIONS SUMMARY: In this document, the Federal Assistant Administrator for Mitigation, COMMISSION Communications Commission Federal Insurance and Mitigation (Commission) amends its rules related Administration—FEMA Resilience, 47 CFR Parts 1, 2, 15, 18, 22, 24, 25, to the two methods that may be used for Department of Homeland Security, Federal 27, 73, 90, 95, 97, and 101 determining and achieving compliance Emergency Management Agency. [ET Docket Nos. 03–137 and 13–84, FCC with the Commission’s existing limits [FR Doc. 2020–06495 Filed 3–31–20; 8:45 am] 19–126; FRS 16453] on human exposure to radiofrequency BILLING CODE 9110–12–P (RF) electromagnetic fields: Human Exposure to Radiofrequency Exemption—consideration of whether a Electromagnetic Fields and particular device or deployment is so Reassessment of FCC Radiofrequency clearly compliant, based on criteria in Exposure Limits and Policies the Commission’s rules, that it qualifies AGENCY: Federal Communications as exempt from the requirement to Commission. undertake a more thorough RF exposure analysis—and evaluation—a more ACTION: Final rule. specific examination of an individual

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site or device, which considers factors for people with disabilities (Braille, that reflect potential RF exposure beyond those utilized for exemption and large print, electronic files, audio scenarios. may be performed with a variety of format) by sending an email to fcc504@ • Replaced restrictive and outdated computational and/or measurement fcc.gov or calling the Commission’s provisions that specified only a single methodologies. It also amends the rules Consumer and Governmental Affairs acceptable numerical approach to RF related to an increasingly important part Bureau at (202) 418–0530 (voice), (202) exposure evaluation, with provisions of demonstrating and maintaining RF 418–0432 (TTY). allowing the use of any valid exposure compliance: mitigation—the computational method to determine RF Synopsis restriction from or limitation of RF exposure levels; allowed parties to make exposure in controlled areas to keep RF I. Introduction ad hoc requests for use of other RF exposure within the Commission’s 1. On March 27, 2013, the exposure evaluation methods whose established limits by, for example, using Commission adopted a First Report and reliability and validity can be signs or barriers. The amended rules are Order (First RF Report and Order), substantiated. • intended to provide more efficient, Further Notice of Proposed Rulemaking Removed from § 2.1093(d) of the practical, and consistent RF exposure (2013 RF Further Notice), and Notice of Commission’s rules the 5-cm minimum evaluation procedures and mitigation Inquiry (2013 RF Inquiry) in this separation specification for measures to help ensure compliance proceeding, 78 FR 33654, June 4, 2013. measurements and calculations used to with the existing RF exposure limits. In the 2019 Second Report and Order, demonstrate RF exposure compliance The amended rules replace the various the Commission simplified the for devices that operate above 6 GHz. • inconsistent service-specific criteria for regulatory framework for determining Established more specific post- exempting parties from performing an compliance with the Commission’s evaluation RF exposure mitigation evaluation to demonstrate compliance existing RF exposure limits by measures that include access control, with the RF exposure limits with new, providing more efficient, practical, and signage, and training requirements for streamlined criteria. The amended rules consistent RF exposure exemption transmitter sites where RF exposure also allow the use of any valid criteria, evaluation procedures, and limits may be exceeded to help ensure computational method to determine mitigation measures to help ensure that persons are not exposed to RF potential RF exposure levels, remove compliance with the RF exposure limits. emissions that exceed the Commission’s the minimum evaluation distance In the 2019 Memorandum Opinion and established RF exposure limits. requirement for frequencies above 6 Order, the Commission affirmed its II. Discussion GHz, and establish post-evaluation RF decision in the First RF Report and exposure mitigation procedures (e.g., Order to classify in its rules the pinna Second Report and Order signage), to help ensure that persons are (outer ear) as an extremity for RF 2. In the 2019 Second Report and not exposed to RF emissions in excess exposure compliance testing. In the Order, the Commission amended parts of the existing limits. The Commission 2019 Termination of Notice of Inquiry, 1, 2, 15, 18, 22, 24, 25, 27, 73, 90, 95, also affirms its prior decision to classify the Commission terminated the 2013 RF 97, and 101 of its rules to simplify the the pinna (outer ear) as an extremity in Inquiry that sought comment on the procedures for determining compliance RF exposure compliance testing, finds efficacy and propriety of the with the Commission’s existing RF no appropriate basis for and thus Commission’s existing guidelines and exposure limits to help ensure declines to propose amendments to policies for limiting RF exposure to consistent compliance with those limits. existing RF exposure limits at this time, humans, finding no appropriate basis These actions are described in greater and terminates the inquiry in which it for and thus declining to propose detail below. sought comment on the Commission’s amendments to existing limits at this A. Exemptions From the RF Exposure existing guidelines for limiting RF time. The following are the major Evaluation Requirement exposure to humans. actions that the Commission took in the DATES: Effective June 1, 2020. 2019 Second Report and Order to 3. As proposed in the 2013 RF Further FOR FURTHER INFORMATION CONTACT: simplify the Commission’s RF exposure Notice and supported in the record, the Martin Doczkat, email: martin.doczkat@ evaluation procedures and mitigation Commission revised the various service- fcc.gov; the Commission’s RF Safety measures and apply them consistently: specific criteria for exemption (formerly Program, [email protected]; or call the • Created three broad categories for termed exclusion) from performing an Office of Engineering and Technology at exemption from the RF exposure RF exposure evaluation, to set forth a (202) 418–2470. evaluation requirements for all fixed, single, generally-applicable set of SUPPLEMENTARY INFORMATION: This is a mobile, and portable RF sources, based formulas based on power, separation summary of the Commission’s Second on power, separation distance distance, and frequency of fixed, Report and Order, Memorandum (minimum distance in any direction mobile, and portable transmitters that Opinion and Order, and Termination of from any part of a radiating structure to are applicable to both single and Notice of Inquiry, ET Docket No. 03– any part of the human body), and multiple sources of RF emissions, and 137, ET Docket No. 13–84, FCC 19–126, frequency, that provide for both single- adopted a set of technical definitions adopted November 27, 2019 and and multiple-transmitter cases and treat related to output power and separation released December 4, 2019. The full text like sources similarly regardless of the distance. The Commission adopted of this document is available for public underlying service; adopted the term three broad classes of RF exemptions: inspection and copying during normal ‘‘exemption’’ to replace ‘‘exclusion’’ for (1) For extremely low-power devices business hours in the FCC Reference this topic. that transmit at no more than 1 mW; (2) Center (Room CY–A257), 445 12th • Added to § 1.1307(b) of the for somewhat higher-power devices Street SW, Washington, DC 20554, or by Commission’s rules a set of technical with transmitting antennas that downloading the text from the definitions related to output power, normally operate within 0.5 cm to 40 Commission’s website at https:// separation distance, RF exposure cm of the human body in the frequency www.fcc.gov/edocs/daily-digest/2019/ scenarios and sources, and categories for range between 300 MHz and 6 GHz, a 12/05. Alternative formats are available specifying RF safety program actions formula based primarily on the

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localized specific absorption rate (SAR) are not spatially removed from publicly adopted a blanket RF exposure limits; and (3) for all other transmitters, accessible areas at similar heights. To evaluation exemption for a single based on a set of formulas for maximum achieve consistently reliable compliance transmitter operating with up to 1 mW permissible exposure (MPE) limits. The with the existing RF exposure limits, the of time-averaged available (matched new exemption criteria apply to all of Commission decided that these sorts of conducted) power, irrespective of the the Commission’s rules authorizing RF installations warrant an affirmative separation distance from the human sources. Under the new rules, every determination of compliance with the body. The 1-mW exemption is applicant for equipment authorization RF exposure requirements. independent of service type and covers and every licensee prior to deployment 1. Exemption Criteria—Single RF the full frequency range from 100 kHz or commencement of operations may Source. to 100 GHz, but it may not be used in determine whether the device or 5. A single RF source will be exempt conjunction with other exemption transmitter falls under one of the classes from RF exposure evaluation under any criteria, or in devices with higher-power of exemptions. If the device or one of three circumstances: (1) The RF transmitters operating in the same time- transmitter falls under one of these source transmits at no more than 1 mW averaging period. The 1-mW blanket classes of exemption, no additional time-averaged available (matched exemption applies for any separation action is necessary. If not, the applicant conducted) power; (2) the RF source is distance, including distances of less or licensee will have to perform a normally separated between 0.5 and 40 than 0.5 cm and where there is no routine evaluation to determine cm from the human body, in the separation, e.g., medical implant compliance with the existing RF frequency range between 300 MHz and devices. exposure limits. The Commission 6 GHz, and transmits at no more than reasoned that this new process would the average power threshold result from 7. SAR-Based Exemption. For fixed, not impose any significant burdens on the formula the Commission adopted mobile, and portable RF sources near a impacted parties since the underlying based on the localized SAR limits; or, human body, where the separation exposure rules and parties’ obligations (3) for all other fixed, mobile, and distance is normally between 0.5 and 40 under the rules remain the same; the portable transmitters, the RF source cm and may be less than l/2p, the new rules only modify the process used transmits at no more than the average Commission adopted the new RF to demonstrate compliance. power threshold result from the set of exposure evaluation exemption formula 4. In response to comments that the formulas the Commission adopted based shown here for time-averaged power rule changes are unnecessary and will on the MPE limits at separation thresholds (specified in mW) for be burdensome and some parties may distances from any part of the radiating exemption of single portable, mobile, lose their service-based exemptions, the structure of at least l/2p (RF signal free- and fixed RF sources at 0.3–6 GHz. A Commission noted that unlike in the space wavelength divided by 2p) in all source is exempt if each of the past, fixed RF communications service categories. maximum time-averaged available equipment is now located on rooftops 6. 1-mW Blanket Exemption. For (matched conducted) power and that are accessible to the public and on extremely low-power fixed, mobile, and effective radiated power (ERP) is no other structures near ground level that portable RF sources, the Commission more than:

8. The formula provides, as a function exposure evaluation. It applies to fixed, is applicable in the frequency range of separation distance and frequency, a mobile, and portable RF sources in any from 300 MHz through 6 GHz. The SAR- threshold power below which a single service at a separation distance between based thresholds are derived based on RF source is exempt from further RF 0.5 cm and 40 cm from the body, and the frequency, power, and separation

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distance of the RF source. The formula and flat phantoms as a starting point for evaluation. In cases where ERP is not defines the thresholds in general for modeling, and is applicable to the same well defined, the available maximum either available maximum time- frequency range as the SAR exemption time-averaged power may be used if the averaged power or maximum time- formula (300 MHz–6 GHz), the device antenna(s) or radiating averaged ERP, whichever is greater. Commission determined that the IEC structure(s) does not exceed an 9. If the ERP of a device is not easily standard departs significantly regarding electrical length of l/4. The separation determined, such as for a portable the applicable range of separation distance R is the smallest distance from device with a small form factor, distances and use of bandwidth, with an any part of the antenna or radiating available maximum time-averaged increased complexity in the resulting structure to all persons, including those power (i.e., maximum power delivered formulas. In addition, the IEC model occupationally exposed, during into a matched antenna, considering does not directly incorporate antenna operation at the applicable ERP. In the line loss or any other loss that directivity and states that it may not case of mobile or portable devices, the diminishes the power delivered to an apply to devices with highly directive separation distance R is from the outer antenna) may be used exclusively if the antennas. To maintain simplicity, the housing of the device where it is closest device antenna or radiating structure Commission limited the exemptions to to the antenna. At sites with multiple does not exceed an electrical length of those based solely on the relationship of fixed transmitters, or multiple mobile or l/4. A coherent phased array of antenna power (both available or matched power portable transmitters within the same elements is to be treated as a single and ERP), separation distance, and device, the formulas would be applied antenna or RF source with separation frequency, without other inputs—such in conjunction with the summations distance determined from the nearest as antenna pattern or bandwidth—that discussed in the section below on RF antenna element. would effectively render an exemption Exposure Evaluation Exemption 10. For devices with antennas of determination as complex as an Criteria—Multiple RF Sources. length greater than l/4 where the gain evaluation. It concluded that additional 14. The criteria shown in Table 2 is not well-defined but always less than complexity in the exemptions from apply at separation distances from any that of a half-wave dipole, the available additional inputs would result in part of the radiating structure of at least maximum time-averaged power regulations that were of little or no l/2p; if R is less than l/2p and other generated by the device may be used in practical utility as a simple exemption exemptions do not apply, evaluation is place of the maximum time-averaged protocol; additional factors could be required. Since l/2p is greater than 20 ERP, in situations where that ERP value considered as needed or appropriate in cm at frequencies below 239 MHz, these is not known. This would apply, for a more thorough evaluation to exemption criteria do not apply to instance, to ‘‘leaky’’ coaxial distribution demonstrate compliance. The portable devices that are operated both systems, RF heating equipment, and Commission also declined to extend the at less than 20 cm from the human body other typically unintentionally radiating SAR-based exemption formula from 0.5 and at frequencies below 239 MHz. In or Industrial, Scientific and Medical cm to 0 cm because there is no modeling general, less restrictive SAR-based (ISM) devices. The SAR-based data that validates such an extension. exemption criteria may be used in exemption threshold, Pth, is defined in accordance with the formulas specified 12. MPE-Based Exemption. To terms of maximum time-averaged power in Table 2, but these SAR-based support an exemption from further and in accordance with the source- exemptions are not valid below 300 evaluation for frequencies from 300 kHz based time-averaging requirements MHz. Thus, there are no exemption through 100 GHz, the Commission also described in § 2.1093(d)(5) of the rules. criteria below 239 MHz for portable adopted general frequency and Time-averaged power measurements are devices (or for any antenna at less than necessary to determine if the maximum separation-distance dependent MPE- 20 cm), other than the 1 mW blanket output of a transmitting antenna (ERP) based ERP thresholds as shown below exemption. or matched conducted transmitter in Table 2. The values in Table 2 apply 15. The Commission declined to power is above the proposed threshold to any single RF source (i.e., fixed, adopt commenters’ suggestions to adjust for exemption from routine SAR mobile, and portable transmitters) and the formulas to more readily exempt evaluation. The Commission’s Office of specify power and separation distance transmitters mounted on dedicated, Engineering and Technology (OET) will criteria for each of the five frequency access-controlled wireless support publish in its Knowledge Database ranges used for the MPE limits. structures in the frequency range 300 (KDB) the power measurement and SAR MHz to 3 GHz because simply being test procedures necessary to TABLE 2—SINGLE RF SOURCES SUB- building-mounted does not preclude demonstrate compliance with the RF JECT TO ROUTINE ENVIRONMENTAL persons from having access to the area exposure limits. EVALUATION UNDER MPE-BASED near an antenna, particularly when 11. While commenters supported the EXEMPTIONS mounted low to the ground or in other basic idea of a uniform formula for an accessible locations. The actual distance SAR exemption, several commenters Transmitter Threshold ERP from potential human presence should disagreed with the proposed formula, frequency (watts) be taken into consideration. The contending it was overly conservative (MHz) Commission rejected a commenter’s and inconsistent with the operation of 0.3–1.34 ...... 1,920 R2 proposal to relax the standard for current devices. Instead, parties 1.34–30 ...... 3,450 R2/f2 transmitters located on structures where supported use of the International 30–300 ...... 3.83 R2 access can be more readily controlled Electrotechnical Commission’s (IEC’s) 300–1,500 ...... 0.0128 R2f since spaces adjacent to such a structure standard IEC 62479 (2010), which 1,500–100,000 19.2 R2 may be readily accessible, rendering the provides alternative recommendations Note: R is in meters and f is in MHz. transmitter appropriate for an for exemption of low-power devices evaluation. It also rejected a based on SAR. For several reasons, the 13. An RF source with ERP equal to commenter’s proposal to add a modified Commission was not persuaded that the or less than the Threshold ERP specified exemption formula that would apply IEC standard was appropriate. Even in Table 2 for the source frequency between 400 MHz and 3 GHz because it though the IEC’s standard uses dipoles would be considered exempt from found that the formula was based on

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inappropriate assumptions and could 17. Use of Summation Formulas. In multiple transmitters in a single device not ensure compliance with the situations where RF exposure is and to multiple fixed transmitters, as Commission’s RF exposure limits. generated from multiple sources at the explained below. 16. 1-mW Exemption. For multiple same time, all such sources are 18. Multiple RF Sources with Fixed sources inside a single device, each of considered in aggregate to determine Physical Relationship. To address the which is capable of no more than 1-mW, compliance with the exposure limits. potential exposure from multiple the Commission adopted a minimum 2- The Commission decided that the SAR- simultaneously operating RF sources cm separation distance between and MPE-based exemptions from RF with a fixed physical relationship, the antennas that operate in the same time- exposure evaluation may be used along Commission adopted the summation averaging period, as proposed in the with known existing exposure levels to 2013 RF Further Notice. In other words, exempt multiple RF sources. This is formula shown below for all RF sources, if there are two or more RF sources accomplished by normalizing each regardless of whether portable, mobile, inside a single device operating at the source power level to each matching or fixed, rather than its proposals in the same time and the nearest parts of the exemption threshold power and 2013 RF Further Notice, which provided antenna structures are separated by less determining whether the total of all the different formulas for portable, mobile, than 2 cm, the 1-mW exemption will not normalized powers is no more than 1. and fixed transmitters. For sites or apply. However, if the sum of multiple (Normalization here means dividing an devices with multiple transmitters, the sources is less than 1 mW during the RF source power level by the summation formula shown below will time-averaging period, they may be corresponding exemption threshold determine whether multiple treated as a single source (separation is power.) In addition, if pre-existing transmitters using the single transmitter not required), and exempted exposure levels are known, they may formulas are collectively exempt from accordingly. As with the exemption for also be normalized to the exposure evaluation. This formula includes three a single RF source, this exemption limits to determine the remaining summation terms, the first two of which cannot be used in conjunction with margin available for exemption of are summations for the exemptions, the other exemption criteria, and medical additional sources to demonstrate third is to account for exposure from implant devices may use only this 1- compliance with the limit. These existing evaluations, which is described mW exemption. concepts are applied to the antennas of in more detail below.

Where: Exposure Limitk equals either the general reduces the allowable margin remaining a equals the number of fixed, mobile, or population/uncontrolled maximum for exemption at the location of interest portable RF sources claiming exemption permissible exposure (MPE) limit or (e.g., 20 cm for mobile RF sources). All using the Table 1 formula for Pth, specific absorption rate (SAR) limit for transmitters must be considered, and all including existing exempt transmitters each fixed, mobile, or portable source, as and those being added. applicable. transmitters that can operate at the same b equals the number of fixed, mobile, or time must be included in the portable RF sources claiming exemption 19. The normalized contributions to summation of multiple transmitters. If a using the applicable Table 2 formula for the total exemption threshold can be transmitter is subsequently proposed to Threshold ERP, including existing determined by calculating for each RF be added under the Commission’s exempt transmitters and those being source, whether mobile, portable, or permissive change authorization added. fixed, the ratio of the maximum time- procedures for portable or mobile c equals the number of existing fixed, mobile, devices, a new calculation must be or portable RF sources with known averaged power (matched conducted evaluation for the specified minimum power or ERP, as appropriate) for the made including the additional distance. transmitter, comparing it to the transmitter. Pi equals the available maximum time- appropriate frequency- and distance- 20. In response to a commenter’s averaged power or the ERP, whichever is dependent threshold, using the formula suggestion that the Commission greater, for a fixed, mobile, or portable above for either time-averaged power incorporate further technical definitions RF source i at a distance between 0.5 cm thresholds (mW) for exemption of single in its rules for terms used in the and 40 cm (inclusive). portable, mobile and fixed RF sources, summation formula beyond those Pth,i equals the exemption threshold power or Table 2, and summing those ratios. If proposed in the 2013 RF Further Notice, (Pth) according to the Table 1 formula for a fixed, mobile, or portable RF source i. the ratios for all transmitters in a device the Commission added definitions of operating in the same time-averaging ‘‘available maximum time-averaged ERPj equals the available maximum time- averaged power or the ERP, whichever is period are included in the total sum and power,’’ ‘‘effective radiated power greater, of a fixed, mobile, or portable RF this sum is no more than 1 (i.e., 100 (ERP),’’ and ‘‘time-averaging period’’ to source j. percent), the cumulative contributions its rules. However, because the ERPth,j equals the exemption threshold ERP do not exceed the permissible limit and Commission’s exemptions do not rely for a fixed, mobile, or portable RF source a location at a site or the device (i.e., all on delivered power but available power, j, at a distance of at least l/2p, according transmitters within the device) are it declined to adopt a definition for to the applicable Table 2 formula at the exempt from routine evaluation. The ‘‘delivered maximum time-averaged location in question. basic exemption criteria are contained power.’’ The Commission clarified that Evaluatedk equals the maximum reported SAR or MPE of fixed, mobile, or portable in the P and ERP summation terms, the delivered maximum time-averaged RF source k either in the device or at the while the Evaluated/Exposure Limit power would be the largest net power transmitter site from an existing sum accounts for the preexisting delivered or supplied to an antenna, as evaluation. exposure levels and correspondingly averaged over a time period not to

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exceed 30 minutes for fixed sources, or portable devices or between such record, the Commission removed as averaged over a time period inherent devices and fixed transmitters, and none provisions from its rules that specified from the device transmission were recommended by commenters. only one acceptable numerical approach characteristics for mobile and portable 23. Although commenters raised to RF exposure evaluation and instead sources (also not to exceed 30 minutes). concerns about the impact of allowed any valid computational 21. To account for simultaneous cumulative RF exposure, the method to be used. The Commission transmissions while allowing for short Commission found that consideration of replaced the restrictive rules with time-averaging periods for non- the typical spatial separation between guidance documents, such as in OET overlapping transmissions, the RF sources diminishes the practical Bulletins and the KDB, which describe Commission included short time- relevance of multiple spatially acceptable methods for certain averaging periods for non-overlapping uncorrelated transmitters. Since applications. Plus, the Commission transmissions in its rules. It also exposure from fixed RF sources decided that parties can make ad hoc clarified that multiple source diminishes rapidly with distance and requests for use of other methods whose summations require time averaging over signal losses due to non-line-of-sight reliability and validity they can an averaging period during which the conditions, the Commission expects that substantiate to the satisfaction of maximum power is being transmitted, exposure from portable or mobile Commission staff. Also as proposed, the provided that summations (or devices near a person’s body would Commission eliminated a minimum measurements) performed using a generally be overwhelmingly more measurement distance of 5 cm for shorter time-averaging period significant. The exposure from each devices operating above 6 GHz, since correspond to the maximum aggregate portable or mobile device near a person that requirement appears to have been time-averaged SAR or power density of will generally be highly localized and rendered obsolete by technological the multiple transmitters being summed involve low total power absorption. The developments and is no longer (i.e., accounting for maximum duty Commission expects that the locations necessary. cycle, maximum transmitted power, of maximum SAR in the body from 26. Consistency of Usage of Any Valid overlapping transmission, etc.). Also, these portable and mobile RF sources Method for SAR Computation. As short time-averaging periods (e.g., over are highly unlikely to overlap, and also proposed in the 2013 RF Further Notice one pulse at maximum power) may be that total power absorption will not and supported in the record, the selected to conservatively determine result in significant contribution to Commission modified the language in power and avoid the need to sum whole-body average SAR. Thus, for §§ 1.1307(b)(2)(iv) and 95.1221 of the powers from multiple transmitters when multiple exempt RF sources without an rules by removing references to the transmissions from the different inherent spatial relationship, regardless finite difference time domain (FDTD) transmitters do not overlap in time. The of their classification as fixed, mobile, method for SAR computation and values for Pi, ERPj, and Evaluatedk, or portable, the Commission concluded allowed any valid computational where applicable, are determined that it is very highly unlikely the method supported by adequate according to the source-based time localized or whole-body SAR limits documentation and consistent results to averaging requirements of would be exceeded. The Commission be used. In response to commenters’ §§ 2.1093(d)(5) and 2.1091(d)(2) of the concluded that the summation of suggestion for increased reliance on rules, and the sum of those values potential exposure due to spatially field measurements for fixed sites rather conservatively represents the total uncorrelated sources should not be than computation because of concerns calculated exposure. The summation routinely required and is consistent that SAR computation would formula may be used even if some of the with all known compliance activities to underestimate exposure, the three terms do not apply (i.e., where date. Commission noted that computational those terms would be zero). To the methods for transmitter facilities tend to B. Environmental Evaluation extent that overlapping transmissions be more restrictive than measurements may vary among individual products 24. Where an exemption cannot be since they use maximum power and and host configurations, the invoked, a routine environmental other conservative assumptions. Since Commission noted that applicants may evaluation—described in the such methods provide a simpler, less want to consult device-specific Commission’s rules as a ‘‘determination burdensome means of demonstrating procedures developed by the FCC of compliance’’—must be performed for compliance, the Commission decided Laboratory addressing the details of how fixed transmission sites where the that computational methods will be to conduct evaluations and determine exemptions are not met to ensure that permitted where they can be compliance with the RF exposure limits. the RF exposure limits are not exceeded successfully invoked. In response to a 22. RF Sources without Fixed Physical in places that are accessible to humans. commenter’s suggestion that software Relationships. As proposed in the 2013 In most cases, such an evaluation is developers be given guidance about the RF Further Notice, the Commission simple and generic and does not require requirements for valid computational decided not to require applicants to a determination of the precise exposure software, the Commission directed the account for multiple RF sources that level, only that it can be determined Commission’s OET to provide guidance have no fixed positional relationship from available information that it must on acceptable methods of computation between or among each other when be less than the Commission’s limits. In via the KDB. determining the availability of an other cases, the evaluation may require 27. Removal from Rules of Minimum exemption, as is typically the case more precision regarding transmitter Evaluation Distance Requirement for between a mobile and a broadcast power and antenna distance from Frequencies Above 6 GHz. To better antenna or other fixed source, or human-accessible spaces and, simulate RF exposure in typical between two mobile sources. There is potentially, may be the basis for situations, the Commission also no practical method to quantitatively determining necessary measures to deter eliminated from § 2.1093(d) of its rules establish exemption for multiple RF humans from entering otherwise a minimum measurement distance of 5 sources where there is no definite accessible locations (i.e., mitigation). cm for measurements and calculations positional relationship between sources, 25. As proposed in the 2013 RF used to demonstrate RF exposure such as between multiple mobile/ Further Notice and supported in the compliance for devices operating above

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6 GHz. The Commission emphasized exercise control over his or her work- regarding RF exposure areas are that applicants must provide specific related exposure. unnecessary and burdensome and justification for measurement distances 30. Thus, the occupational exposure ultimately would not be practical or used in compliance testing, describing limits apply only if a person has been effective, the Commission maintained the normal and feasible use(s) of the trained and has sufficient information to that the supervision requirement is device. Equipment certification review be fully aware of nearby RF sources and reasonable since a new employee would will specifically include evaluation of the necessity and means of avoiding be made aware of areas where exposure the propriety of this specification, overexposure. To satisfy the could exceed the limits as part of his/ including any measures that may be requirement to present written or verbal her supervised orientation. The taken to ensure that it is maintained. information to untrained transient Commission agreed with commenters 28. Technical Evaluation References individuals within controlled that third-party workers who perform in Rules. As proposed in the 2013 RF environments, the Commission affirmed tasks near RF sources should be trained Further Notice, the Commission that written information may include and not considered transient. It also removed the reference to IEEE Standard signs, maps, or diagrams showing where agreed that transient provisions are not C95.3–1991 from § 24.51(c) of its rules exposure limits are exceeded, and to be used with any regularity and as a possible SAR evaluation reference, verbal information may include would not apply to persons (e.g., tree instead relying on publications in the prerecorded messages. trimmers, window washers, etc.) KDB for providing guidance on 31. The Commission declined to expected to be in locations for extended technical evaluation procedures and adopt its proposal that transient periods where the general population standards. The Commission also exposure should not exceed the RF limits are exceeded, nor to persons determined that the FCC Laboratory’s continuous occupational limit, listed in who traverse such areas on a regular current process of issuing draft versions § 1.1310, at any time, since it agreed basis. All such persons must receive of KDB guidance documents, engaging with a commenter that such a limit appropriate training. manufacturers and other affected would result in a more restrictive 34. Signage and Access Control. To entities early in the revision process, exposure limit for transient individuals the extent that required signs are used and providing flexibility and harmony than for the general public, for which to warn workers so they are protected with existing standards effectively there is no temporal peak limit. The from RF exposure levels that exceeds address the commenters’ concerns about Commission also agreed with the Commission’s limits, the the process and transparency of commenters that its current rules Commission decided that the following developing KDB documents. Regarding limiting exposure for all populations do information must be included in such OET Bulletins 56 and 65, the not specify a cap at any peak value signs: Commission decided to eliminate above the continuous limits. As long as • RF energy advisory symbol (e.g., Bulletin 56 in deference to more current the average over any applicable time- Figure A.3 of IEEE Standard C95.2– material on the same subject on the averaged period provided in the rules is 1999) Commission’s website, and that compliant with the continuous general • A description of the RF source (e.g., Commission staff will maintain and population limit, a transient individual transmitting antennas) update OET Bulletin 65 as a standalone walking in a controlled area may be • Behavior necessary to comply with document available for download. exposed above the general population limit in one location and below this the exposure limits (e.g., do not climb C. Mitigation Measures To Ensure limit in another location—how much tower unless you know that antennas Compliance With Exposure Limits above that limit an instantaneous are not energized; stay behind barrier 29. Transient Exposure. In the 2019 or off of markings) exposure is permitted is not defined in • Second Report and Order, the the rules. Up-to-date contact information (e.g., Commission adopted its proposal to 32. Despite a commenter’s concern monitored phone number or email define transient exposure as the brief RF about the use of the term ‘‘general address connected to someone with exposure in a controlled environment population’’ in conjunction with authority and capability to provide that does not exceed the general ‘‘controlled,’’ the Commission was not prompt response) population limit, which may be convinced by the concern over how the 35. As proposed in the 2013 RF averaged over a time interval up to 30 terminology should be applied, or that Further Notice and supported in the minutes (shorter averaging times are it was potentially introducing a third record, the Commission adopted four generally more conservative and may be exposure category. The Commission categories for specifying RF safety used for convenience during noted that there are only two sets of program actions that reflect potential RF evaluation). The rules the Commission limits—those which apply to exposure scenarios, analogous to the adopted require, for controlled areas supervised/trained workers (in an categories in the Institute of Electrical where the general population limit is occupational setting) and those which and Electronics Engineers (IEEE) exceeded, access controls and apply to the general population (which Standard C95.7–2014—‘‘IEEE appropriate signage in addition to includes unsupervised and untrained Recommended Practice for Radio supervision of transient individuals by workers). The environment in which Frequency Safety Programs, 3 kHz to trained occupational specialists. The these exposures occur defines whether 300 GHz.’’ Commission found no basis for the exposure is in a controlled or 36. Category One applies to locations permitting exposure of any untrained uncontrolled setting. Because the where the operational characteristics of individuals—regardless of whether they Commission also adopted requirements RF sources would not cause the are workers—greater than the general for implementing RF safety programs at exposure limit for the general population exposure limit. The fixed sites, the only situation where population to be exceeded even with applicability of occupational limits transient exposure would be relevant continuous or with source-based time- requires that a person be fully aware would be in a controlled setting. averaged exposure. Category One signs (e.g., training has been provided, 33. Despite commenters’ arguments are optional and will show a green warning signs detailing the nature of the that the Commission’s requirements for ‘‘INFORMATION’’ heading and may be hazard have been posted) and able to transient individuals to be supervised used to offer information to the public

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that a transmitting RF source is nearby time averaging would be required for power reduction, and therefore Category but that it is compliant with the transient individuals in the area where reduction, are not feasible, then the Commission’s RF exposure limits the continuous general population lockout/tagout procedures specified in regardless of duration or usage. Category exposure limit is exceeded. Though not 29 CFR 1910.147 must be used. One signs could include the following: required, use of personal RF monitors in 39. Category Four applies to locations • An explanation of safety the areas where the general population where the exposure limit for precautions to be observed when closer exposure limit is exceeded is an option occupational personnel would be to the antenna than the information sign likely to ensure compliance. exceeded by more than a factor of ten, (where applicable) 38. Category Three applies to or where there is a possibility for • Reminder to obey all postings and locations where the exposure limit for serious contact injury, such as a severe boundaries (if higher categories are occupational personnel would be burn, permanent tissue damage, or nearby) exceeded potentially by up to a factor of shock. Where the occupational limit • Up-to-date contact information (if ten. Category Three requires signs with could be exceeded by a more than factor higher categories are nearby) the appropriate signal word of ten, ‘‘WARNING’’ signs in orange • Place to get additional information ‘‘CAUTION’’ in yellow color, and color are required. ‘‘DANGER’’ signs in (such as a website, if no higher control or indicators (e.g., chains, red color are required where immediate categories are nearby) railings, contrasting paint, diagrams), in and serious injury will occur on contact, 37. Category Two signs and positive addition to the positive access control in addition to positive access control. access controls are required where the established for Category Two, For example, ‘‘DANGER’’ signs are continuous exposure limit would be surrounding the area in which the required at the base of AM broadcast exceeded for the general population, but exposure limit is exceeded. The towers where serious injuries due to not for occupational personnel. Category Commission allowed, under certain contact burns may occur. If a power Two signs must have the signal word controlled conditions, that a sign may reduction would not sufficiently protect ‘‘NOTICE’’ in blue color. Under certain be attached directly to the antenna. A against the relevant exposure limit in controlled conditions, such as on a label affixed to an antenna will be the event of human presence, lockout/ rooftop with limited access (e.g., a considered sufficient only if it is tagout procedures must be followed to locked door with appropriate signage or readable from the direction of approach ensure human safety. To aid in antenna concealment), the Commission and at least at the separation distance protecting individuals from potentially allowed that a sign be attached directly required for compliance with the serious and immediate harm, Category to the antenna. A label affixed to an occupational exposure limit. Four signs can be useful in indicating antenna will be considered sufficient Additionally, appropriate training is the most hazardous locations, even only if it is readable from the direction required for any occupational personnel though Category Three signs already of approach and at least at the with access to the controlled area where indicate an area surpassing the separation distance required for the general population exposure limit is occupational exposure limit for compliance with the general population exceeded. Use of time averaging is continuous exposure. In Category Four exposure limit. Appropriate training is required for transient individuals to locations, it is infeasible for any required for any occupational personnel ensure compliance with the general mitigation measures (e.g., time- with access to the controlled area where population exposure limit. averaging, personal protective the general population exposure limit is Appropriately trained occupational equipment) other than power reduction exceeded, and transient individuals personnel may use RF monitors or to bring exposure levels within the must be supervised by occupational personal protective equipment to ensure Commission’s occupational limits. See personnel with appropriate training compliance with the occupational Figure 1 below for a visual description upon entering any of these areas. Use of limits. If such mitigation procedures or of these categories.

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40. Determination of the appropriate control. These include locked doors, untrained workers should not have category designation must not be based ladder cages, or effective fences, as well access to controlled locations without on the exemptions from routine RF as enforced prohibition of public access supervision. evaluation, but instead must be based to external surfaces of buildings, or 42. The Commission required that on a specific site evaluation, consistent generally, active preclusion of signs have an up-to-date point of with the Commission’s existing unauthorized access. It does not include contact, but declined to require 24/7 recommendations and rules for routine natural barriers that tend to limit access monitoring. Instead, it directed the OET evaluation of compliance by but may not be always effective or other to update OET Bulletin 65 to specify measurement or computation as access restrictions that do not require that the contact point be continuously specified in OET Bulletin 65. Such any action on the part of the licensee or monitored during normal business methods as spatial averaging of plane- property management. Members of the hours, but did not specify a response wave equivalent power-density, source- general public (which can include time. In response to commenters’ based time averaging, and SAR children and vision-impaired persons) concerns regarding sign content and determinations may be used where should not be expected to be aware of readability and the feasibility of appropriate to determine compliance or act on posted exposure conditions implementing access controls, the with an applicable limit or classification only. Barriers and/or markings are Commission required that signs be of the environment into one of the required to complement signs to ensure legible and readily viewable and categories. In contrast to IEEE’s compliance with the Commission’s RF readable (as specified by the reference to ‘‘action levels,’’ the general exposure limits. In response to Occupational Safety and Health population exposure limit for commenters’ concerns about the risk of Administration and the former National uncontrolled environments is a definite RF overexposure to unaware workers Bureau of Standards) from the boundary legal limit enforced by the Commission. and that signs should not be a catchall (and as necessary, on the approach to 41. Establishment of a controlled compliance measure, the Commission this boundary) where the applicable RF environment where this limit is observed that an appropriately trained exposure limits are exceeded, and that exceeded (i.e., a Category Two, Three, or worker will be able to interpret the signs controls or indicators be placed at Four environment) would generally to appropriately control his/her compliance boundaries; it declined to require some type of positive access exposure, and emphasized that adopt a site safety plan or a setback of

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1500 feet from all cell towers as is intended as a mechanism to maintain and consistency. In addition, it required components. The Commission ongoing compliance, it does not absolve proposed to make changes to specific also concluded that parties responsible other license holders of responsibility or sections of parts 15, 24, 25, 95, and 97 for the placement of signs should place sole responsibility for mitigation for consistency and as necessary consider the potential implications of on the newcomer to a site who may depending on the substantive changes over-signage (e.g., undue alarm, discover noncompliance by existing site in parts 1 and 2. Since the Commission confusion, and disregard of meaningful occupants or may contribute further to proposed that its general RF exposure postings) and indicated that it will pre-existing noncompliance. The evaluation exemption criteria apply to consider compliance with these rules on Commission found that such a general all rule parts authorizing RF sources, a case-by-case basis. policy would not only discourage specific exceptions in rule parts other 43. Training to Ensure Compliance. cooperation and site agreements, but than parts 1 and 2 were not necessary. Because RF safety awareness is vitally also inappropriately absolve the No specific comments were received on important to ensure that persons are preexisting licensees of their violations. these proposals and the Commission fully aware of the potential for RF The Commission expects that took the following actions: exposure and can exercise control over consideration of available evidence on a • For applicants for equipment their exposure, the Commission directed case-by-case basis during any authorizations covered by parts 15 and the OET to consider the topics outlined appropriate enforcement actions can 18, in §§ 15.212(a)(viii), 15.247(i), in Annex A of ANSI/IEEE C95.7–2005— avoid inappropriate assignment of 15.255(g), 15.257(g), 15.319(i), 15.407(f), ‘‘IEEE Recommended Practice for Radio liability where noncompliance is found. 15.709(h), and 18.313, we substitute our Frequency Safety Programs, 3 kHz to 46. The Commission rejected a general exemption criteria for the 300 GHz’’ as training guidance to commenter’s argument that, in addition specific exemption from routine reference in a future revision of OET to the Commission’s requirements evaluation; Bulletin 65. The Commission concerning warning signs and barriers, • For applicants and licensees in the emphasized that it does not consider local authorities should be allowed to Public Mobile Service Personal signage at an access door to be sufficient require additional signs and access Communications Service, we add and to achieve the goal of training restriction where they deem substitute our general exemption criteria compliance for those persons appropriate. While section for the specific exemption from routine potentially exposed beyond that door. 332(c)(7)(B)(iv) of the Act permits State evaluation in §§ 22.379 and 24.52; The area beyond the door must also be and local governments, when making • For applicants and licensees of appropriately signed, marked, and/or decisions on the ‘‘placement, satellite earth stations, we remove the 5 cordoned with barriers. Lockout/tagout construction, and modification’’ of percent criterion in § 25.117(g) and could satisfy a need for power personal wireless service facilities, to introduce similar language to § 25.115, reduction, but are not appropriate as consider whether such facilities comply paragraph (p), § 25.129, paragraph (c), universal requirements. In the case of with the Commission’s regulations § 25.149, paragraph (c)(3), and § 25.271, training using verbal information, the concerning RF emissions, it expressly paragraph (g); Commission clarified that either spoken prohibits them from imposing their own • For applicants and licensees in the word or pre-recorded audio from an regulations on such facilities on the Miscellaneous Wireless authorized individual qualified to basis of the environmental effects of Communications Services, Radio provide instruction on how to remain such emissions. compliant is acceptable. Training may Broadcast Services, and Private Land D. Transition Periods also include web-based programs. Mobile Services we substitute our 44. Responsibility for Mitigation 47. To allow licensees and general exemption criteria for the Measures. Despite comments requesting manufacturers time to complete the specific exemption from routine limitations on a licensee’s responsibility required RF exposure evaluations or evaluation by modifying §§ 27.52, for RF exposure mitigation measures, determine whether they are exempt 73.404, paragraph (e)(10), and by adding the Commission declined to adopt safe from evaluation, as well as allow an § 90.223 and removing § 90.223; • harbors (e.g., category-appropriate orderly transition for the Commission’s We add mobile devices to § 95.2385 signage, access controls, indicative or licensing Bureaus and equipment for WMTS and edit § 95.2585 to physical barriers, RF safety training, authorization program to incorporate eliminate the limited specification of information about RF exposure risks in the new exemption criteria into their FDTD modeling for MedRadio service accessible areas, and 24/7 contact equipment certification policies and medical implants; • information) from actions and events at procedures, the Commission set a For applicants and licensees in the a restricted area beyond the licensee’s timetable for conducting the Amateur Radio Service, we substitute control. reevaluation, under the new rules, of our general exemption criteria for the 45. In response to comments on the antenna locations that were previously specific exemption from routine responsibility of new entrants at exempt from evaluation. As a evaluation based on power alone in multiple transmitter sites, the commenter requested, the Commission § 97.13(c)(1) and specify the use of Commission clarified that while each allowed two years from the effective occupational/controlled limits for nearby licensee shares responsibility for date of the new rules to complete the amateurs where appropriate; and • compliance, where it is demonstrated evaluations and comply with the more For applicants and licensees in the that a new or modified facility has put specific RF exposure mitigation Multichannel Video Distribution and a previously-compliant site out of requirements adopted in the 2019 Data Service, we substitute our general compliance, the licensee of that new/ Second Report and Order, as necessary. exemption criteria for the specific modified facility is solely responsible exemption from routine evaluation of both for any compliance and for any E. Conforming Edits stations in the 12.2–12.7 GHz frequency enforcement action that may occur. At 48. In the 2013 RF Further Notice, the band with output powers less than 1640 the same time, while the requirement Commission proposed to reword watts EIRP, in § 101.1425. for new and renewal applicants to §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 Each of these changes will improve evaluate and ensure compliance at sites in its rules as necessary to ensure clarity consistency and clarity of the rules.

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Memorandum Opinion and Order B. Congressional Review Act Justice is dismissed and alternatively 49. In the 2019 Memorandum Opinion 52. The Commission will send a copy denied. and Order, the Commission dismissed of the Second Report and Order, 58. It is further ordered that pursuant and alternatively denied a petition for Memorandum Opinion and Order, and to authority contained in sections 4(i) reconsideration of its decision in the Termination of Notice of Inquiry in a and 4(j) of the Communications Act of 2013 First RF Report and Order to report to be sent to Congress and the 1934, as amended, 47 U.S.C. 154(i), classify the pinna (outer ear) as an Government Accountability Office 154(j), and § 1.430 of the Commission’s extremity in RF exposure testing. The pursuant to the Congressional Review rules, 47 CFR 1.430, the Notice of Commission found that the petition Act, see 5 U.S.C. 801(a)(1)(A). Inquiry in ET Docket No. 13–84 is contained no new information that terminated. specifically addressed the effects of RF C. Final Regulatory Flexibility Act 59. It is further ordered that pursuant exposure on the pinnae themselves and 53. The Regulatory Flexibility Act of to the authority contained in sections otherwise relied on arguments that have 1980 (RFA) requires that an agency 4(i) and 4(j) of the Communications Act been fully considered and rejected. prepare a regulatory flexibility analysis of 1934, as amended, 47 U.S.C. 154(i), Furthermore, the Commission found for notice and comment rulemakings, 154(j), and § 1.430 of the Commission’s that the petition did not raise any new unless the agency certifies that ‘‘the rule rules, 47 CFR 1.430, ET Docket No. 03– arguments when it cited alternative will not, if promulgated, have a 137 in terminated. concerns related to pinnae significant economic impact on a 60. It is further ordered that the classification, brain proximity, and substantial number of small entities.’’ Commission’s Consumer and human safety; offered no persuasive Accordingly, the Commission has Governmental Affairs Bureau, Reference evidence that the Commission’s analysis prepared a Final Regulatory Flexibility. Information Center, shall send a copy of was flawed; and that it did not 54. Analysis (FRFA), set forth in the Second Report and Order, including demonstrate any errors or omissions in Appendix D of the 2019 Second Report the Final Regulatory Flexibility the Commission’s previous decision. and Order, Memorandum Opinion and Analysis, and the Memorandum For these reasons, the Commission Order, and Termination of Notice of Opinion and Order, to the Chief Counsel dismissed and alternatively denied the Inquiry concerning the possible impact for Advocacy of the Small Business petition for reconsideration. of the rule changes. Administration. Termination of Notice of Inquiry (ET IV. Ordering Clauses List of Subjects Docket No. 13–84) 55. Accordingly, it is ordered that 47 CFR Part 1 50. In the 2019 Termination of Notice pursuant to sections 1, 4(i), 4(j), 301, Communications, of Inquiry, the Commission terminated 302, 303(r), 307, 308, 309, 332(a)(1), Telecommunications. the Notice of Inquiry proceeding in ET 332(c)(7)(B)(iv), and 403 of the Docket No. 13–84 that it initiated in Communications Act of 1934, as 47 CFR Part 2 2013 to review its existing RF exposure amended, 47 U.S.C. 151, 154(i), 154(j), Communications equipment, Radio, standards and certain related policies 301, 302a, 303(r), 307, 308, 309, Telecommunications, Television. without making any changes to the 332(a)(1), 332(c)(7)(B)(iv), 403; the Commission’s RF rules. While some National Environmental Policy Act of 47 CFR Part 15 commenters suggested that the 1969, 42 U.S.C. 4321, et seq.; and Communications equipment, Commission should revise it RF section 704(b) of the Labeling, Radio. exposure standards to be consistent Telecommunications Act of 1996, Pub. with other international standards, the L. 104–104, the Second Report and 47 CFR Part 18 Commission declined to make any Order in ET Docket No. 03–137 is Household appliances, Medical changes that would effectively relax its hereby adopted. devices, Radio, Scientific equipment, current standards, concluding that the 56. It is further ordered that parts 1, Radio. best available evidence, including 2, 15, 18, 22, 24, 25, 27, 73, 90, 95, 97, 47 CFR Part 22 consideration of the opinions provided and 101 of the Commission’s rules, 47 by expert U.S. federal health agencies, CFR parts 1, 2, 15, 18, 22, 24, 25, 27, 73, Communications, Communications supports maintaining the Commission’s 90, 95, 97 and 101, are amended, equipment, Radio, Telecommunications. existing RF exposure standards.. The effective June 1, 2020, except for 47 CFR Part 24 Commission also determined that §§ 2.1091 and 2.1093 of the commenters suggesting alternatives that Commission’s rules, which contain new Communications equipment, Radio, would tighten the FCC’s existing RF or modified information collection Telecommunications. exposure standards did not offer a requirements that require approval by 47 CFR Part 27 and 73 sufficient scientific basis as to how their the Office of Management and Budget proposed reductions were derived, why under the Paperwork Reduction Act and Communications equipment, Radio, the proposed reductions specified the will become effective after the Television. appropriate amount, or how their Commission publishes a notice in the 47 CFR Part 90, 95, 97, and 101 proposed alternative reductions may Federal Register announcing such impact the viability or performance of approval and the relevant effective date. Communications equipment, Radio. wireless services and devices. 57. It is further ordered that pursuant Federal Communications Commission. III. Procedural Matters to section 405 of the Communications Marlene Dortch, Act of 1934, as amended, 47 U.S.C. 405, Secretary. A. Paperwork Reduction Act Analysis and § 1.429 of the Commission’s rules, 51. This document contains new 47 CFR 1.429, this Memorandum Final Rules information collections subject to the Opinion and Order is hereby adopted For the reasons discussed in the Paperwork Reduction Act of 1995 and the Petition for Reconsideration preamble, the Federal Communication (PRA), Public Law 104–13. filed by the American Association for Commission amends 47 CFR parts 1, 2,

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15, 24, 25, 27, 73, 90, 95, 97, and 101 load) as averaged over a time-averaging Portable device is as defined in as follows: period; § 2.1093(b) of this chapter; Category One is any spatial region Positive access control is mitigation PART 1—PRACTICE AND that is compliant with the general by proactive preclusion of unauthorized PROCEDURE population exposure limit with access to the region surrounding an RF continuous exposure or source-based source where the continuous exposure ■ 1. The authority citation for part 1 time-averaged exposure; limit for the general population is continues to read as follows: Category Two is any spatial region exceeded. Examples of such controls Authority: 47 U.S.C. chs. 2, 5, 9, 13; 28 where the general population exposure include locked doors, ladder cages, or U.S.C. 2461 note, unless otherwise noted. limit is exceeded but that is compliant effective fences, as well as enforced with the occupational exposure limit prohibition of public access to external ■ 2. Section 1.1307 is amended by with continuous exposure; surfaces of buildings. However, it does revising paragraph (b) to read as follows: Category Three is any spatial region not include natural barriers or other § 1.1307 Actions that may have a where the occupational exposure limit access restrictions that did not require significant environmental effect, for which is exceeded but by no more than ten any action on the part of the licensee or Environmental Assessments (EA) must be times the limit; property management. prepared. Category Four is any spatial region Radiating structure is an unshielded * * * * * where the exposure is more than ten RF current-carrying conductor that (b)(1) Requirements. (i) With respect times the occupational exposure limit or generates an RF reactive near electric or to the limits on human exposure to RF where there is a possibility for serious magnetic field and/or radiates an RF provided in § 1.1310 of this chapter, injury on contact. electromagnetic wave. It is the applicants to the Commission for the Continuous exposure refers to the component of an RF source that grant or modification of construction maximum time-averaged exposure at a transmits, generates, or reradiates an RF permits, licenses or renewals thereof, given location for an RF source and fields, such as an antenna, aperture, temporary authorities, equipment assumes that exposure may take place coil, or plate. authorizations, or any other indefinitely. The exposure limits in RF source is Commission-regulated authorizations for radiofrequency § 1.1310 of this chapter are used to equipment that transmits or generates sources must either: establish the spatial regions where RF fields or waves, whether (A) Determine that they qualify for an mitigation measures are necessary intentionally or unintentionally, via one exemption pursuant to § 1.1307(b)(3); assuming continuous exposure as or more radiating structure(s). Multiple (B) Prepare an evaluation of the prescribed in § 1.1307(b)(4) of this RF sources may exist in a single device. human exposure to RF radiation chapter. Separation distance (variable R in Effective Radiated Power (ERP) is the pursuant to § 1.1310 and include in the Table 1) is the minimum distance in any product of the maximum antenna gain application a statement confirming direction from any part of a radiating which is the largest far-field power gain compliance with the limits in § 1.1310; structure and any part of the body of a relative to a dipole in any direction for or nearby person; each transverse polarization component, Source-based time averaging is an (C) Prepare an Environmental and the maximum delivered time- average of instantaneous exposure over Assessment if those RF sources would averaged power which is the largest net a time-averaging period that is based on cause human exposure to levels of RF power delivered or supplied to an an inherent property or duty-cycle of a radiation in excess of the limits in antenna as averaged over a time- device to ensure compliance with the § 1.1310. averaging period; ERP is summed over continuous exposure limits; (ii) Compliance with these limits for two polarizations when present; Time-averaging period is a time fixed RF source(s) may be accomplished Exemption for (an) RF source(s) is period not to exceed 30 minutes for by use of mitigation actions, as provided solely from the obligation to perform a fixed RF sources or a time period in § 1.1307(b)(4). Upon request by the routine environmental evaluation to inherent from device transmission Commission, the party seeking or demonstrate compliance with the RF characteristics not to exceed 30 minutes holding such authorization must submit exposure limits in § 1.1310 of this for mobile and portable RF sources; technical information showing the basis chapter; it is not exemption from the Transient individual is an untrained for such compliance, either by equipment authorization procedures person in a location where exemption or evaluation. described in part 2 of this chapter, not occupational/controlled limits apply, Notwithstanding the preceding exemption from general obligations of and he or she must be made aware of requirements, in the event that RF compliance with the RF exposure limits the potential for exposure and be sources cause human exposure to levels in § 1.1310 of this chapter, and not supervised by trained personnel of RF radiation in excess of the limits in exemption from determination of pursuant to § 1.1307(b)(4) of this chapter § 1.1310 of this chapter, such RF whether there is no significant effect on where use of time averaging is required exposure exemptions and evaluations the quality of the human environment to ensure compliance with the general are not deemed sufficient to show that under § 1.1306 of this chapter. population exposure limits in § 1.1310 there is no significant effect on the Fixed RF source is one that is of this chapter. quality of the human environment or physically secured at one location, even (3) Determination of exemption. (i) that the RF sources are categorically temporarily, and is not able to be easily For single RF sources (i.e., any single excluded from environmental moved to another location while fixed RF source, mobile device, or processing. radiating; portable device, as defined in paragraph (2) Definitions. For the purposes of Mobile device is as defined in (b)(2) of this section): A single RF source this section, the following definitions § 2.1091(b) of this chapter; is exempt if: shall apply. Plane-wave equivalent power density (A) The available maximum time- Available maximum time-averaged is the square of the root-mean-square averaged power is no more than 1 mW, power for an RF source is the maximum (rms) electric field strength divided by regardless of separation distance. This available RF power (into a matched the impedance of free space (377 ohms). exemption may not be used in

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conjunction with other exemption (B) Or the available maximum time- at separation distances (cm) from 0.5 criteria other than those in paragraph averaged power or effective radiated centimeters to 40 centimeters and at (b)(3)(ii)(A) of this section. Medical power (ERP), whichever is greater, is frequencies from 0.3 GHz to 6 GHz implant devices may only use this less than or equal to the threshold Pth (inclusive). Pth is given by: exemption and that in paragraph (mW) described in the following (b)(3)(ii)(A); formula. This method shall only be used

(C) Or using Table 1 and the TABLE 1 TO § 1.1307(b)(3)(i)(C)—SIN- portion of any other radiating structure minimum separation distance (R in GLE RF SOURCES SUBJECT TO in the same device, except if the sum of meters) from the body of a nearby ROUTINE ENVIRONMENTAL EVALUA- multiple sources is less than 1 mW person for the frequency (f in MHz) at TION during the time-averaging period, in which the source operates, the ERP which case they may be treated as a (watts) is no more than the calculated RF Source single source (separation is not Threshold ERP required). This exemption may not be value prescribed for that frequency. For frequency (watts) the exemption in Table 1 to apply, R (MHz) used in conjunction with other exemption criteria other than those is must be at least l/2p, where l is the 2 0.3–1.34 ...... 1,920 R . paragraph (b)(3)(i)(A) of this section. free-space operating wavelength in 1.34–30 ...... 3,450 R2/f2. meters. If the ERP of a single RF source 30–300 ...... 3.83 R2. Medical implant devices may only use is not easily obtained, then the available 300–1,500 ...... 0.0128 R2f. this exemption and that in paragraph 2 (b)(3)(i)(A). maximum time-averaged power may be 1,500–100,000 ...... 19.2R . (B) in the case of fixed RF sources used in lieu of ERP if the physical (ii) For multiple RF sources: Multiple operating in the same time-averaging dimensions of the radiating structure(s) RF sources are exempt if: period, or of multiple mobile or portable l do not exceed the electrical length of / (A) The available maximum time- RF sources within a device operating in 4 or if the antenna gain is less than that averaged power of each source is no the same time averaging period, if the of a half-wave dipole (1.64 linear value). more than 1 mW and there is a sum of the fractional contributions to separation distance of two centimeters the applicable thresholds is less than or between any portion of a radiating equal to 1 as indicated in the following structure operating and the nearest equation.

Where: Pth, including existing exempt paragraph (b)(3)(i)(C) of this section for a = number of fixed, mobile, or portable RF transmitters and those being added. Threshold ERP, including existing sources claiming exemption using b = number of fixed, mobile, or portable RF exempt transmitters and those being paragraph (b)(3)(i)(B) of this section for sources claiming exemption using added.

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c = number of existing fixed, mobile, or continuous exposure limit is exceeded must be supervised by trained personnel portable RF sources with known for the general population, with the upon entering any of these areas. Use of evaluation for the specified minimum appropriate signal word ‘‘NOTICE’’ and time averaging is required for transient distance including existing evaluated associated color (blue) on the signs. individuals to ensure compliance with transmitters. Signs must contain the components the general population exposure limit. Pi = the available maximum time-averaged power or the ERP, whichever is greater, discussed in paragraph (b)(4)(vi) of this Further mitigation by reducing exposure for fixed, mobile, or portable RF source section. Under certain controlled time in accord with six-minute time i at a distance between 0.5 cm and 40 cm conditions, such as on a rooftop with averaging is required for occupational (inclusive). limited access, a sign attached directly personnel in the area in which the Pth,i = the exemption threshold power (Pth) to the surface of an antenna will be occupational exposure limit is according to paragraph (b)(3)(i)(B) of this considered sufficient if the sign exceeded. However, proper use of RF section for fixed, mobile, or portable RF specifies a minimum approach distance personal protective equipment may be source i. and is readable at this separation considered sufficient in lieu of time ERPj = the ERP of fixed, mobile, or portable averaging for occupational personnel in RF source j. distance and at locations required for compliance with the general population the areas in which the occupational ERPth,j = exemption threshold ERP for fixed, mobile, or portable RF source j, at a exposure limit in § 1.1310 of this part. exposure limit is exceeded. If such distance of at least l/2p according to the Appropriate training is required for any procedures or power reduction, and applicable formula of paragraph occupational personnel with access to therefore Category reduction, are not (b)(3)(i)(C) of this section. controlled areas within restrictive feasible, then lockout/tagout procedures Evaluatedk = the maximum reported SAR or barriers where the general population in 29 CFR 1910.147 must be followed. MPE of fixed, mobile, or portable RF exposure limit is exceeded, and (v) Category Four—WARNING/ source k either in the device or at the transient individuals must be DANGER: Where the occupational limit transmitter site from an existing could be exceeded by a factor of more evaluation at the location of exposure. supervised by trained occupational personnel upon entering any of these than ten, ‘‘WARNING’’ signs with the Exposure Limitk = either the general associated color (orange), controls, or population/uncontrolled maximum areas. Use of time averaging is required permissible exposure (MPE) or specific for transient individuals to ensure indicators (e.g., chains, railings, absorption rate (SAR) limit for each compliance with the general population contrasting paint, diagrams) are required fixed, mobile, or portable RF source k, as exposure limit. (in addition to the positive access applicable from § 1.1310 of this chapter. (iv) Category Three—CAUTION: Signs control established for Category Two) surrounding the area in which the (4) Mitigation. (i) As provided in (with the appropriate signal word occupational exposure limit in a paragraphs (b)(4)(ii) through (vi) of this ‘‘CAUTION’’ and associated color controlled environment is exceeded by section, specific mitigation actions are (yellow) on the signs), controls, or more than a factor of ten Signs must required for fixed RF sources to the indicators (e.g., chains, railings, contain the components discussed in extent necessary to ensure compliance contrasting paint, diagrams) are required paragraph (b)(4)(vi) of this section. with our exposure limits, including the (in addition to the positive access ‘‘DANGER’’ signs with the associated implementation of an RF safety plan, control established for Category Two) color (red) are required where restriction of access to those RF sources, surrounding the area in which the immediate and serious injury will occur and disclosure of spatial regions where exposure limit for occupational on contact, in addition to positive exposure limits are exceeded. personnel in a controlled environment access control, regardless of mitigation (ii) Category One—INFORMATION: is exceeded by no more than a factor of actions taken in Categories Two or No mitigation actions are required when ten. Signs must contain the components Three. If the boundaries between the RF source does not cause discussed in paragraph (b)(4)(vi) of this Category Three and Four are such that continuous or source-based time- section. If the boundaries between placement of both Category Three and averaged exposure in excess of the Category Two and Three are such that Four signs would be in the same general population limit in s§ 1.1310 of placement of both Category Two and location, then the Category Three sign is this part. Optionally a green Three signs would be in the same optional. No access is permitted without ‘‘INFORMATION’’ sign may offer location, then the Category Two sign is Category reduction. If power reduction, information to those persons who might optional. Under certain controlled and therefore Category reduction, is not be approaching RF sources. This conditions, such as on a rooftop with feasible, then lockout/tagout procedures optional sign, when used, must include limited access, a sign may be attached in 29 CFR 1910.147 must be followed. at least the following information: directly to the surface of an antenna (vi) RF exposure advisory signs must Appropriate signal word within a controlled environment if it be viewable and readable from the ‘‘INFORMATION’’ and associated color specifies the minimum approach boundary where the applicable (green), an explanation of the safety distance and is readable at this distance exposure limits are exceeded, pursuant precautions to be observed when closer and at locations required for compliance to 29 CFR 1910.145, and include at least to the antenna than the information with the occupational exposure limit in the following five components: sign, a reminder to obey all postings and § 1.1310 of this part. If signs are not (A) Appropriate signal word, boundaries (if higher categories are used at the occupational exposure limit associated color {i.e., {DANGER’’ (red), nearby), up-to-date licensee (or boundary, controls or indicators (e.g., ‘‘WARNING’’ (orange), ‘‘CAUTION,’’ operator) contact information (if higher chains, railings, contrasting paint, (yellow) ‘‘NOTICE’’ (blue)}; categories are nearby), and a place to get diagrams, etc.) must designate the (B) RF energy advisory symbol; additional information (such as a boundary where the occupational (C) An explanation of the RF source; website, if no higher categories are exposure limit is exceeded. (D) Behavior necessary to comply nearby). Additionally, appropriate training is with the exposure limits; and (iii) Category Two—NOTICE: required for any occupational personnel (E) Up-to-date contact information. Mitigation actions are required in the with access to the controlled area where (5) Responsibility for compliance. (i) form of signs and positive access control the general population exposure limit is In general, when the exposure limits surrounding the boundary where the exceeded, and transient individuals specified in § 1.1310 of this part are

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exceeded in an accessible area due to to be proportional to SAR or power according to protocols established by the emissions from multiple fixed RF density. FCC-accepted numerical computation sources, actions necessary to bring the * * * * * standards or available FCC procedures area into compliance or preparation of ■ 3. Section 1.1310 is revised to read as for the specific computational method. an Environmental Assessment (EA) as follows: (2) For operations within the specified in § 1.1311 of this part are the frequency range of 300 kHz and 6 GHz shared responsibility of all licensees § 1.1310 Radiofrequency radiation (inclusive), the limits for maximum whose RF sources produce, at the area exposure limits. permissible exposure (MPE), derived in question, levels that exceed 5% of the (a) Specific absorption rate (SAR) from whole-body SAR limits and listed applicable exposure limit proportional shall be used to evaluate the in Table 1 in paragraph (e)(1) of this to power. However, a licensee environmental impact of human section, may be used instead of whole- demonstrating that its facility was not exposure to radiofrequency (RF) body SAR limits as set forth in the most recently modified or newly- radiation as specified in § 1.1307(b) of paragraphs (a) through (c) of this section constructed facility at the site this part within the frequency range of to evaluate the environmental impact of establishes a rebuttable presumption 100 kHz to 6 GHz (inclusive). human exposure to RF radiation as that such licensee should not be liable (b) The SAR limits for occupational/ specified in § 1.1307(b) of this part, in an enforcement proceeding relating to controlled exposure are 0.4 W/kg, as except for portable devices as defined in the period of non-compliance. Field averaged over the whole body, and a § 2.1093 of this chapter as these strengths must be squared to be peak spatial-average SAR of 8 W/kg, evaluations shall be performed proportional to SAR or power density. averaged over any 1 gram of tissue according to the SAR provisions in Specifically, these compliance (defined as a tissue volume in the shape § 2.1093. requirements apply if the square of the of a cube). Exceptions are the parts of (3) At operating frequencies above 6 electric or magnetic field strength the human body treated as extremities, GHz, the MPE limits listed in Table 1 in exposure level applicable to a particular such as hands, wrists, feet, ankles, and paragraph (e)(1) of this section shall be RF source exceeds 5% of the square of pinnae, where the peak spatial-average used in all cases to evaluate the the electric or magnetic field strength SAR limit for occupational/controlled environmental impact of human limit at the area in question where the exposure is 20 W/kg, averaged over any exposure to RF radiation as specified in levels due to multiple fixed RF sources 10 grams of tissue (defined as a tissue § 1.1307(b) of this part. (4) Both the MPE limits listed in Table exceed the exposure limit. Site owners volume in the shape of a cube). 1 in paragraph (e)(1) of this section and and managers are expected to allow Exposure may be averaged over a time the SAR limits as set forth in paragraphs applicants and licensees to take period not to exceed 6 minutes to (a) through (c) of this section are for reasonable steps to comply with the determine compliance with continuous exposure, that is, for requirements contained in paragraph occupational/controlled SAR limits. (c) The SAR limits for general indefinite time periods. Exposure levels (b)(1) of this section and, where feasible, population/uncontrolled exposure are higher than the limits are permitted for should encourage co-location of RF 0.08 W/kg, as averaged over the whole shorter exposure times, as long as the sources and common solutions for body, and a peak spatial-average SAR of average exposure over a period not more controlling access to areas where the RF 1.6 W/kg, averaged over any 1 gram of than the specified averaging time in exposure limits contained in § 1.1310 of tissue (defined as a tissue volume in the Table 1 in paragraph (e)(1) is less than this part might be exceeded. Applicants shape of a cube). Exceptions are the (or equal to) the exposure limits. and licensees are required to share parts of the human body treated as Detailed information on our policies technical information necessary to extremities, such as hands, wrists, feet, regarding procedures for evaluating ensure joint compliance with the ankles, and pinnae, where the peak compliance with all of these exposure exposure limits, including informing spatial-average SAR limit is 4 W/kg, limits can be found in the most recent other licensees at a site in question of averaged over any 10 grams of tissue edition of FCC’s OET Bulletin 65, evaluations indicating possible non- (defined as a tissue volume in the shape ‘‘Evaluating Compliance with FCC compliance with the exposure limits. of a cube). Exposure may be averaged Guidelines for Human Exposure to (ii) Applicants for proposed RF over a time period not to exceed 30 Radiofrequency Electromagnetic sources that would cause non- minutes to determine compliance with Fields,’’ and its supplements, all compliance with the limits specified in general population/uncontrolled SAR available at the FCC’s internet website: § 1.1310 at an accessible area previously limits. https://www.fcc.gov/general/oet- in compliance must submit an EA if (d)(1) Evaluation with respect to the bulletins-line, and in the Office of emissions from the applicant’s RF SAR limits in this section must Engineering and Technology (OET) source would produce, at the area in demonstrate compliance with both the Laboratory Division Knowledge question, levels that exceed 5% of the whole-body and peak spatial-average Database (KDB) (https://www.fcc.gov/ applicable exposure limit. Field limits using technically supported kdb). strengths must be squared if necessary measurement or computational methods to be proportional to SAR or power and exposure conditions in advance of Note to paragraphs (a) through (d): SAR is density. a measure of the rate of energy absorption authorization (licensing or equipment due to exposure to RF electromagnetic (iii) Renewal applicants whose RF certification) and in a manner that energy. These SAR limits to be used for sources would cause non-compliance facilitates independent assessment and, evaluation are based generally on criteria with the limits specified in § 1.1310 at if appropriate, enforcement. Numerical published by the American National an accessible area previously in computation of SAR must be supported Standards Institute (ANSI) for localized SAR compliance must submit an EA if by adequate documentation showing in Section 4.2 of ‘‘IEEE Standard for Safety emissions from the applicant’s RF that the numerical method as Levels with Respect to Human Exposure to Radio Frequency Electromagnetic Fields, 3 source would produce, at the area in implemented in the computational kHz to 300 GHz,’’ ANSI/IEEE Std C95.1– question, levels that exceed 5% of the software has been fully validated; in 1992, copyright 1992 by the Institute of applicable exposure limit. Field addition, the equipment under test and Electrical and Electronics Engineers, Inc., strengths must be squared if necessary exposure conditions must be modeled New York, New York 10017. These criteria

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for SAR evaluation are similar to those based generally on criteria published by the Levels with Respect to Human Exposure to recommended by the National Council on NCRP in ‘‘Biological Effects and Exposure Radio Frequency Electromagnetic Fields, 3 Radiation Protection and Measurements Criteria for Radiofrequency Electromagnetic kHz to 300 GHz,’’ ANSI/IEEE Std C95.1– (NCRP) in ‘‘Biological Effects and Exposure Fields,’’ NCRP Report No. 86, Sections 1992, copyright 1992 by the Institute of Criteria for Radiofrequency Electromagnetic 17.4.1, 17.4.1.1, 17.4.2 and 17.4.3, copyright Electrical and Electronics Engineers, Inc., Fields,’’ NCRP Report No. 86, Section 17.4.5, 1986 by NCRP, Bethesda, Maryland 20814. In New York, New York 10017. copyright 1986 by NCRP, Bethesda, Maryland the frequency range from 100 MHz to 1500 20814. Limits for whole body SAR and peak MHz, these MPE exposure limits for field (e)(1) Table 1 to § 1.1310(e)(1) sets spatial-average SAR are based on strength and power density are also generally forth limits for Maximum Permissible recommendations made in both of these based on criteria recommended by the ANSI Exposure (MPE) to radiofrequency documents. The MPE limits in Table 1 are in Section 4.1 of ‘‘IEEE Standard for Safety electromagnetic fields.

TABLE 1 TO § 1.1310(E)(1)—LIMITS FOR MAXIMUM PERMISSIBLE EXPOSURE (MPE)

Frequency Averaging range Electric field strength Magnetic field strength Power density time 2) (MHz) (V/m) (A/m) (mW/cm (minutes)

(i) Limits for Occupational/Controlled Exposure

0.3–3.0 ...... 614 ...... 1.63 ...... *(100) ...... ≤6 3.0–30 ...... 1842/f ...... 4.89/f ...... *(900/f2) ...... <6 30–300 ...... 61.4 ...... 0.163 ...... 1.0 ...... <6 300–1,500 ...... f/300 ...... <6 1,500–100,000 ...... 5 ...... <6

(ii) Limits for General Population/Uncontrolled Exposure

0.3–1.34 ...... 614 ...... 1.63 ...... *(100) ...... <30 1.34–30 ...... 824/f ...... 2.19/f ...... *(180/f2) ...... <30 30–300 ...... 27.5 ...... 0.073 ...... 0.2 ...... <30 300–1,500 ...... f/1500 ...... <30 1,500–100,000 ...... 1.0 ...... <30 f = frequency in MHz. * = Plane-wave equivalent power density.

(2) Occupational/controlled exposure (3) General population/uncontrolled Applications for equipment limits apply in situations in which exposure limits apply in situations in authorization of RF sources under this persons are exposed as a consequence of which the general public may be section must contain a statement their employment provided those exposed, or in which persons who are confirming compliance with these persons are fully aware of the potential exposed as a consequence of their requirements. Technical information for exposure and can exercise control employment may not be fully aware of showing the basis for this statement over their exposure. The phrase fully the potential for exposure or cannot must be submitted to the Commission aware in the context of applying these exercise control over their exposure. For upon request. exposure limits means that an exposed example, RF sources intended for ■ 7. Section 2.1091 is amended by person has received written and/or consumer use shall be subject to the revising paragraphs (b) and (c), verbal information fully explaining the limits for general population/ removing paragraph (d) introductory potential for RF exposure resulting from uncontrolled exposure in this section. text, and revising paragraphs (d)(1) and (2) to read as follows: his or her employment. With the § 1.4000 [Amended] exception of transient persons, this ■ § 2.1091 Radiofrequency radiation phrase also means that an exposed 4. Section 1.4000 is amended by removing and reserving paragraph (c). exposure evaluation: mobile devices. person has received appropriate training * * * * * regarding work practices relating to PART 2—FREQUENCY ALLOCATIONS (b) For purposes of this section, the controlling or mitigating his or her AND RADIO TREATY MATTERS; definitions in § 1.1307(b)(2) of this exposure. In situations when an GENERAL RULES AND REGULATIONS chapter shall apply. A mobile device is untrained person is transient through a defined as a transmitting device location where occupational/controlled ■ 5. The authority citation for part 2 designed to be used in other than fixed limits apply, he or she must be made continues to read as follows: locations and to generally be used in aware of the potential for exposure and Authority: 47 U.S.C. 154, 302a, 303, and such a way that a separation distance of be supervised by trained personnel 336, unless otherwise noted. at least 20 centimeters is normally pursuant to § 1.1307(b)(2) of this part ■ 6. Section 2.1033 is amended by maintained between the RF source’s where use of time averaging is required adding paragraph (f) to read as follows: radiating structure(s) and the body of to ensure compliance with the general the user or nearby persons. In this population exposure limit. The phrase § 2.1033 Application for certification. context, the term ‘‘fixed location’’ exercise control means that an exposed * * * * * means that the device is physically person is allowed and also knows how (f) Radio frequency devices operating secured at one location and is not able to reduce or avoid exposure by under the provisions of this part are to be easily moved to another location administrative or engineering work subject to the radio frequency radiation while transmitting. Transmitting practices, such as use of personal exposure requirements specified in devices designed to be used by protective equipment or time averaging §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 consumers or workers that can be easily of exposure. of this chapter, as appropriate. re-located, such as wireless devices

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associated with a personal desktop Table 1 to § 1.1307(b)(3)(i)(C), 0.3 GHz to 6 GHz is not easily obtained, computer, are considered to be mobile whichever is greater. For mobile devices then the available maximum time- devices if they meet the 20-centimeter not exempt by § 1.1307(b)(3)(i)(C) at averaged power may be used (i.e., separation requirement. distances from 20 centimeters to 40 without consideration of ERP) in (c)(1) Evaluation of compliance with centimeters and frequencies from 0.3 comparison with the following formula the exposure limits in § 1.1310 of this GHz to 6 GHz, evaluation of compliance only if the physical dimensions of the chapter, and preparation of an EA if the with the exposure limits in § 1.1310 of radiating structure(s) do not exceed the limits are exceeded, is necessary for this chapter is necessary if the ERP of electrical length of l/4 or if the antenna mobile devices with single RF sources the device is greater than ERP20cm in the gain is less than that of a half-wave having either more than an available formula below. If the ERP of a single RF dipole (1.64 linear value). maximum time-averaged power of 1 source at distances from 20 centimeters mW or more than the ERP listed in to 40 centimeters and frequencies from

(2) For multiple mobile or portable RF for general population/uncontrolled § 2.1093 Radiofrequency radiation sources within a device operating in the exposure. exposure evaluation: portable devices. same time averaging period, routine (2)(i) For purposes of analyzing * * * * * mobile transmitting devices under the environmental evaluation is required if (b) For purposes of this section, the the formula in § 1.1307(b)(3)(ii)(B) of occupational/controlled criteria definitions in § 1.1307(b)(2) of this this chapter is applied to determine the specified in § 1.1310 of this chapter, chapter shall apply. A portable device is exemption ratio and the result is greater time averaging provisions of the limits than 1. may be used in conjunction with the defined as a transmitting device (3) Unless otherwise specified in this maximum duty factor to determine designed to be used in other than fixed chapter, any other single mobile or maximum time-averaged exposure locations and to generally be used in multiple mobile and portable RF levels under normal operating such a way that the RF source’s source(s) associated with a device is conditions. radiating structure(s) is/are within 20 exempt from routine environmental (ii) Such time averaging provisions centimeters of the body of the user. evaluation for RF exposure prior to based on maximum duty factor may not (c)(1) Evaluation of compliance with equipment authorization or use, except be used in determining exposure levels the exposure limits in § 1.1310 of this for devices intended for use by as specified in § 1.1307(c) and (d) of this chapter, and preparation of an EA if the consumers in general population/ chapter. limits are exceeded, is necessary for uncontrolled environments as defined (d)(1) Applications for equipment portable devices having single RF authorization of mobile RF sources in § 1.1310 of this chapter. However, ‘‘source-based’’ time averaging based on sources with more than an available subject to routine environmental maximum time-averaged power of 1 evaluation must contain a statement an inherent property of the RF source is mW, more than the ERP listed in Table confirming compliance with the limits allowed over a time period not to 1 to § 1.1307(b)(3)(i)(C), or more than specified in § 1.1310 of this chapter as exceed 30 minutes. An example of this the Pth in the following formula, part of their application. Technical is the determination of exposure from a information showing the basis for this device that uses digital technology such whichever is greater. The following statement must be submitted to the as a time-division multiple-access formula shall only be used in Commission upon request. In general, (TDMA) scheme for transmission of a conjunction with portable devices not maximum time-averaged power levels signal. exempt by § 1.1307(b)(3)(i)(C) at must be used for evaluation. All * * * * * distances from 0.5 centimeters to 20 unlicensed personal communications ■ 8. Section 2.1093 is amended by centimeters and frequencies from 0.3 service (PCS) devices and unlicensed revising paragraphs (b) through (d) to GHz to 6 GHz. NII devices shall be subject to the limits read as follows:

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d = the minimum separation distance (cm) in configurations and exposure conditions factor to determine maximum time- any direction from any part of the device of the device shall be used for the averaged exposure levels under normal antenna(s) or radiating structure(s) to the evaluation. In general, maximum time- operating conditions. body of the device user. averaged power levels must be used for (4) The time averaging provisions for (2) For multiple mobile or portable RF evaluation. All unlicensed personal occupational/controlled SAR criteria, sources within a device operating in the communications service (PCS) devices based on maximum duty factor, may not same time averaging period, evaluation and unlicensed NII devices shall be be used in determining typical exposure is required if the formula in subject to the limits for general levels for portable devices intended for § 1.1307(b)(3)(ii)(B) of this chapter is population/uncontrolled exposure. use by consumers, such as cellular applied to determine the exemption (2) Evaluation of compliance with the telephones, that are considered to ratio and the result is greater than 1. SAR limits can be demonstrated by operate in general population/ (3) Unless otherwise specified in this either laboratory measurement uncontrolled environments as defined chapter, any other single portable or techniques or by computational in § 1.1310 of this chapter. However, multiple mobile and portable RF modeling. The latter must be supported ‘‘source-based’’ time averaging based on source(s) associated with a device is by adequate documentation showing an inherent property of the RF source is exempt from routine environmental that the numerical method as allowed over a time period not to evaluation for RF exposure prior to implemented in the computational exceed 30 minutes. An example of this equipment authorization or use, except software has been fully validated; in would be the determination of exposure as specified in § 1.1307(c) and (d) of this addition, the equipment under test and from a device that uses digital chapter. exposure conditions must be modeled technology such as a time-division (d)(1) Applications for equipment according to protocols established by multiple-access (TDMA) scheme for authorization of portable RF sources FCC-accepted numerical computation transmission of a signal. subject to routine environmental standards or available FCC procedures (5) Visual advisories (such as labeling, evaluation must contain a statement for the specific computational method. embossing, or on an equivalent confirming compliance with the limits Guidance regarding SAR measurement electronic display) on portable devices specified in § 1.1310 of this chapter as techniques can be found in the Office of designed only for occupational use can part of their application. Technical Engineering and Technology (OET) be used as part of an applicant’s information showing the basis for this Laboratory Division Knowledge evidence of the device user’s awareness statement must be submitted to the Database (KDB). The staff guidance of occupational/controlled exposure Commission upon request. The SAR provided in the KDB does not limits. Such visual advisories shall be limits specified in § 1.1310(a) through necessarily represent the only legible and clearly visible to the user (c) of this chapter shall be used for acceptable methods for measuring RF from the exterior of the device. Visual evaluation of portable devices exposure or RF emissions, and is not advisories must indicate that the device transmitting in the frequency range from binding on the Commission or any is for occupational use only, refer the 100 kHz to 6 GHz. Portable devices that interested party. user to specific information on RF transmit at frequencies above 6 GHz (3) For purposes of analyzing portable exposure, such as that provided in a shall be evaluated in terms of the MPE RF sources under the occupational/ user manual and note that the advisory limits specified in Table 1 to controlled SAR criteria specified in and its information is required for FCC § 1.1310(e)(1) of this chapter. A § 1.1310 of this chapter, time averaging RF exposure compliance. Such minimum separation distance provisions of the limits may be used in instructional material must provide applicable to the operating conjunction with the maximum duty users with information on how to use

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the device and to ensure users are fully ■ 11. Section 15.247 is amended by ■ 14. Section 15.319 is amended by aware of and able to exercise control designating the note following revising paragraph (i) to read as follows: over their exposure to satisfy paragraph (h) as ‘‘note to paragraph (h)’’ compliance with the occupational/ and by revising paragraph (i). § 15.319 General technical requirements. controlled exposure limits. A sample of The revision reads as follows: * * * * * the visual advisory, illustrating its § 15.247 Operation within the bands 902– (i) Radio frequency devices operating location on the device, and any 928 MHz, 2400–2483.5 MHz, and 5725–5850 under the provisions of this part are instructional material intended to MHz. subject to the radio frequency radiation accompany the device when marketed, exposure requirements specified in shall be filed with the Commission * * * * * (i) Radio frequency devices operating §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 along with the application for under the provisions of this part are of this chapter, as appropriate. All equipment authorization. Details of any subject to the radio frequency radiation equipment shall be considered to special training requirements pertinent exposure requirements specified in operate in a ‘‘general population/ to mitigating and limiting RF exposure §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 uncontrolled’’ environment. should also be submitted. Holders of of this chapter, as appropriate. Applications for equipment grants for portable devices to be used in Applications for equipment authorization of mobile or portable occupational settings are encouraged, devices operating under this section but not required, to coordinate with authorization of mobile or portable devices operating under this section must contain a statement confirming end-user organizations to ensure compliance with these requirements. appropriate RF safety training. must contain a statement confirming compliance with these requirements. Technical information showing the (6) General population/uncontrolled basis for this statement must be exposure limits defined in § 1.1310 of Technical information showing the basis for this statement must be submitted to the Commission upon this chapter apply to portable devices request. intended for use by consumers or submitted to the Commission upon persons who are exposed as a request. ■ 15. Section 15.407 is amended by consequence of their employment and ■ 12. Section 15.255 is amended by revising paragraph (f) to read as follows: revising paragraph (g) to read as follows: may not be fully aware of the potential § 15.407 General technical requirements. for exposure or cannot exercise control § 15.255 Operation within the band 57–71 * * * * * over their exposure. No communication GHz. with the consumer including either (f) Radio frequency devices operating visual advisories or manual instructions * * * * * under the provisions of this part are (g) Radio frequency devices operating will be considered sufficient to allow subject to the radio frequency radiation under the provisions of this part are consumer portable devices to be exposure requirements specified in subject to the radio frequency radiation evaluated subject to limits for §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 exposure requirements specified in occupational/controlled exposure of this chapter, as appropriate. All §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 specified in § 1.1310 of this chapter. equipment shall be considered to of this chapter, as appropriate. operate in a ‘‘general population/ PART 15—RADIO FREQUENCY Applications for equipment uncontrolled’’ environment. DEVICES authorization of mobile or portable Applications for equipment devices operating under this section ■ authorization of mobile or portable 9. The authority citation for part 15 must contain a statement confirming devices operating under this section continues to read as follows: compliance with these requirements. must contain a statement confirming Authority: 47 U.S.C. 154, 302a, 303, 304, Technical information showing the compliance with these requirements. 307, 336, 544a, 549. basis for this statement must be Technical information showing the ■ 10. Section 15.212 is amended by submitted to the Commission upon basis for this statement must be revising paragraph (a)(1)(viii) to read as request. submitted to the Commission upon follows: * * * * * request. ■ 13. Section 15.257 is amended by * * * * * § 15.212 Modular transmitters. revising paragraph (g) to read as follows: (a) * * * ■ 16. Section 15.709 is amended by (1) * * * § 15.257 Operation within the band 92–95 revising paragraph (h) to read as (viii) Radio frequency devices GHz. follows: operating under the provisions of this * * * * * part are subject to the radio frequency (g) Radio frequency devices operating § 15.709 General technical requirements. radiation exposure requirements under the provisions of this part are * * * * * specified in §§ 1.1307(b), 1.1310, subject to the radio frequency radiation (h) Compliance with radio frequency 2.1091, and 2.1093 of this chapter, as exposure requirements specified in exposure requirements. White space appropriate. Applications for equipment §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 devices shall ensure compliance with authorization of modular transmitters of this chapter, as appropriate. the Commission’s radio frequency under this section must contain a Applications for equipment exposure requirements in §§ 1.1307(b), statement confirming compliance with authorization of mobile or portable 2.1091 and 2.1093 of this chapter, as these requirements. The modular devices operating under this section appropriate. Applications for equipment transmitter must comply with any must contain a statement confirming authorization of RF sources under this applicable RF exposure requirements in compliance with these requirements. section must contain a statement its final configuration. Technical Technical information showing the confirming compliance with these information showing the basis for this basis for this statement must be requirements. Technical information statement must be submitted to the submitted to the Commission upon showing the basis for this statement Commission upon request. request. must be submitted to the Commission * * * * * * * * * * upon request.

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PART 18—INDUSTRIAL, SCIENTIFIC basis for this statement must be labeling requirement in § 25.285(b), and AND MEDICAL EQUIPMENT submitted to the Commission upon shall ensure compliance with the request. Commission’s radio frequency exposure ■ 17. The authority citation for part 18 requirements in §§ 1.1307(b), 2.1091, continues to read as follows: PART 25—SATELLITE and 2.1093 of this chapter, as Authority: 4, 301, 302, 303, 304, 307. COMMUNICATIONS appropriate. An Environmental Assessment may be required if RF ■ 18. Section 18.313 is added to read as ■ 24. The authority citation for part 25 radiation from the proposed facilities follows: continues to read as follows: would, in combination with radiation § 18.313 Radio frequency exposure Authority: 47 U.S.C. 154, 301, 302, 303, from other sources, cause RF power requirements. 307, 309, 310, 319, 332, 605, and 721, unless density or field strength in an accessible otherwise noted. Radio frequency devices operating area to exceed the applicable limits under the provisions of this part are ■ 25. Section 25.115 is amended by specified in § 1.1310 of this chapter. subject to the radio frequency radiation adding reserved paragraph (o) and Applications for equipment exposure requirements specified in adding paragraph (p) to read as follows: authorization of mobile or portable §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 devices operating under this section § 25.115 Application for earth station must contain a statement confirming of this chapter, as appropriate. authorizations. compliance with these requirements. PART 22—PUBLIC MOBILE SERVICES * * * * * Technical information showing the (p) The licensee and grantees shall basis for this statement must be ■ 19. The authority citation for part 22 ensure compliance with the submitted to the Commission upon continues to read as follows: Commission’s radio frequency exposure request. requirements in §§ 1.1307(b), 2.1091, Authority: 47 U.S.C. 154, 222, 303, 309, * * * * * and 2.1093 of this chapter, as and 332. ■ appropriate. An Environmental 28. Section 25.149 is amended by ■ 20. Section 22.379 is added to read as Assessment may be required if RF revising paragraph (c)(3) to read as follows: radiation from the proposed facilities follows: § 22.379 RF exposure. would, in combination with radiation § 25.149 Application requirements for Licensees and manufacturers shall from other sources, cause RF power ancillary terrestrial components in Mobile- ensure compliance with the density or field strength in an accessible Satellite Service networks operating in the area to exceed the applicable limits 1.5/1.6 GHz and 1.6/2.4 GHz Mobile-Satellite Commission’s radio frequency exposure Service. requirements in §§ 1.1307(b), 2.1091, specified in § 1.1310 of this chapter. See and 2.1093 of this chapter, as § 1.1307(b)(5)(ii). * * * * * appropriate. Applications for equipment ■ 26. Section 25.117 is amended by (c) * * * (3) Licensees and manufacturers shall authorization of mobile or portable revising paragraph (g) to read as follows: ensure compliance with the devices operating under this section § 25.117 Modification of station license. Commission’s radio frequency exposure must contain a statement confirming requirements in §§ 1.1307(b), 2.1091, compliance with these requirements. * * * * * (g) The licensee and grantees shall and 2.1093 of this chapter, as Technical information showing the ensure compliance with the appropriate. An Environmental basis for this statement must be Commission’s radio frequency exposure Assessment may be required if RF submitted to the Commission upon requirements in §§ 1.1307(b), 2.1091, radiation from the proposed facilities request. and 2.1093 of this chapter, as would, in combination with radiation PART 24—PERSONAL appropriate. An Environmental from other sources, cause RF power COMMUNICATIONS SERVICES Assessment may be required if RF density or field strength in an accessible radiation from the proposed facilities area to exceed the applicable limits ■ 21. The authority citation for part 24 would, in combination with radiation specified in § 1.1310 of this chapter. continues to read as follows: from other sources, cause RF power Applications for equipment Authority: 47 U.S.C. 154, 301, 302, 303, density or field strength in an accessible authorization of mobile or portable 309 and 332. area to exceed the applicable limits devices operating under this section specified in § 1.1310 of this chapter. See must contain a statement confirming § 24.51 [Amended] § 1.1307(b)(5)(iii). compliance with these requirements. ■ 22. Section 24.51 is amended by * * * * * Technical information showing the removing paragraph (c). ■ 27. Section 25.129 is amended by basis for this statement must be ■ 23. Section 24.52 is revised to read as revising paragraph (c) to read as follows: submitted to the Commission upon follows: request. § 25.129 Equipment authorization for * * * * * § 24.52 RF exposure. portable earth-station transceivers. ■ 29. Section 25.271 is amended by Licensees and manufacturers shall * * * * * revising paragraph (g) to read as follows: ensure compliance with the (c) In addition to the information Commission’s radio frequency exposure required by § 2.1033(c) of this chapter, § 25.271 Control of transmitting stations. requirements in §§ 1.1307(b), 2.1091, applicants for certification required by * * * * * and 2.1093 of this chapter, as this section shall submit any additional (g) All applicants shall ensure appropriate. Applications for equipment equipment test data necessary to compliance with the Commission’s authorization of mobile or portable demonstrate compliance with pertinent radio frequency exposure requirements devices operating under this section standards for transmitter performance in §§ 1.1307(b), 2.1091, and 2.1093 of must contain a statement confirming prescribed in §§ 25.138, 25.202(f), this chapter, as appropriate. Applicants compliance with these requirements. 25.204, 25.209, and 25.216, must with terminals that will exceed the Technical information showing the demonstrate compliance with the guidelines in § 1.1310 of this chapter for

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radio frequency radiation exposure shall Authority: 47 U.S.C. 154(i), 161, 303(g), absorption rate (SAR) measurement data provide a plan for mitigation of 303(r), 332(c)(7), 1401–1473. be submitted, as described in radiation exposure to the extent ■ 35. Section 90.223 is added to subpart § 2.1093(d)(1) of this chapter. required to meet those guidelines. I to read as follows: Licensees of transmitting earth stations PART 97—AMATEUR RADIO SERVICE are prohibited from using remote earth § 90.223 RF exposure. ■ 40. The authority citation for part 97 stations in their networks that are not Licensees and manufacturers shall continues to read as follows: designed to stop transmission when ensure compliance with the synchronization to signals from the Commission’s radio frequency exposure Authority: 47 U.S.C. 151–155, 301–609, target satellite fails. requirements in §§ 1.1307(b), 2.1091, unless otherwise noted. and 2.1093 of this chapter, as ■ 41. Section 97.13 is amended by PART 27—MISCELLANEOUS appropriate. Applications for equipment revising paragraph (c)(1) to read as WIRELESS COMMUNICATIONS authorization of mobile or portable follows: SERVICES devices operating under this section must contain a statement confirming § 97.13 Restrictions on station location. ■ 30. The authority citation for part 27 compliance with these requirements. * * * * * continues to read as follows: Technical information showing the (c) * * * Authority: 47 U.S.C. 154, 301, 302a, 303, basis for this statement must be (1) The licensee shall ensure 307, 309, 332, 336, 337, 1403, 1404, 1451, submitted to the Commission upon compliance with the Commission’s and 1452, unless otherwise noted. request. radio frequency exposure requirements ■ in §§ 1.1307(b), 2.1091, and 2.1093 of 31. Section 27.52 is revised to read as § 90.1217 [Removed] follows: this chapter, where applicable. In lieu of ■ 36. Section 90.1217 is removed. evaluation with the general population/ § 27.52 RF exposure. uncontrolled exposure limits, amateur Licensees and manufacturers shall PART 95—PERSONAL RADIO licensees may evaluate their operation ensure compliance with the SERVICES with respect to members of his or her Commission’s radio frequency exposure ■ immediate household using the requirements in §§ 1.1307(b), 2.1091, 37. The authority citation for part 95 continues to read as follows: occupational/controlled exposure limits and 2.1093 of this chapter, as in § 1.1310, provided appropriate appropriate. Applications for equipment Authority: 47 U.S.C. 154, 303, 307. training and information has been authorization of mobile or portable ■ 38. Section 95.2385 is revised to read accessed by the amateur licensee and devices operating under this section as follows: members of his/her household. RF must contain a statement confirming exposure of other nearby persons who compliance with these requirements. § 95.2385 WMTS RF exposure evaluation. are not members of the amateur Technical information showing the Mobile and portable devices as licensee’s household must be evaluated basis for this statement must be defined in §§ 2.1091(b) and 2.1093(b) of with respect to the general population/ submitted to the Commission upon this chapter operating in the WMTS are uncontrolled exposure limits. request. subject to radio frequency radiation Appropriate methodologies and exposure requirements as specified in guidance for evaluating amateur radio PART 73—RADIO BROADCAST §§ 1.1307(b), 2.1091, and 2.1093 of this service operation is described in the SERVICES chapter, as appropriate. Applications for Office of Engineering and Technology equipment authorization of WMTS ■ (OET) Bulletin 65, Supplement B. 32. The authority citation for part 73 devices must contain a statement * * * * * continues to read as follows: confirming compliance with these Authority: 47 U.S.C. 154, 155, 301, 303, requirements. Technical information PART 101—FIXED MICROWAVE 307, 309, 310, 334, 336, 339. showing the basis for this statement SERVICE ■ 33. Section 73.404 is amended by must be submitted to the Commission revising paragraph (e)(10) to read as upon request. ■ 42. The authority citation for part 101 follows: ■ 39. Section 95.2585 is revised to read continues to read as follows: * * * * * as follows: Authority: 47 U.S.C. 154, 303. (e) * * * § 95.2585 MedRadio RF exposure ■ 43. Section 101.1425 is revised to read (10) Licensees and permittees shall evaluation. as follows: ensure compliance with the A MedRadio medical implant device Commission’s radio frequency exposure § 101.1425 RF exposure. or medical body-worn transmitter is requirements in § 1.1307(b) of this subject to the radiofrequency radiation MVDDS stations in the 12.2–12.7 GHz chapter. An Environmental Assessment exposure requirements specified in frequency band shall ensure compliance may be required if RF radiation from the §§ 1.1307(b) and 2.1093 of this chapter, with the Commission’s radio frequency proposed facilities would, in as appropriate. Applications for exposure requirements in § 1.1307(b) of combination with radiation from other equipment authorization of devices this chapter. An Environmental sources, cause RF power density or field operating under this section must Assessment may be required if RF strength in an accessible area to exceed demonstrate compliance with these radiation from the proposed facilities the applicable limits specified in requirements using either would, in combination with radiation § 1.1310 of this chapter. computational modeling or laboratory from other sources, cause RF power density or field strength in an accessible PART 90—PRIVATE LAND MOBILE measurement techniques. Where a area to exceed the applicable limits RADIO SERVICES showing is based on computational modeling, the Commission retains the specified in § 1.1310 of this chapter. ■ 34. The authority citation for part 90 discretion to request that supporting [FR Doc. 2020–02745 Filed 3–31–20; 8:45 am] continues to read as follows: documentation and/or specific BILLING CODE 6712–01–P

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DEPARTMENT OF COMMERCE DATES: Effective 1200 hrs, Alaska local Corporation’s DFA in the Aleutian time (A.l.t.), March 27, 2020, until 2400 Islands subarea will not be harvested. National Oceanic and Atmospheric hrs, A.l.t., December 31, 2020. Therefore, in accordance with Administration FOR FURTHER INFORMATION CONTACT: § 679.20(a)(5)(iii)(B)(4), NMFS Steve Whitney, 907–586–7228. reallocates 10,000 mt of Aleut 50 CFR Part 679 SUPPLEMENTARY INFORMATION: NMFS Corporation’s DFA from the Aleutian [Docket No. 200227–0066; RTID 0648– manages the groundfish fishery in the Islands subarea to the Bering Sea XY098] BSAI exclusive economic zone subarea DFA allocations. The 10,000 mt according to the Fishery Management of pollock in the Bering Sea subarea is Fisheries of the Exclusive Economic Plan for Groundfish of the Bering Sea apportioned to the AFA Inshore sector Zone Off Alaska; Reallocation of and Aleutian Islands Management Area (50 percent), AFA catcher/processor Pollock in the Bering Sea and Aleutian (FMP) prepared by the North Pacific sector (40 percent), and the AFA Islands Fishery Management Council (Council) mothership sector (10 percent). The under authority of the Magnuson- 2020 Bering Sea subarea pollock AGENCY: National Marine Fisheries Stevens Fishery Conservation and incidental catch allowance remains at Service (NMFS), National Oceanic and Management Act. Regulations governing 47,453 mt. As a result, the 2020 harvest Atmospheric Administration (NOAA), fishing by U.S. vessels in accordance Commerce. specifications for pollock in the with the FMP appear at subpart H of 50 Aleutian Islands subarea included in the ACTION: Temporary rule. CFR part 600 and 50 CFR part 679. final 2020 and 2021 harvest In the Aleutian Islands subarea, the SUMMARY: NMFS is reallocating the portion of the 2020 pollock total specifications for groundfish in the projected unused amounts of the Aleut allowable catch (TAC) allocated to the BSAI (85 FR 13553, March 9, 2020 and Corporation’s pollock directed fishing Aleut Corporation’s directed fishing 85 FR 17034, March 26, 2020) are allowances from the Aleutian Islands allowance (DFA) is 14,700 metric tons revised as follows: 4,700 mt to Aleut subarea to the Bering Sea subarea (mt) as established by the final 2020 and Corporation’s DFA. Furthermore, directed fisheries. These actions are 2021 harvest specifications for pursuant to § 679.20(a)(5), Table 4 of the necessary to provide opportunity for groundfish in the BSAI (85 FR 13553, final 2020 and 2021 harvest harvest of the 2020 total allowable catch March 9, 2020). specifications for groundfish in the of pollock, consistent with the goals and As of March 24, 2020, the BSAI (85 FR 13553, March 9, 2020 and objectives of the Fishery Management Administrator, Alaska Region, NMFS, 85 FR 17034, March 26, 2020) is revised Plan for Groundfish of the Bering Sea (Regional Administrator) has to make 2020 pollock allocations and Aleutian Islands Management Area. determined that 10,000 mt of Aleut consistent with this reallocation.

TABLE 4—FINAL 2020 ALLOCATIONS OF POLLOCK TACS TO THE DIRECTED POLLOCK FISHERIES AND TO THE CDQ DIRECTED FISHING ALLOWANCES (DFA) 1 [Amounts are in metric tons]

2020 A season 1 2020 B season 1 Area and sector 2020 Allocations SCA harvest A season DFA 2 B season limit DFA

Bering Sea subarea TAC 1 ...... 1,436,900 n/a n/a n/a CDQ DFA ...... 144,400 64,980 40,432 79,420 ICA 1 ...... 47,453 n/a n/a n/a Total Bering Sea non-CDQ DFA ...... 1,245,047 560,271 348,613 684,776 AFA Inshore ...... 622,524 280,136 174,307 342,388 AFA Catcher/Processors 3 ...... 498,019 224,108 139,445 273,910 Catch by C/Ps ...... 455,687 205,059 n/a 250,628 Catch by CVs 3 ...... 42,332 19,049 n/a 23,282 Unlisted C/P Limit 4 ...... 2,490 1,121 n/a 1,370 AFA Motherships ...... 124,505 56,027 34,861 68,478 Excessive Harvesting Limit 5 ...... 217,883 n/a n/a n/a Excessive Processing Limit 6 ...... 373,514 n/a n/a n/a Aleutian Islands subarea ABC ...... 55,120 n/a n/a n/a Aleutian Islands subarea TAC 1 ...... 7,100 n/a n/a n/a CDQ DFA ...... n/a ...... ICA ...... 2,400 1,200 n/a 1,200 Aleut Corporation ...... 4,700 4,700 n/a ...... Area harvest limit 7 ...... n/a n/a n/a n/a 541 ...... 16,536 n/a n/a n/a 542 ...... 8,268 n/a n/a n/a 543 ...... 2,756 n/a n/a n/a Bogoslof District ICA 8 ...... 75 n/a n/a n/a 1 Pursuant to § 679.20(a)(5)(i)(A), the Bering Sea subarea pollock TAC, after subtracting the CDQ DFA (10 percent) and the ICA (3.7 percent), is allocated as a DFA as follows: Inshore sector—50 percent, catcher/processor sector (C/P)—40 percent, and mothership sector—10 percent. In the Bering Sea subarea, 45 percent of the DFA is allocated to the A season (January 20–June 10) and 55 percent of the DFA is allocated to the B season (June 10–November 1). Pursuant to § 679.20(a)(5)(iii)(B)(2), the annual Aleutian Islands pollock (AI pollock) TAC, after subtracting first for the CDQ DFA (10 percent) and second for the ICA (2,400 mt), is allocated to the Aleut Corporation for a pollock directed fishery. In the Aleu- tian Islands subarea, the A season is allocated up to 40 percent of the ABC for AI pollock.

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2 In the Bering Sea subarea, pursuant to § 679.20(a)(5)(i)(C), no more than 28 percent of each sector’s annual DFA may be taken from the SCA before noon, April 1. 3 Pursuant to § 679.20(a)(5)(i)(A)(4), 8.5 percent of the DFA allocated to listed C/Ps shall be available for harvest only by eligible catcher ves- sels with a C/P endorsement delivering to listed C/Ps, unless there is a C/P sector cooperative for the year. 4 Pursuant to § 679.20(a)(5)(i)(A)(4)(iii), the AFA unlisted catcher/processors are limited to harvesting not more than 0.5 percent of the catcher/ processors sector’s allocation of pollock. 5 Pursuant to § 679.20(a)(5)(i)(A)(6), NMFS establishes an excessive harvesting share limit equal to 17.5 percent of the sum of the non-CDQ pollock DFAs. 6 Pursuant to § 679.20(a)(5)(i)(A)(7), NMFS establishes an excessive processing share limit equal to 30.0 percent of the sum of the non-CDQ pollock DFAs. 7 Pursuant to § 679.20(a)(5)(iii)(B)(6), NMFS establishes harvest limits for pollock in the A season in Area 541 of no more than 30 percent, in Area 542 of no more than 15 percent, and in Area 543 of no more than 5 percent of the Aleutian Islands pollock ABC. 8 Pursuant to § 679.22(a)(7)(B), the Bogoslof District is closed to directed fishing for pollock. The amounts specified are for incidental catch only and are not apportioned by season or sector. Note: Seasonal or sector apportionments may not total precisely due to rounding.

Classification Dated: March 27, 2020. The 2020 total allowable catch (TAC) He´le`ne M.N. Scalliet, of pollock in the West Yakutat District This action responds to the best Acting Director, Office of Sustainable of the GOA is 5,554 metric tons (mt) as available information recently obtained Fisheries, National Marine Fisheries Service. established by the final 2020 and 2021 from the fishery. The Assistant [FR Doc. 2020–06813 Filed 3–27–20; 4:15 pm] harvest specifications for groundfish in Administrator for Fisheries, NOAA BILLING CODE 3510–22–P the GOA (85 FR 13802, March 10, 2020). (AA), finds good cause to waive the In accordance with § 679.20(d)(1)(i), requirement to provide prior notice and the Administrator, Alaska Region, opportunity for public comment DEPARTMENT OF COMMERCE NMFS (Regional Administrator), has pursuant to the authority set forth at 5 determined that the 2020 TAC of U.S.C. 553(b)(B) as such requirement is National Oceanic and Atmospheric pollock in the West Yakutat District of impracticable and contrary to the public Administration the GOA will soon be reached. interest. This requirement is Therefore, the Regional Administrator is 50 CFR Part 679 impracticable and contrary to the public establishing a directed fishing interest as it would prevent NMFS from [Docket No. 200221–0062; RTID 0648– allowance of 5,304 mt, and is setting responding to the most recent fisheries XF099] aside the remaining 250 mt as bycatch data in a timely fashion and would to support other anticipated groundfish Fisheries of the Exclusive Economic delay the reallocation of AI pollock. fisheries. In accordance with Zone Off Alaska; Pollock in the West § 679.20(d)(1)(iii), the Regional Since the pollock fishery opened Yakutat District of the Gulf of Alaska January 20, 2020, it is important to Administrator finds that this directed immediately inform the industry as to AGENCY: National Marine Fisheries fishing allowance has been reached. the final Bering Sea subarea pollock Service (NMFS), National Oceanic and Consequently, NMFS is prohibiting allocations. Immediate notification is Atmospheric Administration (NOAA), directed fishing for pollock in the West Yakutat District of the GOA. necessary to allow for the orderly Commerce. conduct and efficient operation of this ACTION: Temporary rule; closure. While this closure is effective the maximum retainable amounts at fishery; allow the industry to plan for SUMMARY: NMFS is prohibiting directed § 679.20(e) and (f) apply at any time the fishing season and avoid potential fishing for pollock in the West Yakutat during a trip. disruption to the fishing fleet as well as District of the Gulf of Alaska (GOA). processors; and provide opportunity to This action is necessary to prevent Classification harvest increased seasonal pollock exceeding the 2020 total allowable catch This action responds to the best allocations while value is optimum. of pollock in the West Yakutat District available information recently obtained NMFS was unable to publish a notice of the GOA. from the fishery. The Assistant providing time for public comment DATES: Effective 1200 hours, Alaska Administrator for Fisheries, NOAA because the most recent, relevant data local time (A.l.t.), March 28, 2020, (AA), finds good cause to waive the only became available as of March 24, through 2400 hours, A.l.t., December 31, requirement to provide prior notice and 2020. 2020. opportunity for public comment The AA also finds good cause to FOR FURTHER INFORMATION CONTACT: Josh pursuant to the authority set forth at 5 waive the 30-day delay in the effective Keaton, 907–586–7228. U.S.C. 553(b)(B) as such requirement is date of this action under 5 U.S.C. SUPPLEMENTARY INFORMATION: NMFS impracticable and contrary to the public 553(d)(3). This finding is based upon manages the groundfish fishery in the interest. This requirement is the reasons provided above for waiver of GOA exclusive economic zone impracticable and contrary to the public prior notice and opportunity for public according to the Fishery Management interest as it would prevent NMFS from comment. Plan for Groundfish of the Gulf of responding to the most recent fisheries Alaska (FMP) prepared by the North data in a timely fashion and would This action is required by § 679.20 Pacific Fishery Management Council delay the closure of directed fishing for and is exempt from review under under authority of the Magnuson- pollock in the West Yakutat District of Executive Order 12866. Stevens Fishery Conservation and the GOA. NMFS was unable to publish Authority: 16 U.S.C. 1801 et seq. Management Act. Regulations governing a notice providing time for public fishing by U.S. vessels in accordance comment because the most recent, with the FMP appear at subpart H of 50 relevant data only became available as CFR part 600 and 50 CFR part 679. of March 26, 2020.

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The AA also finds good cause to prior notice and opportunity for public Dated: March 27, 2020. waive the 30-day delay in the effective comment. He´le`ne M.N. Scalliet, date of this action under 5 U.S.C. This action is required by § 679.20 Acting Director, Office of Sustainable 553(d)(3). This finding is based upon and is exempt from review under Fisheries, National Marine Fisheries Service. the reasons provided above for waiver of Executive Order 12866. [FR Doc. 2020–06785 Filed 3–27–20; 4:15 pm] Authority: 16 U.S.C. 1801 et seq. BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 85, No. 63

Wednesday, April 1, 2020

This section of the FEDERAL REGISTER Assurance and Compliance Division, period before the customer could contains notices to the public of the proposed Federal Grain Inspection Service, AMS, request service from another OA. issuance of rules and regulations. The USDA; phone: (202) 720–9170 or email: However, lack of clarity about how FGIS purpose of these notices is to give interested [email protected]. determined whether to grant ‘‘nonuse of persons an opportunity to participate in the rule making prior to the adoption of the final SUPPLEMENTARY INFORMATION: Under the service’’ exceptions fostered confusion rules. USGSA (7 U.S.C. 71 et seq), each OA in and conflicts among involved parties the United States is assigned a specific and created a perception of geographic area in which it performs all inconsistency regarding the handling of DEPARTMENT OF AGRICULTURE official grain inspection and weighing such requests. Congress eliminated the services for customers within that ‘‘nonuse of service’’ exception from the Agricultural Marketing Service geographic area (7 U.S.C. 79(f)(2)(A)). USGSA in 2015; 2 FGIS subsequently This ensures effective and efficient removed that exception from the 7 CFR Part 800 delivery of official services to all regulations.3 [Doc. No. AMS–FGIS–19–0062] customers within the OA’s designated territory and enhances the orderly Although the ‘‘nonuse of service’’ Exceptions to Geographic Boundaries marketing of grain. The USGSA also exception was eliminated from the provides that customers may obtain USGSA in 2015, Congress reinstated AGENCY: Agricultural Marketing Service, services from other OAs under certain authority to implement a ‘‘nonuse of USDA. circumstances. For instance, OAs may service’’ exception through an ACTION: Advance notice of proposed cross geographic boundaries to provide amendment to the USGSA in the 2018 rulemaking; request for comments. services to requesting customers if: (1) Farm Bill.4 FGIS must now consider The designated OA for the customer’s SUMMARY: The Agricultural Marketing regulatory options related to the geographic area is unable to provide Service (AMS) is issuing this advance reinstatement of the ‘‘nonuse of service’’ necessary services on a timely basis; (2) notice of proposed rulemaking (ANPR) exception (see 7 U.S.C. 79(f)(2)(B)(ii). the customer requires probe inspection in response to recent changes to the on barge-lot basis; or (3) the OA for the With this ANPR, AMS is requesting United States Grain Standards Act customer’s geographic area agrees in public input into the development of (USGSA or Act). The Agricultural writing with the adjacent official agency criteria FGIS could apply to Improvement Act of 2018 (Farm Bill) to waive the current geographic determinations about whether to grant amended the USGSA to allow customers restriction at the customer’s request (7 ‘‘timely service’’ or ‘‘nonuse of service’’ to obtain grain inspection services from U.S.C. 79(f)(2)(B)(i),(iii), and (iv)). These exceptions to requesting customers. other than the designated official allowances are considered exceptions to Particularly, AMS seeks input from inspection agency (OA) for the the USGSA’s standard requirements industry participants and OAs who use customer’s geographic area if the regarding the use of designated OAs to and provide official services and are customer has not been receiving perform inspection services within familiar with grain inspection services services from the designated OA. AMS specified geographic areas. Exceptions under the USGSA. A list of criteria and/ is seeking public comment on criteria to must be approved on a case-by-case or questions commenters may address is evaluate requests submitted under this basis by AMS’s Federal Grain Inspection provided below. AMS welcomes the provision, known as the ‘‘nonuse of Service (FGIS), which administers the submission of data and other service’’ exception. The Agency is also regulations under the USGSA.1 The seeking input on criteria to evaluate information to support commenters’ regulations at 7 CFR part 800 provide views. requests submitted under another the limitations for use of these USGSA exception provision, ‘‘timely exceptions. Restoration of Previous Nonuse of service.’’ Service Exceptions Service Exceptions DATES: Comments must be received by May 1, 2020. A notable exception that has been Subsequent to the 2015 amendments to the USGSA and the 2016 changes to ADDRESSES: Comments must be implemented in the past is known as the submitted through the Federal ‘‘nonuse of service’’ exception. In that the FGIS regulations, a number of e-rulemaking portal at http:// exception, a customer who had not ‘‘nonuse of service’’ exceptions were www.regulations.gov and should obtained inspection services from the terminated. The 2018 Farm Bill directed reference the document number and the designated OA in the customer’s USDA to allow for restoration of those date and page number of this issue of geographic area for a specified length of exceptions where appropriate. the Federal Register. All comments time could obtain services from another Interested parties were given an submitted in response to this notice will OA. At times, the regulations required opportunity to submit restoration be included in the record and will be customers to have not used their requests to FGIS, as described in a made available to the public. Please be designated OA for at least 90 advised that the identity of the consecutive days; at other times the 2 The Agricultural Reauthorizations Act of 2015, individuals or entities submitting regulations specified a 180-day nonuse enacted September 20, 2015 (Pub. L. 114–54 sec. comments will be made public on the 301(b)(3)(A)). 3 internet at the address provided above. 1 FGIS, formerly part of USDA’s Grain Inspection, 81 FR 49855, July 29, 2016. Packers and Stockyards Administration, was 4 The Agricultural Improvement Act of 2018, FOR FURTHER INFORMATION CONTACT: merged with USDA’s Agricultural Marketing enacted December 20, 2018 (Pub. L. 115–334 sec. Sophie Parker, Deputy Director, Quality Service in 2018. 12610(a)(1)(D)).

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Notice to Trade published by AMS on services for 90-consecutive days from its of each OA, (2) fees charged, (3) services March 5, 2019.5 designated OA. offered, (4) number of exceptions c. The request would document, in already approved for an OA, (5) number Termination of Nonuse of Service writing, why the requesting facility has of facilities already lost by exceptions to Exceptions not received official sample-lot other OAs, (5) ability and willingness to The amended USGSA provides that inspection or weighing services for 90- staff an onsite lab? Why or why not? the ‘‘nonuse of service’’ exemption may consecutive days from its designated 7. Should requests for ‘‘nonuse of only be terminated if all the parties to OA. Reasons would be based on data service’’ exceptions be restricted to OAs the exception jointly agree on the and facts regarding the designated OA’s that only cross into an adjacent OA’s termination.6 This means that the operational capacity to provide designated geographic area? Why or customer, the designated OA in the requested service. why not? customer’s geographic area, the OA that d. Prior to finalizing a decision for a 8. Should customers be able to switch has been providing service under the ‘‘nonuse of service’’ exception, AMS back and forth between official agencies exception, and FGIS must agree to would take the following into when they have received a ‘‘nonuse of terminate the exception. This ensures consideration: service’’ exception? that: (1) All parties are aware of the 1. The location of the specified a. Why or why not? change and (2) the designated OA for service point(s); b. If switching was allowed, should the assigned area will resume providing 2. Services offered/requested; there be any restrictions and why? service to the customer. 3. The ability of the alternate OA to 9. Is it difficult to receive accurate, The requirement for all parties to take on additional customers; timely and effective service from your jointly agree on termination of the 4. The ability to staff an onsite officially designated inspection agency? ‘‘nonuse of service’’ exception does not laboratory; a. If so, how does this impact your apply if the designation of an official 5. Impact of weather conditions on facility’s operations? agency is terminated.7 If the designation the designated OA’s ability to provide b. How can this be corrected? of an official agency is renewed or service; and 10. Should FGIS continue to grant restored after being terminated, the 6. Whether the requesting facility has ‘‘nonuse of service’’ exceptions to grain exceptions that were previously ever utilized the official system (i.e., handling facilities that make the approved, under 7 U.S.C. 79(f)(2)(B), facilities that have never used the request? If so, what parameters should may be renewed or restored by official system before do not the agency use to base the decision requesting a determination from FGIS. automatically qualify for ‘‘nonuse of upon? service’’). 11. Should revenue be a factor Request for Comments considered in evaluating and Additional Considerations for Comment AMS is considering use of the determining ‘‘nonuse of service’’ following information for evaluating AMS received several questions from exceptions? exceptions requests under 7 U.S.C. industry members regarding factors that a. What is the rationale for using or 79(f)(2)(B)(i) and (ii). We invite could impact decisions on exceptions. not using such a factor? comments, as well as suggested We are sharing these questions to b. What type of financial alternative or additional criteria. receive public input on whether and/or documentation should be required from how these concerns should be included a requesting facility to justify their i. Timely Service in the process for making decisions on claim? a. The requesting facility would geographic area exceptions under 7 c. Should the financial impact on the submit a verbal or written request for a U.S.C 79(f)(2)(B): designated OA be taken into ‘‘timely service’’ exception. 1. How should FGIS determine consideration? Why or why not? b. The requesting facility would whether someone has not been receiving Comments in response to any or all of provide documentation that the official services? Should FGIS use time the above criteria and questions should designated OA cannot provide service (e.g., 90 days or 180 days) as a basis for be submitted to the address provided in within six (6) hours from the time of the establishing ‘‘non-use? the ADDRESSES section of this notice and request. Valid documentation may 2. How should FGIS determine if OA must be received by May 1, 2020 to include voice mail message, text is unable to provide services in a timely ensure consideration. message, or email which shows the date manner? Should timely results be Authority: 7 U.S.C. 71–87k. and time of the request. considered under the timely service c. The services requested from the exception? If so, what should the Bruce Summers, designated OA would be within the baseline for determining timeliness? Administrator, Agricultural Marketing time frames established in the OA’s 3. Should the approval under timely Service. approved fee schedule. service be granted on a one-time basis [FR Doc. 2020–06614 Filed 3–31–20; 8:45 am] or for a longer period of time? If longer, BILLING CODE P ii. Nonuse of Service what should that timeframe be? a. The requesting facility would 4. What process should be put in submit a written request for a ‘‘nonuse place to make sure all parties are aware FEDERAL RESERVE SYSTEM of service’’ exception. of an exception? b. The requesting facility would 5. Should there be baseline 12 CFR Part 261a demonstrate it has not had official performance measures or qualifications [Docket No. R–1704] sample-lot inspection or weighing established for an OA to be considered as a part of an exception request? If so, [RIN No. 7100–AF78] 5 Restoring Certain Exceptions to the U.S. Grain what should they be? Privacy Act of 1974; Privacy Act Standards Act, published March 5, 2019. https:// 6. Should any of the following factors www.ams.usda.gov/content/restoring-certain- Regulation exceptions-us-grain-standards-act. be considered in granting a ‘‘nonuse of 6 Public Law 115–334 sec. 12610(a)(1)(E). service’’ exception request: (1) Distance AGENCY: Board of Governors of the 7 Public Law 115–334 sec. 12610(a)(2). between a facility and the closest office Federal Reserve System.

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ACTION: Proposed rule and request for records maintained by the Board. It also that this rule will not have a significant comment. sets out the procedures by which an economic impact on a substantial individual may appeal an adverse number of small entities, because it does SUMMARY: Pursuant to the provisions of determination of a request for access or not apply to business entities. the Privacy Act of 1974, notice is given amendment and identifies the systems List of Subjects to Part 261(a) that the Board of Governors of the of records that are exempt from certain Federal Reserve System (Board) provisions of the Privacy Act. Privacy. proposes to amend its regulation The Board is establishing a new Authority and Issuance implementing the Privacy Act of 1974 system of records, BGFRS–43, ‘‘FRB— (Privacy Act Rule). The Board is Security Sharing Platform’’ published For the reasons stated in the proposing to add a new system of elsewhere in this issue of the Federal Supplementary Information, the Board records entitled BGFRS–43, ‘‘FRB— Register. The new system of records proposes to amend 12 CFR part 261a as Security Sharing Platform,’’ to those maintains records relating to the follows: identified as an ‘‘exempt’’ system of Security Sharing Platform that will records. Notice of this new system of allow the Board and the twelve Federal PART 12 CFR 261a—RULES records is published elsewhere in this Reserve Banks (collectively, ‘‘the REGARDING ACCESS TO PERSONAL issue of the Federal Register. Federal Reserve System’’) to share INFORMATION UNDER THE PRIVACY DATES: Comments must be received on information regarding individuals who ACT 1974 are involved in incidents or events that or before May 1, 2020. ■ may affect the safety and security of the 1. The authority citation for part 261a ADDRESSES: You may submit comments, continues to read as follows: identified by Docket Number R–1704 premises, grounds, property, personnel, and RIN 7100–AF74 by any of the and operations of the Federal Reserve Authority: 5 U.S.C. 552a. following methods: System. ■ 2. Amend § 261a.12(b) by The Board proposes to amend its • Agency website: https:// redesignating paragraph (b)(11) as existing list of exempt system of records www.federalreserve.gov. Follow the (b)(12) and adding new paragraph to add BGFRS–43, ‘‘FRB—Security instructions for submitting comments at (b)(11) to read as follows: https://www.federalreserve.gov/apps/ Sharing Platform,’’ as an exempt system foia/proposedregs.aspx. of records pursuant to 5 U.S.C. § 261a.12 Exempt Records. • Email: regs.comments@ 552a(k)(2), which exempts the listed * * * * * federalreserve.gov. Include docket systems from certain provisions of the (b) * * * number in the subject line of the Privacy Act to the extent that the system (11) BGFRS–43 Security Sharing message. contains investigatory material Platform compiled for law enforcement purposes. • Fax: (202) 452–3819 or (202) 452– * * * * * 3102. The Security Sharing Platform system of • records contains investigatory material Board of Governors of Federal Reserve Mail: Ann E. Misback, Secretary, System. Board of Governors of the Federal compiled for law enforcement purposes Michele Taylor Fennell, Reserve System, 20th Street and as it will collect, maintain, and permit Constitution Avenue NW, Washington, the sharing by Federal Reserve System Assistant Secretary of the Board. DC 20551. law enforcement personnel of [FR Doc. 2020–06506 Filed 3–31–20; 8:45 am] All public comments will be made information necessary to protect the BILLING CODE P available on the Board’s website at security and safety of the System’s https://www.federalreserve.gov/apps/ premises, grounds, property, personnel, foia/proposedregs.aspx as submitted, and operations. Law enforcement DEPARTMENT OF HOMELAND unless modified for technical reasons or personnel may use the collected SECURITY to remove sensitive personally information to conduct investigations, identifiable information. Public as appropriate, of suspected violations Coast Guard comments may also be viewed of civil or criminal laws. Therefore, to electronically or in paper in Room 146, the extent BGFRS–43 contains 33 CFR Part 100 investigatory materials compiled for law 1709 New York Avenue NW, [Docket Number USCG–2020–0143] Washington, DC 20006, between 9:00 enforcement purposes, the system is a.m. and 5:00 p.m. on weekdays. appropriately designated as exempt RIN 1625–AA08 pursuant to 5 U.S.C. 552a(k)(2). FOR FURTHER INFORMATION CONTACT: Accordingly, the Board is proposing David B. Husband, Counsel, (202) 530– Special Local Regulation; Upper to amend 12 CFR 261a.12(b) to Potomac River, National Harbor, MD 6270, or [email protected]; Legal redesignate paragraph (b)(11) Division, Board of Governors of the referencing BGFRS/OIG–1 Investigative AGENCY: Coast Guard, DHS. Federal Reserve System, 20th Street and Records as paragraph (b)(12) in order to ACTION: Notice of proposed rulemaking. Constitution Avenue NW, Washington, maintain the Board’s practice of listing DC 20551. OIG-specific SORNs after the general SUMMARY: The Coast Guard is proposing SUPPLEMENTARY INFORMATION: The Board SORNs. The Board proposes to add to establish special local regulations for last revised its Rules Regarding Access BGFRS–43, ‘‘FRB—Security Sharing certain waters of the Upper Potomac to Personal Information under the Platform’’ as new paragraph (b)(11). River. This action is necessary to Privacy Act (the Board’s Privacy Act provide for the safety of life on these Rule), 12 CFR part 261a, in 2010. See75 Regulatory Flexibility Analysis navigable waters located at National FR 63703 (October 18, 2010). The The Privacy Act Regulation sets forth Harbor, MD, during a swim event on Privacy Act Rule sets forth the the procedures by which individuals June 20, 2020. This proposed procedures for individuals requesting to may request access and amendment to rulemaking would prohibit persons and access or amend information about records maintained in systems of vessels from entering the regulated area themselves contained in a system of records at the Board. The Board believes unless authorized by the Captain of the

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Port Maryland-National Capital Region certain waters of the Upper Potomac or petty officer on board and displaying or the Coast Guard Patrol Commander. River before, during, and after the a Coast Guard ensign. We invite your comments on this scheduled event. The Coast Guard is If permission is granted by the COTP proposed rulemaking. proposing this rulemaking under or PATCOM, a person or vessel would DATES: Comments and related material authority in 46 U.S.C. 70034 (previously be allowed to enter the regulated area or must be received by the Coast Guard on 33 U.S.C. 1231). pass directly through the regulated area as instructed. Vessels would be required or before May 1, 2020. III. Discussion of Proposed Rule ADDRESSES: You may submit comments to operate at a safe speed that minimizes identified by docket number USCG– The COTP Maryland-National Capital wake while within the regulated area. 2020–0143 using the Federal Region is proposing to establish a Official patrol vessels will direct non- eRulemaking Portal at http:// special local regulation from 7 a.m. participants while within the regulated www.regulations.gov. See the ‘‘Public through 11 a.m. on June 20, 2020. There area. Vessels would be prohibited from Participation and Request for is no alternate date planned for this loitering within the navigable channel. Comments’’ portion of the event. The regulated area would cover Only participant vessels and official SUPPLEMENTARY INFORMATION section for all navigable waters of the Upper patrol vessels would be allowed to enter further instructions on submitting Potomac River, within an area bounded the swim race area. comments. by a line connecting the following The regulatory text we are proposing points: From the Rosilie Island appears at the end of this document. FOR FURTHER INFORMATION CONTACT: If ° ′ ″ shoreline at latitude 38 47 30.30 N, IV. Regulatory Analyses you have questions about this proposed ° ′ rulemaking, call or email Mr. Ron longitude 077 01 26.70 W, thence west to latitude 38°47′30.00″ N, longitude We developed this proposed rule after Houck, U.S. Coast Guard Sector ° ′ ″ considering numerous statutes and Maryland-National Capital Region; 077 01 37.30 W, thence south to latitude 38°47′08.20″ N, longitude Executive orders related to rulemaking. telephone 410–576–2674, email ° ′ ″ Below we summarize our analyses [email protected]. 077 01 37.30 W, thence east to latitude 38°47′09.00″ N, longitude 077°01′09.20″ based on a number of these statutes and SUPPLEMENTARY INFORMATION: W, thence southeast along the pier to Executive orders, and we discuss First I. Table of Abbreviations latitude 38°47′06.30″ N, longitude Amendment rights of protestors. ° ′ CFR Code of Federal Regulations 077 01 02.50 W, thence north along the A. Regulatory Planning and Review shoreline and west along the southern COTP Captain of the Port Executive Orders 12866 and 13563 extent of the Woodrow Wilson (I–95/I– DHS Department of Homeland Security direct agencies to assess the costs and FR Federal Register 495) Memorial Bridge and south and benefits of available regulatory NPRM Notice of proposed rulemaking west along the shoreline to the point of alternatives and, if regulation is PATCOM Coast Guard Patrol Commander origin, located at National Harbor, MD. necessary, to select regulatory § Section The regulated area is approximately U.S.C. United States Code approaches that maximize net benefits. 1,210 yards in length and 740 yards in Executive Order 13771 directs agencies II. Background, Purpose, and Legal width. to control regulatory costs through a Basis The proposed duration of the rule and budgeting process. This NPRM has not Enviro-Sports Productions, Inc. of size of the regulated area are intended been designated a ‘‘significant Stinson Beach, CA, notified the Coast to ensure the safety of life on these regulatory action,’’ under Executive Guard that it will be conducting the navigable waters before, during, and Order 12866. Accordingly, the NPRM Washington DC Sharkfest Swim event after the open water swim event, has not been reviewed by the Office of from 7:30 a.m. to 10:30 a.m. on June 20, scheduled from 7:30 a.m. to 10:30 a.m. Management and Budget (OMB), and 2020. The open water swim races on June 20, 2020. The COTP and the pursuant to OMB guidance it is exempt consist of approximately 250 adult and Coast Guard Patrol Commander from the requirements of Executive youth participants competing on a (PATCOM) would have authority to Order 13771. designated course with three designated forbid and control the movement of all This regulatory action determination swim distances, including 1 km, 2 km, vessels and persons, including event is based on size, time of day and and 4 km. The course starts and finishes participants, in the regulated area. duration of the regulated area, which at the commercial pier at National Except for Washington DC Sharkfest would impact a small designated area of Harbor, MD. Hazards from the swim Swim event participants and vessels the Upper Potomac River for 4 hours. competition include participants already at berth, a vessel or person The Coast Guard would issue a swimming within and adjacent to the would be required to get permission Broadcast Notice to Mariners via VHF– designated navigation channel and from the COTP or PATCOM before FM marine channel 16 about the status interfering with vessels intending to entering the regulated area. Vessel of the regulated area. Moreover, the rule operate within that channel, as well as operators can request permission to would allow vessels to seek permission swimming within approaches to local enter and transit through the regulated to enter the regulated area, and vessel public and private marinas and public area by contacting the PATCOM on traffic would be able to safely transit the boat facilities. The Captain of the Port VHF–FM channel 16. Vessel traffic regulated area once the PATCOM deems (COTP) Maryland-National Capital would be able to safely transit the it safe to do so. Region has determined that potential regulated area once the PATCOM deems hazards associated with the swim event it safe to do so. A person or vessel not B. Impact on Small Entities would be a safety concern for anyone registered with the event sponsor as a The Regulatory Flexibility Act of intending to participate in this event or participant or assigned as official patrols 1980, 5 U.S.C. 601–612, as amended, for vessels that operate within specified would be considered a non-participant. requires Federal agencies to consider waters of the Upper Potomac River. Official Patrols are any vessel assigned the potential impact of regulations on The purpose of this rulemaking is to or approved by the Commander, Coast small entities during rulemaking. The protect event participants, non- Guard Sector Maryland-National Capital term ‘‘small entities’’ comprises small participants and transiting vessels on Region with a commissioned, warrant, businesses, not-for-profit organizations

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that are independently owned and more Indian tribes, on the relationship V. Public Participation and Request for operated and are not dominant in their between the Federal Government and Comments fields, and governmental jurisdictions Indian tribes, or on the distribution of We view public participation as with populations of less than 50,000. power and responsibilities between the essential to effective rulemaking, and The Coast Guard certifies under 5 U.S.C. Federal Government and Indian tribes. will consider all comments and material 605(b) that this proposed rule would not If you believe this proposed rule has received during the comment period. have a significant economic impact on implications for federalism or Indian Your comment can help shape the tribes, please contact the person listed a substantial number of small entities. outcome of this rulemaking. If you While some owners or operators of in the FOR FURTHER INFORMATION submit a comment, please include the vessels intending to transit the safety CONTACT section. docket number for this rulemaking, zone may be small entities, for the E. Unfunded Mandates Reform Act indicate the specific section of this reasons stated in section IV.A above, document to which each comment this proposed rule would not have a The Unfunded Mandates Reform Act applies, and provide a reason for each significant economic impact on any of 1995 (2 U.S.C. 1531–1538) requires suggestion or recommendation. vessel owner or operator. Federal agencies to assess the effects of If you think that your business, their discretionary regulatory actions. In We encourage you to submit organization, or governmental particular, the Act addresses actions comments through the Federal jurisdiction qualifies as a small entity that may result in the expenditure by a eRulemaking Portal at http:// and that this rule would have a State, local, or tribal government, in the www.regulations.gov. If your material significant economic impact on it, aggregate, or by the private sector of cannot be submitted using http:// please submit a comment (see $100,000,000 (adjusted for inflation) or www.regulations.gov, contact the person FOR FURTHER INFORMATION ADDRESSES) explaining why you think it more in any one year. Though this in the qualifies and how and to what degree proposed rule would not result in such CONTACT section of this document for this rule would economically affect it. an expenditure, we do discuss the alternate instructions. Under section 213(a) of the Small effects of this rule elsewhere in this We accept anonymous comments. All Business Regulatory Enforcement preamble. comments received will be posted without change to http:// Fairness Act of 1996 (Pub. L. 104–121), F. Environment we want to assist small entities in www.regulations.gov and will include understanding this proposed rule. If the We have analyzed this proposed rule any personal information you have rule would affect your small business, under Department of Homeland provided. For more about privacy and organization, or governmental Security Directive 023–01, Rev. 1, submissions in response to this docket, jurisdiction and you have questions associated implementing instructions, see DHS’s Correspondence System of concerning its provisions or options for and Environmental Planning Records notice (85 FR 14226, March 11, compliance, please contact the person COMDTINST 5090.1 (series), which 2020). listed in the FOR FURTHER INFORMATION guide the Coast Guard in complying Documents mentioned in this NPRM CONTACT section. The Coast Guard will with the National Environmental Policy as being available in the docket, and all not retaliate against small entities that Act of 1969 (42 U.S.C. 4321–4370f), and public comments, will be in our online question or complain about this have made a preliminary determination docket at http://www.regulations.gov proposed rule or any policy or action of that this action is one of a category of and can be viewed by following that the Coast Guard. actions that do not individually or website’s instructions. Additionally, if cumulatively have a significant effect on you go to the online docket and sign up C. Collection of Information the human environment. This proposed for email alerts, you will be notified This proposed rule would not call for rule involves implementation of when comments are posted or a final a new collection of information under regulations within 33 CFR part 100 rule is published. applicable to organized marine events the Paperwork Reduction Act of 1995 List of Subjects in 33 CFR Part 100 (44 U.S.C. 3501–3520). on the navigable waters of the United States that could negatively impact the Marine safety, Navigation (water), D. Federalism and Indian Tribal safety of waterway users and shore side Reporting and recordkeeping Governments activities in the event area lasting for 4 requirements, Waterways. A rule has implications for federalism hours. Normally such actions are For the reasons discussed in the under Executive Order 13132, categorically excluded from further preamble, the Coast Guard is proposing Federalism, if it has a substantial direct review under paragraph L[61] of to amend 33 CFR part 100 as follows: effect on the States, on the relationship Appendix A, Table 1 of DHS Instruction between the national government and Manual 023–01–001–01, Rev. 01. We PART 100—SAFETY OF LIFE ON the States, or on the distribution of seek any comments or information that NAVIGABLE WATERS power and responsibilities among the may lead to the discovery of a ■ various levels of government. We have significant environmental impact from 1. The authority citation for part 100 analyzed this proposed rule under that this proposed rule. continues to read as follows: Order and have determined that it is Authority: 46 U.S.C. 70041; 33 CFR 1.05– consistent with the fundamental G. Protest Activities 1. federalism principles and preemption The Coast Guard respects the First ■ 2. Add § 100.T05–0143 to read as requirements described in Executive Amendment rights of protesters. follows: Order 13132. Protesters are asked to contact the Also, this proposed rule does not have person listed in the FOR FURTHER § 100.T05–0143 Washington DC Sharkfest tribal implications under Executive INFORMATION CONTACT section to Swim, Upper Potomac River, National Order 13175, Consultation and coordinate protest activities so that your Harbor, MD. Coordination with Indian Tribal message can be received without (a) Regulated area. The regulations in Governments, because it would not have jeopardizing the safety or security of this section apply to the following area: a substantial direct effect on one or people, places, or vessels. All navigable waters of the Upper

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Potomac River, within an area bounded (3) The COTP Maryland-National DATES: Written comments must be by a line connecting the following Capital Region will provide notice of the received on or before May 1, 2020. points: From the Rosilie Island regulated area through advanced notice ADDRESSES: Submit your comments, shoreline at latitude 38°47′30.30″ N, via Fifth Coast Guard District Local identified by Docket ID No. EPA–R01– longitude 077°01′26.70 W, thence west Notice to Mariners, broadcast notice to OAR–2020–0057 at https:// to latitude 38°47′30.00″ N, longitude mariners, and on-scene official patrols. www.regulations.gov, or via email to 077°01′37.30″ W, thence south to (d) Enforcement officials. The Coast [email protected]. For comments latitude 38°47′08.20″ N, longitude Guard may be assisted with marine submitted at Regulations.gov, follow the 077°01′37.30″ W, thence east to latitude event patrol and enforcement of the online instructions for submitting 38°47′09.00″ N, longitude 077°01′09.20″ regulated area by other Federal, State, comments. Once submitted, comments W, thence southeast along the pier to and local agencies. cannot be edited or removed from latitude 38°47′06.30″ N, longitude (e) Enforcement period. This section Regulations.gov. For either manner of 077°01′02.50″ W, thence north along the will be enforced from 7 a.m. to 11 a.m. submission, the EPA may publish any shoreline and west along the southern June 20, 2020. comment received to its public docket. extent of the Woodrow Wilson (I–95/I– Dated: March 26, 2020. Do not submit electronically any 495) Memorial Bridge and south and Joseph B. Loring, information you consider to be west along the shoreline to the point of Captain, U.S. Coast Guard, Captain of the Confidential Business Information (CBI) origin, located at National Harbor, MD. Port Maryland-National Capital Region. or other information whose disclosure is These coordinates are based on datum restricted by statute. Multimedia NAD 1983. [FR Doc. 2020–06743 Filed 3–31–20; 8:45 am] BILLING CODE 9110–04–P submissions (audio, video, etc.) must be (b) Definitions. As used in this accompanied by a written comment. section— The written comment is considered the Captain of the Port (COTP) Maryland- official comment and should include National Capital Region means the ENVIRONMENTAL PROTECTION discussion of all points you wish to Commander, U.S. Coast Guard Sector AGENCY make. The EPA will generally not Maryland-National Capital Region or consider comments or comment any Coast Guard commissioned, warrant 40 CFR Part 52 contents located outside of the primary or petty officer who has been authorized submission (i.e. on the web, cloud, or by the COTP to act on his behalf. [EPA–R01–OAR–2020–0057; FRL–10007– other file sharing system). For Coast Guard Patrol Commander 24–Region 1] additional submission methods, please (PATCOM) means a commissioned, FOR Air Plan Approval; Vermont; contact the person identified in the warrant, or petty officer of the U.S. Infrastructure State Implementation FURTHER INFORMATION CONTACT section. Coast Guard who has been designated Plan Requirements for the 2015 Ozone For the full EPA public comment policy, by the Commander, Coast Guard Sector Standard information about CBI or multimedia Maryland-National Capital Region. submissions, and general guidance on Official patrol means any vessel AGENCY: Environmental Protection making effective comments, please visit assigned or approved by Commander, Agency (EPA). https://www.epa.gov/dockets/ Coast Guard Sector Maryland-National ACTION: Proposed rule. commenting-epa-dockets. Publicly Capital Region with a commissioned, available docket materials are available warrant, or petty officer on board and SUMMARY: The Environmental Protection at https://www.regulations.gov or at the displaying a Coast Guard ensign. Agency (EPA) is proposing to approve a U.S. Environmental Protection Agency, Participant means all persons and State Implementation Plan (SIP) EPA Region 1 Regional Office, Air and vessels registered with the event revision submitted by the State of Radiation Division, 5 Post Office sponsor as participating in the Vermont. This revision addresses the Square—Suite 100, Boston, MA. EPA Washington DC Sharkfest Swim event or infrastructure requirements of the Clean requests that if at all possible, you otherwise designated by the event Air Act (CAA or Act)—including the contact the contact listed in the FOR sponsor as having a function tied to the interstate transport provisions—for the FURTHER INFORMATION CONTACT section to event. 2015 ozone National Ambient Air schedule your inspection. The Regional (c) Regulations. (1) Except for vessels Quality Standards (NAAQS). The Office’s official hours of business are already at berth, all non-participants are infrastructure requirements are designed Monday through Friday, 8:30 a.m. to prohibited from entering, transiting to ensure that the structural components 4:30 p.m., excluding legal holidays. through, anchoring in, or remaining of each state’s air-quality management FOR FURTHER INFORMATION CONTACT: within the regulated area described in program, including provisions Alison C. Simcox, Air Quality Branch, paragraph (a) of this section unless prohibiting emissions that will have U.S. Environmental Protection Agency, authorized by the COTP Maryland- certain adverse air-quality effects in EPA Region 1, 5 Post Office Square— National Capital Region or PATCOM. other states, are adequate to meet the Suite 100, (Mail code 05–2), Boston, MA (2) To seek permission to enter, state’s responsibilities under the CAA. 02109–3912, tel. (617) 918–1684, email contact the COTP Maryland-National EPA is also proposing to approve State [email protected]. Capital Region at telephone number of Vermont Executive Order (E.O.) 19– SUPPLEMENTARY INFORMATION: 410–576–2693 or on Marine Band 17, Executive Code of Ethics, which Throughout this document whenever Radio, VHF–FM channel 16 (156.8 Vermont submitted with its ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean MHz) or the PATCOM on Marine Band infrastructure submission for the 2015 EPA. Radio, VHF–FM channel 16 (156.8 ozone NAAQS to be added to the SIP. MHz). Those in the regulated area must Because E.O. 19–17 supersedes and Table of Contents comply with all lawful orders or replaces E.O. 09–11, EPA is also I. Background and Purpose directions given to them by the COTP proposing to remove E.O. 09–11 from A. What is the scope of this rulemaking? Maryland-National Capital Region or the Vermont SIP. This action is being B. What guidance is EPA using to evaluate PATCOM. taken under the Clean Air Act. these SIP submissions?

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II. EPA’s Evaluation of Vermont’s A. What is the scope of this rulemaking? memoranda, including a September 13, Infrastructure SIP for the 2015 Ozone EPA is acting on the SIP submission 2013, guidance document entitled Standard ‘‘Guidance on Infrastructure State A. Section 110(a)(2)(A)—Emission Limits from Vermont on the infrastructure requirements of CAA sections 110(a)(1) Implementation Plan (SIP) Elements and Other Control Measures under Clean Air Act Sections 110(a)(1) B. Section 110(a)(2)(B)—Ambient Air and 110(a)(2) for the 2015 ozone NAAQS (including the transport and 110(a)(2)’’ (2013 memorandum). Quality Monitoring/Data System Additional guidance documents C. Section 110(a)(2)(C)—Program for provisions). Enforcement of Control Measures and for Whenever EPA promulgates a new or specifically addressing the interstate- Construction or Modification of revised NAAQS, CAA section 110(a)(1) transport (‘‘good neighbor’’) provisions Stationary Sources requires states to make SIP submissions of infrastructure SIPs (CAA Section D. Section 110(a)(2)(D)—Interstate to provide for the implementation, 110(a)(2)(D)) are given under Section Transport maintenance, and enforcement of the II.D. below. E. Section 110(a)(2)(E)—Adequate NAAQS. This particular type of SIP II. EPA’s Evaluation of Vermont’s Resources submission is commonly referred to as Infrastructure SIP for the 2015 Ozone F. Section 110(a)(2)(F)—Stationary Source an ‘‘infrastructure SIP.’’ These Standard Monitoring System submissions must meet the various G. Section 110(a)(2)(G)—Emergency requirements of CAA section 110(a)(2), In this notice of proposed rulemaking, Powers as applicable. Due to ambiguity in some EPA is proposing action on Vermont’s H. Section 110(a)(2)(H)—Future SIP of the language of CAA section November 19, 2019, infrastructure SIP Revisions 110(a)(2), EPA believes that it is submission for the 2015 ozone NAAQS, I. Section 110(a)(2)(I)—Nonattainment Area appropriate to interpret these provisions including the interstate transport Plan or Plan Revisions Under Part D in the specific context of acting on J. Section 110(a)(2)(J)—Consultation With provisions (CAA section 110(a)(2)(D)(i)). Government Officials; Public infrastructure SIP submissions. EPA has In Vermont’s submission, a detailed list Notifications; Prevention of Significant previously provided comprehensive of Vermont Laws and previously SIP- Deterioration; Visibility Protection guidance on the application of these approved Air Quality Regulations show K. Section 110(a)(2)(K)—Air Quality provisions through a guidance precisely how the various components Modeling/Data document for infrastructure SIP of its EPA-approved SIP meet each of L. Section 110(a)(2)(L)—Permitting Fees submissions and through regional the requirements of section 110(a)(2) of M. Section 110(a)(2)(M)—Consultation/ actions on infrastructure submissions.3 the CAA for the 2015 ozone NAAQS. Participation by Affected Local Entities Unless otherwise noted below, we are The following review evaluates the N. Vermont Executive Order Submitted for following that existing approach in state’s submission in light of section Incorporation Into the SIP acting on this submission. In addition, 110(a)(2) requirements and relevant EPA III. Proposed Action in the context of acting on such guidance. For the state’s November 2019 IV. Incorporation by Reference infrastructure submissions, EPA submission, we provide an evaluation of V. Statutory and Executive Order Reviews evaluates the submitting state’s SIP for the applicable Section 110(a)(2) I. Background and Purpose compliance with statutory and elements, including the transport regulatory requirements, not for the provisions. On October 1, 2015, EPA promulgated state’s implementation of its SIP.4 EPA a revision to the ozone NAAQS (2015 has other authority to address any issues A. Section 110(a)(2)(A)—Emission ozone NAAQS), lowering the level of concerning a state’s implementation of Limits and Other Control Measures both the primary and secondary the rules, regulations, consent orders, This section (also referred to in this standards to 0.070 parts per million etc. that comprise its SIP. action as an element) of the Act requires 1 (ppm). Section 110(a)(1) of the CAA B. What guidance is EPA using to SIPs to include enforceable emission requires states to submit, within 3 years evaluate Vermont’s infrastructure SIP limits and other control measures, after promulgation of a new or revised submission? means or techniques, schedules for standard, SIPs meeting the applicable EPA highlighted the statutory compliance, and other related matters. requirements of section 110(a)(2).2 On However, EPA has long interpreted November 19, 2019, the Vermont Air requirement to submit infrastructure SIPs within 3 years of promulgation of emission limits and control measures Quality and Climate Division (AQCD) of for attaining the standards as being due the Department of Environmental a new NAAQS in an October 2, 2007, guidance document entitled ‘‘Guidance when nonattainment planning Conservation (DEC) submitted a revision requirements are due.5 In the context of to its State Implementation Plan (SIP). on SIP Elements Required Under Sections 110(a)(1) and (2) for the 1997 an infrastructure SIP, EPA is not The SIP revision addresses the evaluating the existing SIP provisions infrastructure requirements of CAA 8-hour Ozone and PM2.5 National Ambient Air Quality Standards’’ (2007 for this purpose. Instead, EPA is only sections 110(a)(1) and 110(a)(2)— evaluating whether the state’s SIP has including the ‘‘Good Neighbor’’ or memorandum). EPA has issued additional guidance documents and basic structural provisions for the ‘‘transport’’ provisions—for the 2015 implementation of the NAAQS. ozone NAAQS. 3 EPA explains and elaborates on these In its November 2019 submittal for ambiguities and its approach to address them in its the 2015 ozone NAAQS, Vermont cites 1 National Ambient Air Quality Standards for September 13, 2013, Infrastructure SIP Guidance Ozone, Final Rule, 80 FR 65292 (October 26, 2015). (available at https://www3.epa.gov/airquality/ a number of provisions of Vermont Although the level of the standard is specified in urbanair/sipstatus/docs/Guidance_on_ Statutes Annotated (V.S.A.) in the units of ppm, ozone concentrations are also Infrastructure_SIP_Elements_Multipollutant_ satisfaction of element A: 10 V.S.A. described in parts per billion (ppb). For example, FINAL_Sept_2013.pdf), as well as in numerous § 554, ‘‘Powers,’’ authorizes the 0.070 ppm is equivalent to 70 ppb. agency actions, including EPA’s prior action on Secretary of the Vermont Agency of 2 SIP revisions that are intended to meet the Vermont’s infrastructure SIP to address the 2012 applicable requirements of section 110(a)(1) and (2) PM2.5 NAAQS. See 83 FR 45194 (September 6, of the CAA are often referred to as infrastructure 2018). 5 See, for example, EPA’s final rule on ‘‘National SIPs and the applicable elements under 110(a)(2) 4 See Montana Envtl. Info. Ctr. v. Thomas, 902 Ambient Air Quality Standards for Lead,’’ 73 FR are referred to as infrastructure requirements. F.3d 971 (9th Cir. 2018). 66964, 67034 (November 12, 2008).

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Natural Resources 6 (ANR) to ‘‘[a]dopt, monitoring network plans to EPA for Sub-Element 1: Enforcement of SIP amend and repeal rules, implementing review and approval. EPA’s review of Measures the provisions’’ of Vermont’s air these annual monitoring plans includes pollution control laws set forth in 10 our evaluation of whether the state: (i) State law provides the Secretary of V.S.A. chapter 23. It also authorizes the Monitors air quality at appropriate ANR with the authority to enforce air Secretary to ‘‘conduct studies, locations throughout the state using pollution control requirements, investigations and research relating to EPA-approved Federal Reference including SIP-approved 10 V.S.A. § 554, air contamination and air pollution’’ Methods or Federal Equivalent Method which authorizes the Secretary of ANR and to ‘‘[d]etermine by appropriate monitors; (ii) submits data to EPA’s Air to ‘‘[i]ssue orders as may be necessary means the degree of air contamination Quality System (AQS) in a timely to effectuate the purposes of [the state’s and air pollution in the state and the manner; and (iii) provides EPA Regional air pollution control laws] and enforce several parts thereof.’’ EPA approved 10 Offices with prior notification of any the same by all appropriate V.S.A. § 554 on June 27, 2017 (82 FR planned changes to monitoring sites or administrative and judicial 29005). Vermont also cites 10 V.S.A. the network plan. proceedings.’’ In addition, Vermont’s SIP-approved regulations VT APCR § 5– § 556, ‘‘Permits for the construction or State law authorizes the Secretary of 501, ‘‘Review of Construction or modification of air contaminant ANR, or authorized representative, to Modification of Air Contaminant sources,’’ which requires applicants to ‘‘conduct studies, investigations and Sources,’’ and VT APCR § 5–502, ‘‘Major obtain permits for constructing or research relating to air contamination Stationary Sources and Major modifying air contaminant sources, and and air pollution’’ and to ‘‘[d]etermine Modifications,’’ establish requirements 10 V.S.A. § 558, ‘‘Emission control by appropriate means the degree of air for permits to construct, modify or requirements,’’ which authorizes the contamination and air pollution in the operate major air contaminant sources. Secretary ‘‘to establish emission control state and the several parts thereof.’’ See requirements . . . necessary to prevent, 10 V.S.A. § 554(8), (9). Vermont EPA proposes that Vermont has met abate, or control air pollution.’’ In Department of Environmental the enforcement of SIP measures addition, Vermont cites 10 V.S.A. § 579 Conservation (DEC), one of several requirements of section 110(a)(2)(C) ‘‘Vehicle emissions labeling program for departments within ANR, operates an with respect to the 2015 ozone NAAQS. new motor vehicles’’ for model year air quality monitoring network, and Sub-Element 2—PSD Program for Major 2010 and later vehicles. EPA approved the state’s 2019 Annual Under Element A of the November Sources and Major Modifications Air Monitoring Network Plan on August 2019 submittal, the state also cites more 15, 2019.8 Furthermore, Vermont PSD applies to new major sources or than 20 Vermont Air Pollution Control populates EPA’s Air Quality System modifications made to major sources for Regulations (VT APCR) that it has (AQS) with air-quality monitoring data pollutants where the area in which the adopted to control the emissions related in a timely manner and provides EPA source is located is in attainment of, or to ozone and ozone precursors (nitrogen with prior notification when unclassifiable with regard to, the oxides (NO ) and volatile organic X considering a change to its monitoring relevant NAAQS. EPA interprets the compounds (VOCs)). A few, with their CAA as requiring each state to make an EPA approval citation 7 are listed here: network or plan. EPA proposes that Vermont has met the infrastructure SIP infrastructure SIP submission for a new § 5–502—Major Stationary Sources and or revised NAAQS demonstrating that Major Modifications (81 FR 50342; requirements of section 110(a)(2)(B) with respect to the 2015 ozone NAAQS. the air agency has a complete PSD August 1, 2016); § 5–251—Control of permitting program in place satisfying Nitrogen Oxides Emissions (81 FR C. Section 110(a)(2)(C)—Program for the current requirements for all 50342; August 1, 2016); § 5–253.5— Enforcement of Control Measures and regulated NSR pollutants. VT DEC’s Stage I Vapor Recovery Controls at for Construction or Modification of EPA-approved PSD rules, contained at Gasoline Dispensing Facilities (81 FR Stationary Sources VT APCR Subchapters I, IV, and V, 23164; April 20, 2016); 5–253.8— contain provisions that address Industrial Adhesives (84 FR 65009; States are required to include a applicable requirements for all regulated November 26, 2019); § 5–253.17— program providing for enforcement of NSR pollutants, including greenhouse Industrial Cleaning Solvents (84 FR all SIP measures and for the regulation gases (GHGs). 65009; November 26, 2019). of construction of new or modified EPA proposes that Vermont meets the stationary sources to meet new source In 2018, EPA evaluated Vermont’s infrastructure requirements of section review (NSR) requirements under PSD permitting program in the context 110(a)(2)(A) for the 2015 ozone NAAQS. prevention of significant deterioration of an infrastructure SIP submission (PSD) and nonattainment new source under CAA § 110(a)(2)(C) and B. Section 110(a)(2)(B)—Ambient Air review (NNSR) programs. Part C of the determined that it satisfies the current Quality Monitoring/Data System CAA (sections 160–169B) addresses requirements for all regulated NSR This section requires SIPs to provide PSD, while part D of the CAA (sections pollutants. See 83 FR 45194 (September for establishment and operation of 171–193) addresses NNSR requirements. 6, 2018). For a detailed analysis, see appropriate devices, methods, systems, The evaluation of each state’s EPA’s proposal in that rulemaking. See and procedures necessary to monitor, submission addressing the 83 FR 30598 (June 29, 2018). No new or compile, and analyze ambient air infrastructure SIP requirements of revised PSD permitting program quality data, and to make these data section 110(a)(2)(C) covers the requirements have become due since available to EPA upon request. Each following: (i) Enforcement of SIP that time. Therefore, for the reasons year, states submit annual air measures; (ii) PSD program for major provided in the June 29, 2018, notice, sources and major modifications; and EPA proposes to approve Vermont’s 6 The Vermont Department of Environmental (iii) a permit program for minor sources infrastructure SIP for the 2015 ozone Conservation is one of three departments within the NAAQS for the requirement in section Vermont ANR. and minor modifications. 7 The citations reference the most recent EPA 110(a)(2)(C) to include a PSD permitting approval of the stated rule or of revisions to the 8 See EPA approval letter located in the docket for program in the SIP that covers the rule. this action. requirements for all regulated NSR

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pollutants as required by part C of the provisions to prohibit in-state emissions Identify downwind air quality Act. activities from having certain adverse problems; (2) identify upwind states air-quality effects on other states due to Sub-Element 3: Preconstruction that impact those downwind air quality interstate transport of pollution. There Permitting for Minor Sources and Minor problems sufficiently such that they are are four so-called ‘‘prongs’’ within CAA Modifications considered ‘‘linked’’ and therefore section 110(a)(2)(D)(i): Section warrant further review and analysis; (3) To address the pre-construction 110(a)(2)(D)(i)(I) contains prongs 1 and identify the emissions reductions regulation of the modification and 2, while section 110(a)(2)(D)(i)(II) necessary (if any), considering cost and construction of minor stationary sources includes prongs 3 and 4. This sub- air quality factors, to prevent linked and minor modifications of major element addresses the first two prongs. upwind states identified in step 2 from stationary sources, an infrastructure SIP Under prongs 1 and 2 of the good contributing significantly to submission should identify the existing neighbor provision, a SIP for a new or nonattainment or interfering with EPA-approved SIP provisions and/or revised NAAQS must contain adequate maintenance of the NAAQS at the include new provisions that govern the provisions prohibiting any source or locations of the downwind air quality minor source pre-construction program other type of emissions activity within problems; and (4) adopt permanent and that regulate emissions of the relevant the state from emitting air pollutants in enforceable measures needed to achieve NAAQS pollutants. On August 1, 2016, amounts that will significantly those emissions reductions. EPA approved revisions to Vermont’s contribute to nonattainment of the minor NSR program. See 81 FR 50342. NAAQS in another state (prong 1) or EPA has released several documents Vermont and EPA rely on the existing from interfering with maintenance of containing information relevant to minor NSR program to ensure that new the NAAQS in another state (prong 2). evaluating interstate transport with and modified sources not captured by EPA and states must give independent respect to the 2015 ozone NAAQS. First, the major NSR permitting programs, VT significance to prong 1 and prong 2 on January 6, 2017, EPA published a APCR § 5–502, do not interfere with when evaluating downwind air-quality notice of data availability (NODA) with attainment and maintenance of the 2015 problems under section preliminary interstate ozone transport ozone NAAQS. 110(a)(2)(D)(i)(I).9 modeling with projected ozone design We are proposing to find that We note that EPA has addressed the values for 2023, on which we requested Vermont has met the requirement to interstate transport requirements of comment.14 The year 2023 was used as have a SIP-approved minor new source CAA section 110(a)(2)(D)(i)(I) with the analytic year for this preliminary review permit program as required respect to prior ozone NAAQS in modeling because that year aligns with under Section 110(a)(2)(C) for the 2015 several regional regulatory actions, the expected attainment year for ozone NAAQS. including the Cross-State Air Pollution Moderate ozone nonattainment areas.15 D. Section 110(a)(2)(D)—Interstate Rule (CSAPR), which addressed On October 27, 2017, we released a Transport interstate transport with respect to the memorandum (2017 memorandum) 1997 ozone NAAQS as well as the 1997 containing updated modeling data for This section contains a and 2006 fine particulate matter (PM ) 2.5 2023, which incorporated changes made comprehensive set of air-quality- standards, and the CSAPR Update for in response to comments on the management elements pertaining to the the 2008 ozone NAAQS (CSAPR NODA.16 Although the 2017 transport of air pollution with which Update).10 These actions only addressed memorandum also released data for a states must comply. It covers the interstate transport in the eastern United 2023 modeling year, we specifically following five topics, categorized as sub- States 11 and did not address the 2015 stated that the modeling may be useful elements: Sub-element 1, Significant ozone NAAQS. contribution to nonattainment, and Through the development and for states developing SIPs to address interference with maintenance of a implementation of CSAPR, the CSAPR remaining good neighbor obligations for NAAQS; Sub-element 2, PSD; Sub- Update and previous regional the 2008 ozone NAAQS, but did not element 3, Visibility protection; Sub- rulemakings pursuant to the good address the 2015 ozone NAAQS. On element 4, Interstate pollution neighbor provision,12 the EPA, working March 27, 2018, we issued a abatement; and Sub-element 5, in partnership with states, developed memorandum (March 2018 International pollution abatement. Sub- the following four-step interstate memorandum) indicating the same 2023 elements 1 through 3 above are found transport framework to address the modeling data released in the 2017 under section 110(a)(2)(D)(i) of the Act, requirements of the good neighbor memorandum would also be useful for and these items are further categorized provision for the ozone NAAQS: 13 (1) evaluating potential downwind air- into the four prongs discussed below. quality problems with respect to the Sub-elements 4 and 5 are found under 9 See North Carolina v. EPA, 531 F.3d 896, 909– section 110(a)(2)(D)(ii) of the Act and 911 (2008). neighbor provision for some previous particulate include provisions insuring compliance 10 See 76 FR 48208 (August 8, 2011) (i.e., CSAPR); matter and ozone NAAQS, including in the Western with sections 115 and 126 of the Act 81 FR 74504 (October 26, 2016) (i.e., CSAPR United States. See, e.g., 83 FR 30380 (June 28, relating to interstate and international Update). 2018); 83 FR 5375, 5376–77 (February 7, 2018). 11 For purposes of CSAPR and the CSAPR Update 14 See Notice of Availability of the EPA’s pollution abatement. action, the Western U.S. (or the West) was Preliminary Interstate Ozone Transport Modeling Sub-Element 1: Section considered to consist of the 11 western contiguous Data for the 2015 Ozone National Ambient Air states of Arizona, California, Colorado, Idaho, Quality Standard (NAAQS). 82 FR 1733 (January 6, 110(a)(2)(D)(i)(I)—Significant Montana, Nevada, New Mexico, Oregon, Utah, 2017). Contribution to Nonattainment (Prong 1) Washington, and Wyoming. The Eastern U.S. (or the 15 82 FR 1735 (January 6, 2017). and Interference With Maintenance of East) was considered to consist of the 37 states east 16 See Information on the Interstate Transport the NAAQS (Prong 2) of the 11 Western states. State Implementation Plan Submissions for the 12 Other regional rulemakings addressing ozone 2008 Ozone National Ambient Air Quality Background transport include the NOX SIP Call, 63 FR 57356 Standards under Clean Air Act Section (October 27, 1998), and the Clean Air Interstate 110(a)(2)(D)(i)(I), October 27, 2017, available in the Section 110(a)(2)(D)(i), known as the Rule (CAIR), 70 FR 25162 (May 12, 2005). docket for this action or at https://www.epa.gov/ ‘‘good neighbor’’ provision, generally 13 The four-step interstate framework has also interstate-air-pollution-transport/interstate-air- requires SIPs to contain adequate been used to address requirements of the good pollution-transport-memos-and-notices.

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2015 ozone NAAQS (step 1 of the four- ‘‘3 x 3’’ approach 19 to evaluating all technical documents included in the step framework). sites, and second, following a modified docket for this action. The March 2018 memorandum approach for coastal monitoring sites in In the CSAPR and the CSAPR Update, included newly available contribution- which ‘‘overwater’’ modeling data were the EPA used a threshold of one percent modeling results to assist states in not included in the calculation of of the NAAQS to determine whether a evaluating their impact on potential future-year design values (referred to as given upwind state was ‘‘linked’’ at step downwind air-quality problems (step 2 the ‘‘no water’’ approach). 2 of the four-step framework and would, therefore, contribute to downwind of the four-step framework) in their For purposes of identifying potential nonattainment and maintenance sites efforts to develop good neighbor SIPs for nonattainment and maintenance identified in step 1. If a state’s impact the 2015 ozone NAAQS to address their receptors in 2023, EPA applied the same interstate transport obligations.17 EPA did not equal or exceed the one-percent approach used in the CSAPR Update, threshold, the upwind state was not subsequently issued two more wherein EPA considered a combination memoranda in August and October ‘‘linked’’ to a downwind air quality of monitoring data and modeling problem, and the EPA, therefore, 2018, providing guidance to states projections to identify monitoring sites developing good neighbor SIPs for the concluded the state will not that are projected to have problems significantly contribute to 2015 ozone NAAQS concerning, attaining or maintaining the NAAQS. respectively, potential contribution nonattainment or interfere with Specifically, EPA identified maintenance of the NAAQS in the thresholds that may be appropriate to nonattainment receptors as those apply in step 2 and considerations for downwind states. However, if a state’s monitoring sites with measured impact equaled or exceeded the one- identifying downwind areas that may values 20 exceeding the NAAQS that have problems maintaining the standard percent threshold, the state’s emissions also have projected (i.e., in 2023) were further evaluated in step 3, taking (under prong 2 of the good neighbor average design values exceeding the provision) at step 1 of the framework.18 into account both air-quality and cost NAAQS. EPA identified maintenance considerations, to determine what, if The March 2018 memorandum receptors as those monitoring sites with any, emissions reductions might be describes the process and results of the projected maximum design values necessary to address the good neighbor updated photochemical and source- exceeding the NAAQS. This included provision. apportionment modeling used to project sites with measured values below the As noted previously, on August 31, ambient ozone concentrations for the NAAQS, but with projected average and 2018, the EPA issued a memorandum year 2023 and the state-by-state impacts maximum design values exceeding the (the August 2018 memorandum) on those concentrations. The March NAAQS, and monitoring sites with providing guidance concerning 2018 memorandum also explains that projected average design values below potential contribution thresholds that the selection of the 2023 analytic year the NAAQS, but with projected may be appropriate to apply with aligns with the 2015 ozone NAAQS maximum design values exceeding the respect to the 2015 ozone NAAQS in attainment year for Moderate NAAQS. EPA included the design step 2. Consistent with the process for nonattainment areas. As described in values and monitoring data for all selecting the one-percent threshold in the 2017 and March 2018 memoranda, monitoring sites projected to be CSAPR and the CSAPR Update, the EPA used the Comprehensive Air potential nonattainment or maintenance memorandum included analytical Quality Model with Extensions (CAMx receptors based on the updated 2023 information regarding the degree to version 6.40) to model average and modeling in Attachment B to the March which potential air-quality thresholds maximum design values in 2023 to 2018 memorandum. would capture the collective amount of identify potential nonattainment and upwind contribution from upwind maintenance receptors (i.e., monitoring After identifying potential downwind states to downwind receptors for the sites that are projected to have problems nonattainment and maintenance 2015 ozone NAAQS. The August 2018 attaining or maintaining the 2015 ozone receptors, EPA performed nationwide, memorandum indicated that, based on NAAQS). state-level ozone source-apportionment the EPA’s analysis of its most recent The March 2018 memorandum modeling to estimate the expected modeling data, the amount of upwind presents design values calculated in two impact from each state to each collective contribution captured using a ways: first, following the EPA’s historic nonattainment and maintenance 1 parts per billion (ppb) threshold is receptor.21 EPA included contribution generally comparable, overall, to the 17 See Information on the Interstate Transport information resulting from the source- amount captured using a threshold State Implementation Plan Submissions for the apportionment modeling in Attachment equivalent to one percent of the 2015 2015 Ozone National Ambient Air Quality C to the March 2018 memorandum. For ozone NAAQS. Accordingly, the EPA Standards under Clean Air Act Section more information on the modeling and 110(a)(2)(D)(i)(I), March 27, 2018, available in the indicated that it may be reasonable and docket for this action or at https://www.epa.gov/ analysis, please see the 2017 and March appropriate for states to use a 1 ppb interstate-air-pollution-transport/interstate-air- 2018 memoranda, the NODA for the contribution threshold, as an alternative pollution-transport-memos-and-notices. preliminary interstate transport to the one-percent threshold, at step 2 18 See Analysis of Contribution Thresholds for assessment, and the supporting of the four-step framework in Use in Clean Air Act Section 110(a)(2)(D)(i)(I) Interstate Transport State Implementation Plan developing their SIP revisions Submissions for the 2015 Ozone National Ambient 19 See March 2018 memorandum, p. 4. addressing the good neighbor provision Air Quality Standards, August 31, 2018) (‘‘August 20 EPA used 2016 ozone design values, based on for the 2015 ozone NAAQS.22 2018 memorandum’’), and Considerations for 2014–2016 measured data, which were the most While the March 2018 memorandum Identifying Maintenance Receptors for Use in Clean current data at the time of the analysis. See Air Act Section 110(a)(2)(D)(i)(I) Interstate attachment B of the March 2018 memorandum, p. presented information regarding the Transport State Implementation Plan Submissions B–1. EPA’s latest analysis of ozone transport for the 2015 Ozone National Ambient Air Quality 21 As discussed in the March 2018 memorandum, following the approaches the EPA has Standards, October 19, 2018, available in the docket EPA performed source-apportionment model runs taken in prior regional rulemaking for this action or at https://www.epa.gov/ for a modeling domain that covers the 48 airmarkets/memo-and-supplemental-information- contiguous United States and the District of actions, the EPA has not made any final regarding-interstate-transport-sips-2015-ozone- Columbia, and adjacent portions of Canada and naaqs. Mexico. 22 See August 2018 memorandum, p. 4.

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determinations regarding how states precursors, and its regional emissions- applicable case law requires the should identify downwind receptors control strategies, including those it has evaluation of good neighbor obligations with respect to the 2015 ozone NAAQS implemented as a member of the Ozone in a future year aligned with the at step 1 of the four-step framework. Transport Commission. attainment date for nonattainment areas Rather, the EPA noted that states have classified as Marginal. EPA’s Evaluation of Vermont’s flexibility in developing their own SIPs The good neighbor provision instructs to follow different analytical approaches Submission the EPA and states to apply its than the EPA’s, so long as their chosen The EPA is proposing to rely on the requirements ‘‘consistent with the approach has an adequate technical 2023 modeling data identifying provisions of’’ title I of the CAA. CAA justification and is consistent with the downwind receptors and upwind state section 110(a)(2)(D)(i); see also North requirements of the CAA. contributions, as released in the March Carolina v. EPA, 531 F.3d 896, 911–12 2018 memorandum, to evaluate (D.C. Circuit 2008). This consistency Vermont’s Submission for Prongs 1 and Vermont’s good neighbor obligation instruction follows the requirement that 2 with respect to the 2015 ozone NAAQS. plans ‘‘contain adequate provisions On November 19, 2019, Vermont On September 13, 2019, the United prohibiting’’ certain emissions in the submitted a SIP revision addressing the States Court of Appeals for the District good neighbor provision. As the D.C. CAA section 110(a)(2)(D)(i)(I) interstate of Columbia Circuit (D.C. Circuit) issued Circuit held in North Carolina, and transport requirements for the 2015 its decision in Wisconsin v. EPA more recently in Wisconsin, the good ozone NAAQS. This ‘‘good neighbor addressing legal challenges to the neighbor provision must be applied in SIP’’ was included as an enclosure in CSAPR Update, in which the EPA a manner consistent with the the state’s infrastructure SIP for the partially addressed certain upwind designation and planning requirements same NAAQS. states’ good neighbor obligations for the in title I that apply in downwind states Vermont relied on the results of the 2008 ozone NAAQS. 938 F.3d 303. and, in particular, the timeframe within EPA’s modeling for the 2015 ozone While the court generally upheld the which downwind states are required to NAAQS contained in the March 2018 rule as to most of the challenges raised implement specific emissions control memorandum to identify downwind in the litigation, the court remanded the measures in nonattainment areas and nonattainment and maintenance CSAPR Update to the extent it failed to submit plans demonstrating how those receptors that may be impacted by require upwind states to eliminate their areas will attain, relative to the emissions from sources in Vermont. significant contributions in accordance applicable attainment dates. See North These results indicate Vermont’s with the attainment dates found in CAA Carolina, 896 F.3d at 912 (holding that greatest impact on any potential section 181 by which downwind states the good neighbor provision’s reference downwind nonattainment or must come into compliance with the to title I requires consideration of both maintenance receptor would be 0.07 NAAQS. Id. at 313. In light of the procedural and substantive provisions ppb. Vermont compared these values to court’s decision, the EPA is providing in title I); Wisconsin, 938 F.3d at 313– a screening threshold of 0.70 ppb, further explanation regarding why it 18. representing one percent of the 2015 proposes to find that it is appropriate While the EPA recognizes, as the ozone NAAQS. Because Vermont’s and consistent with the statute—as well court held in North Carolina and impacts to neighboring states are as the legal precedent—to use the 2023 Wisconsin, that upwind emissions- projected to be less than 0.70 ppb, analytic year for assessing good reduction obligations, therefore, must Vermont concluded that emissions from neighbor obligations for the 2015 ozone generally be aligned with downwind sources within the state will not NAAQS. receptors’ attainment dates, unique significantly contribute to The EPA believes that 2023 is an features of the statutory requirements nonattainment or interfere with appropriate year for analysis of good associated with the Marginal area maintenance of the 2015 ozone NAAQS neighbor obligations for the 2015 ozone planning requirements and attainment in any other state. NAAQS because the 2023 ozone season date under CAA section 182 lead the Vermont also reviewed ozone is the last relevant ozone season during EPA to conclude that it is more concentrations and trends measured at which achieved emissions reductions in reasonable and appropriate to require the state’s three ambient air-quality linked upwind states could assist the alignment of upwind good neighbor monitors and noted that no downwind states with meeting the obligations with later attainment dates concentrations at these monitors has August 2, 2024, Moderate area applicable for Moderate or higher exceeded the 2015 ozone NAAQS since attainment date for the 2015 ozone classifications. Under the Clean Air Act, 2010. Vermont also looked at EPA’s NAAQS. The EPA recognizes that the states with areas designated projected emissions of ozone precursors attainment date for nonattainment areas nonattainment are generally required to performed in support of the CSAPR classified as Marginal for the 2015 submit, as part of their state Update. This modeling included annual ozone NAAQS is August 2, 2021, which implementation plan, an ‘‘attainment total NOx and VOC emissions by state currently applies in several downwind demonstration’’ that shows, usually for the years 2011 through 2017 and nonattainment areas evaluated in the through air-quality modeling, how an 23 area will attain the NAAQS by the projected emissions for 2023. For EPA’s modeling.24 However, as applicable attainment date. See CAA Vermont, emissions of ozone precursors explained below, the EPA does not section 172(c)(1).25 have decreased for the period 2011– believe that either the statute or Such plans must 2017 and are projected to be lower in also include, among other things, the 2023 than in 2017. 24 The Marginal area attainment date is not adoption of all ‘‘reasonably available’’ Vermont’s November 2019 Good applicable for nonattainment areas already Neighbor submission also lists and classified as Moderate or higher, such as the New 25 Part D of title I of the Clean Air Act provides discusses Vermont’s regulations for York Metropolitan Area. For the status of all the plan requirements for all nonattainment areas. nonattainment areas under the 2015 ozone NAAQS, Subpart 1, which includes section 172(c), applies to controlling emissions of ozone see U.S. EPA, 8-Hour Ozone (2015) Designated all nonattainment areas. Congress provided in Area/State Information, https://www3.epa.gov/ subparts 2–5 additional requirements specific to the 23 https://www.epa.gov/air-emissions-modeling/ airquality/greenbook/jbtc.html (last updated Sept. various NAAQS pollutants that nonattainment areas 2011-version-63-platform. 30, 2019). must meet.

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control measures on existing sources, a As part of a historical lookback, EPA connection with which downwind demonstration of ‘‘reasonable further calculated that by the relevant states are also required to demonstrate progress’’ toward attainment, and attainment date for areas classified as attainment and implement controls on contingency measures, which are Marginal, 85 percent of such areas existing sources—i.e., with the specific controls that will take effect if attained the 1979 1-hour ozone NAAQS, Moderate area attainment date, rather the area fails to attain by its attainment and 64 percent attained the 2008 ozone than the Marginal area date. With date or fails to make reasonable further NAAQS. See Response to Comments, respect to the 2015 ozone NAAQS, the progress toward attainment. See, e.g., section A.2.4.27 Based on these Moderate area attainment date will be in CAA section 172(c)(1); 172(c)(2); historical data, EPA expects that many the summer of 2024, and the last full 172(c)(9). areas classified Marginal for the 2015 year of monitored ozone-season data Ozone nonattainment areas classified ozone NAAQS will also attain by the that will inform attainment as Marginal are excepted from these relevant attainment date as a result of demonstrations is, therefore, 2023. general requirements under the CAA— emissions reductions that are already The EPA’s interpretation of the good unlike other areas designated expected to occur through neighbor requirements in relation to the nonattainment under the Act (including implementation of existing local, state, Marginal area attainment date is for other NAAQS pollutants), Marginal and federal emissions reduction consistent with the Wisconsin opinion. ozone nonattainment areas are programs. To the extent states have For the reasons explained below, the specifically exempted from submitting concerns about meeting their attainment court’s holding does not contradict the an attainment demonstration and are date for a Marginal area, the CAA under EPA’s view that 2023 is an appropriate not required to implement any specific section 181(b)(3) provides authority for analytic year in evaluating good emissions controls at existing sources in them to voluntarily request a higher neighbor SIPs for the 2015 ozone order to meet the planning requirements classification for individual areas, if NAAQS. The court in Wisconsin was applicable to such areas. See CAA needed. concerned that allowing upwind section 182(a): ‘‘The requirements of Areas that are classified as Moderate emission reductions to be implemented this subsection shall apply in lieu of any typically have more pronounced air- after the applicable attainment date requirement that the State submit a quality problems than Marginal areas or would require downwind states to demonstration that the applicable have been unable to attain the NAAQS obtain more emissions reductions than implementation plan provides for under the minimal requirements that the Act requires of them, to make up for attainment of the ozone standard by the apply to Marginal areas. See CAA the absence of sufficient emissions applicable attainment date in any sections 181(a)(1) (classifying areas reductions from upwind states. See 938 Marginal Area.’’ 26 Marginal ozone based on the degree of nonattainment F.3d at 316. As discussed previously, nonattainment areas are also exempted relative to the NAAQS), and 181(b)(2) however, this equitable concern only from demonstrating reasonable further (providing for reclassification to the arises for nonattainment areas classified progress towards attainment and next highest designation upon failure to as Moderate or higher for which submitting contingency measures. See attain the standard by the attainment downwind states are required by the CAA section 182(a), which does not date). Thus, unlike Marginal areas, the CAA to develop attainment plans include a reasonable further progress statute explicitly requires a state with an securing reductions from existing requirement and specifically notes that ozone nonattainment area classified as sources and demonstrating how such ‘‘Section [172(c)(9)] of this title (relating Moderate or higher to develop an areas will attain by the attainment date. to contingency measures) shall not attainment plan demonstrating how the See, e.g., CAA section 182(b)(1) & (2) apply to Marginal Areas.’’ state will address the more significant (establishing ‘‘reasonable further Existing regulations—either local, air-quality problem, which generally progress’’ and ‘‘reasonably available state, or federal—are typically part of requires the application of various control technology’’ requirements for the reason why ‘‘additional’’ local control measures to existing sources of Moderate nonattainment areas). Ozone controls are not needed to bring emissions located in the nonattainment nonattainment areas classified as Marginal nonattainment areas into area. See generally CAA sections 172(c) Marginal are not required to meet these attainment. As described in EPA’s and 182(b)–(e). same planning requirements, and thus record for its final rule defining area Given that downwind states are not the equitable concerns raised by the classifications for the 2015 ozone required to demonstrate attainment by Wisconsin court do not arise with NAAQS and establishing associated the attainment date or impose respect to downwind areas subject to attainment dates, history has shown that additional controls on existing sources the Marginal area attainment date. most areas classified as Marginal for in a Marginal nonattainment area, EPA The distinction between planning prior ozone standards attained the believes that it would be inconsistent to obligations for Marginal nonattainment respective standards by the Marginal interpret the good neighbor provision as areas and higher classifications was not area attainment date (i.e., without being requiring EPA to evaluate the necessity before the court in Wisconsin. Rather, re-classified to a Moderate designation). for upwind state emissions reductions the court was considering whether the See 83 FR 10376. based on air quality modeled in a future EPA, in implementing its obligation to year aligned with the Marginal area promulgate federal implementation 26 States with Marginal nonattainment areas are attainment date. Rather, EPA believes it plans under CAA section 110(c), was required to implement new source review is more appropriate and consistent with required to fully resolve good neighbor permitting for new and modified sources, but the the nonattainment planning provisions obligations by the 2018 Moderate area purpose of those requirements is to ensure that attainment date for the 2008 ozone potential emissions increases do not interfere with in title I to evaluate downwind air progress towards attainment, as opposed to quality and upwind state contributions, NAAQS. See 938 F.3d at 312–13. reducing existing emissions. Moreover, EPA and, therefore, the necessity for upwind Although the court noted that acknowledges that states within ozone transport state emissions reductions, in a year petitioners had not ‘‘forfeited’’ an regions must implement certain emission control argument with respect to the Marginal measures at existing sources in accordance with aligned with an area classification in CAA section 184, but those requirements apply area attainment date, see id. at 314, the regardless of the applicable area designation or 27 Available at https://www.regulations.gov/ court did not address whether its classification. document?D=EPA-HQ-OAR-2016-0202-0122. holding with respect to the 2018

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Moderate area date would have applied contribution data regarding the impact potential receptors, and, thus, the state with equal force to the Marginal area of other states on the potential will not significantly contribute to attainment date because that date had receptors. nonattainment or interfere with already passed. Thus, the court did not For purposes of evaluating Vermont’s maintenance of the NAAQS in any other have the opportunity to consider these 2015 ozone NAAQS interstate transport state. differential planning obligations in SIP submission, given that the state Sub-Element 2: Section reaching its decision regarding the contributes less than one percent to 110(a)(2)(D)(i)(II)—PSD (Prong 3) EPA’s obligations relative to the then- downwind nonattainment and applicable 2018 Moderate area maintenance sites, it is reasonable to To prevent significant deterioration of attainment date, because such conclude that the state’s impact will not air quality, this sub-element requires considerations were not applicable to significantly contribute to SIPs to include provisions that prohibit the case before the court.28 For the nonattainment or interfere with any source or other type of emissions reasons discussed here, the equitable maintenance of the NAAQS in any other activity in one state from interfering concerns supporting the Wisconsin state. This is consistent with our with measures that are required in any court’s holding as to upwind state October 13, 2016, action on Vermont’s other state’s SIP under Part C of the obligations relative to the Moderate area SIP with respect to the 2008 ozone CAA. As explained in the 2013 attainment date also support the EPA’s NAAQS (81 FR 70631) and with the memorandum, a state may meet this interpretation of the good neighbor EPA’s approach to both the 1997 and requirement with respect to in-state provision relative to the Marginal area 2008 ozone NAAQS in CSAPR and the sources and pollutants that are subject attainment date. Thus, EPA proposes to CSAPR Update. EPA notes, nonetheless, to PSD permitting through a conclude that its reliance on an that consistent with the August 2018 comprehensive PSD permitting program evaluation of air quality in the 2023 memorandum, it may be reasonable and that applies to all regulated NSR analytical year for purposes of assessing appropriate for states to use a 1 ppb pollutants and that satisfies the good neighbor obligations with respect contribution threshold, as an alternative requirements of EPA’s PSD to the 2015 ozone NAAQS is based on to a one-percent threshold, at step 2 of implementation rules. As discussed a reasonable interpretation of the CAA the four-step framework in developing above under element C, Vermont has and legal precedent. their SIP revisions addressing the good such a PSD permitting program. For in- As previously discussed, the March neighbor provision for the 2015 ozone state sources not subject to PSD, this 2018 memorandum identifies potential NAAQS. However, for the reasons requirement can be satisfied through a downwind nonattainment and discussed below, it is unnecessary for fully-approved nonattainment new maintenance receptors, using the EPA to determine whether it may be source review (NNSR) program with definitions applied in the CSAPR appropriate to apply a 1 ppb threshold respect to any previous NAAQS. EPA’s Update and using both the ‘‘3 x 3’’ and for purposes of this action. latest approval of some revisions to the ‘‘no water’’ approaches to The EPA’s updated 2023 modeling Vermont’s NNSR regulations was on calculating future year design values. discussed in the March 2018 August 1, 2016. See 81 FR 50342. The March 2018 memorandum memorandum indicates that Vermont’s Therefore, we are proposing to approve identifies 57 potential nonattainment largest impact on any potential this sub-element for the 2015 ozone and maintenance receptors in the West downwind nonattainment and NAAQS. in Arizona (2), California (49), and maintenance receptor is 0.07 ppb.30 Sub-Element 3: Section 29 Colorado (6). The March 2018 This value is less than 0.70 ppb (one 110(a)(2)(D)(i)(II)—Visibility Protection memorandum also provides percent of the 2015 ozone NAAQS),31 (Prong 4) and demonstrates that emissions from 28 With regard to applicable The D.C. Circuit, in a short judgment, Vermont are not linked to any 2023 requirements for visibility protection of subsequently vacated and remanded the EPA’s downwind potential nonattainment and action purporting to fully resolve good neighbor section 110(a)(2)(D)(i)(II), states are maintenance receptors identified in the obligations for certain states for the 2008 ozone subject to visibility and regional haze NAAQS, referred to as the CSAPR Close-Out, 83 FR March 2018 memorandum. Accordingly, program requirements under part C of 65878 (Dec. 21, 2018). New York v. EPA, No. 19– we propose to conclude that emissions the CAA (which includes sections 169A 1019 (Oct. 1, 2019). That result necessarily followed from Vermont will not contribute to any from the Wisconsin decision, because as the EPA and 169B). The 2009 memorandum, conceded, the Close-Out ‘‘relied upon the same 2011 memorandum, and 2013 statutory interpretation of the Good Neighbor 30 The EPA’s analysis indicates that Vermont will Provision’’ rejected in Wisconsin. Id. slip op. at 3. have a 0.07 ppb impact at the potential memorandum recommend that these In the Close-Out, the EPA had analyzed the year nonattainment receptor in Queens, NY (Site ID requirements can be satisfied by an 2023, which was two years after the Serious area 360810124), which has a 2023 projected average approved SIP addressing reasonably attainment date for the 2008 ozone NAAQS and not design value of 70.2 ppb, a 2023 projected attributable visibility impairment, if aligned with any attainment date for that NAAQS. maximum design value of 72.0 ppb, and had a Id. at 2. In New York, as in Wisconsin, the court 2014–2016 design value of 69 ppb. The EPA’s required, or an approved SIP addressing was not faced with addressing specific issues analysis further indicates that Vermont will have a regional haze. A fully approved regional associated with the unique planning requirements 0.02 ppb impact at a potential nonattainment haze SIP meeting the requirements of 40 associated with the Marginal area attainment date. receptor in Suffolk, NY (Site ID 361030002), which CFR 51.308 will include all measures 29 The number of receptors in the identified has a projected 2023 average design value of 74.0 western states is 57, irrespective of whether the ‘‘3 ppb, a 2023 projected maximum design value of needed to achieve the state’s x 3’’ or ‘‘no water’’ approach is used. Further, 75.5 ppb, and had a 2014–2016 design value of 72 apportionment of emission reduction although the EPA has indicated that states may ppb. In addition, Vermont will have a 0.02 ppb obligations agreed upon through a have flexibilities to apply a different analytic impact at a potential nonattainment receptor in regional planning process and will approach to evaluating interstate transport, New Haven, CT (Site ID 90099002), which has a including identifying downwind air quality projected 2023 average design value of 69.9 ppb, a therefore ensure that emissions from problems, because the EPA is also concluding in 2023 projected maximum design value of 72.6 ppb, sources under the air agency’s this proposed action that Vermont will have an and had a 2014–2016 design value of 76 ppb. See jurisdiction are not interfering with insignificant impact on any potential receptors the March 2018 memorandum, attachment C. measures required to be included in identified in its analysis, Vermont need not 31 Because none of Vermont’s impacts equal or definitively determine whether the identified exceed 0.70 ppb, they necessarily also do not equal other air agencies’ plans to protect monitoring sites should be treated as receptors for or exceed the 1 ppb contribution threshold visibility. EPA approved Vermont’s the 2015 ozone standard. discussed in the August 2018 memorandum. Regional Haze SIP on May 22, 2012. See

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77 FR 30212. Accordingly, EPA related to section 115 of the CAA for the portion of section 110(a)(2)(E) for the proposes that Vermont meets the 2015 ozone NAAQS. 2015 ozone NAAQS. visibility protection requirements of E. Section 110(a)(2)(E)—Adequate Sub-Element 2: State Board 110(a)(2)(D)(i)(II) for the 2015 ozone Resources Requirements Under Section 128 of the NAAQS. Section 110(a)(2)(E)(i) requires each CAA Sub-Element 4: Section SIP to provide assurances that the state Section 110(a)(2)(E)(ii) requires each 110(a)(2)(D)(ii)—Interstate Pollution will have adequate personnel, funding, SIP to contain provisions that comply Abatement and legal authority under state law to with the state board requirements of This sub-element requires that each carry out its SIP. In addition, section section 128 of the CAA. That provision SIP contain provisions requiring 110(a)(2)(E)(ii) requires each state to contains two explicit requirements: (1) compliance with requirements of comply with the requirements for state That any board or body which approves section 126 relating to interstate boards in CAA section 128. Finally, permits or enforcement orders under pollution abatement. Section 126(a) section 110(a)(2)(E)(iii) requires that, this chapter shall have at least a requires new or modified sources to where a state relies upon local or majority of members who represent the notify neighboring states of potential regional governments or agencies for the public interest and do not derive any impacts from the source. The statute implementation of its SIP provisions, significant portion of their income from does not specify the method by which the state retain responsibility for persons subject to permits and the source should provide the ensuring implementation of SIP enforcement orders under this chapter, notification. States with SIP-approved obligations with respect to relevant and (2) that any potential conflicts of PSD programs must have a provision NAAQS. Section 110(a)(2)(E)(iii), interest by members of such board or requiring such notification by new or however, does not apply to this action body or the head of an executive agency modified sources. because Vermont does not rely upon with similar powers be adequately local or regional governments or On August 1, 2016 (81 FR 50342), disclosed. Section 128 further provides agencies for the implementation of its that a state may adopt more stringent EPA approved revisions to VT APCR SIP provisions. § 5–501, which includes a provision that conflicts of interest requirements and requires VT ANR to provide notice of a Sub-Element 1: Adequate Personnel, requires EPA to approve any such draft PSD permit to, among other Funding, and Legal Authority Under requirements submitted as part of a SIP. entities, any state whose lands may be State Law To Carry Out its SIP, and In Vermont, no board or body affected by emissions from the source. Related Issues approves permits or enforcement orders; VT APCR § 5–501(7)(c). Vermont’s these are approved by the Secretary of Vermont, through its infrastructure Vermont ANR. Thus, with respect to public notice requirements are SIP submittal, has documented that its consistent with the Federal PSD this sub-element, Vermont is subject air agency has the requisite authority only to the requirements of paragraph program’s public notice requirements and resources to carry out its SIP (a)(2) of section 128 of the CAA for affected states under 40 CFR obligations. Vermont cites 10 V.S.A. 51.166(q). Therefore, we propose to (regarding conflicts of interest). § 553, which designates ANR as the air Vermont’s November 19, 2019, approve Vermont’s compliance with the pollution control agency of the state, infrastructure SIP included State of infrastructure SIP requirements of and 10 V.S.A. § 554, which provides the Vermont Executive Order (E.O.) 19–17, section 126(a) for the 2015 ozone Secretary of ANR with the power to Executive Code of Ethics, and requested NAAQS. Vermont has no obligations ‘‘[a]dopt, amend and repeal rules, that we approve it into the SIP and under any other provision of section implementing the provisions’’ of 10 remove E.O. 09–11, which E.O. 19–17 126, and no source or sources within the V.S.A. Chapter 23, Air Pollution supersedes and replaces. EPA originally state are the subject of an active finding Control, and to ‘‘[a]ppoint and employ approved E.O. 09–11 into the SIP on under section 126 of the CAA with personnel and consultants as may be June 27, 2017. See 82 FR 29005. respect to the 2015 ozone NAAQS. necessary for the administration of’’ 10 The submitted Order, E.O. 19–17, V.S.A. Chapter 23. Section 554 also Sub-Element 5: Section prohibits all Vermont executive branch authorizes the Secretary of ANR to 110(a)(2)(D)(ii)—International Pollution appointees (including the ANR ‘‘[a]ccept, receive and administer grants Abatement Secretary) from taking ‘‘any action in or other funds or gifts from public and any matter in which he or she has either private agencies, including the federal This sub-element also requires each a Conflict of Interest or the appearance government, for the purposes of carrying SIP to contain provisions requiring of a Conflict of Interest, until the compliance with the applicable out any of the functions of’’ 10 V.S.A. Conflict is resolved.’’ 33 The Order also requirements of section 115 relating to Chapter 23. Additionally, 3 V.S.A. § 2822 provides the Secretary of ANR international pollution abatement. 33 The Order defines ‘‘Conflict of Interest’’ as ‘‘a Section 115 authorizes the with the authority to assess air permit significant interest of an Appointee or such an Administrator to require a state to revise and registration fees, which fund state interest, known to the Appointee, of a member of its SIP to alleviate international air programs. In addition to Federal his or her immediate family or household, or of a funding and permit and registration business associate, in the outcome of a particular transport into another country where matter pending before the Appointee or his or her the Administrator has made a finding fees, Vermont notes that the Vermont Public Body. ‘Conflict of Interest’ does not include with respect to emissions of the DEC Air Quality and Climate Division any interest that (i) is no greater than that of other particular NAAQS pollutant and its (AQCD) receives state funding to persons generally affected by the outcome of a precursors, if applicable. There are no implement its air programs.32 matter (such as a policyholder in an insurance EPA proposes that Vermont meets the company or a depositor in a bank), or (ii) has been final findings under section 115 of the disclosed to the Secretary and found not to be CAA against Vermont with respect to infrastructure SIP requirements of this significant.’’ ‘‘Appearance of a Conflict of Interest’’ the 2015 ozone NAAQS. Therefore, EPA is defined in the Order as ‘‘the impression that a is proposing that Vermont has met the 32 VT ANR’s authority to carry out the provisions reasonable person might have, after full disclosure of the SIP identified in 40 CFR 51.230 is discussed of the facts, that an Appointee’s judgment might be applicable infrastructure SIP in the sections of this document assessing elements significantly influenced by outside interests, even requirements of section 110(a)(2)(D)(ii) A, C, F, and G, as applicable. though there may be no actual Conflict of Interest.’’

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prohibits a full-time appointee from F. Section 110(a)(2)(F)—Stationary Requirement for Registration, and § 5– being ‘‘the owner of, or financially Source Monitoring System 803, Registration Procedure. See 60 FR interested, directly or indirectly, in any States must establish a system to 2524 (January 10, 1995). Private Entity or private interest subject monitor emissions from stationary Vermont also certifies that nothing in to the supervision of his or her sources and submit periodic emissions its SIP would preclude the use, respective Public Body, except as a reports. Each plan shall also require the including the exclusive use, of any policy holder in an insurance company installation, maintenance, and credible evidence or information, 34 or a depositor in a bank.’’ replacement of equipment, and the relevant to whether a source would have Additionally, the Order requires an implementation of other necessary been in compliance with applicable appointee to ‘‘take all reasonable steps steps, by owners or operators of requirements if the appropriate to avoid any action or circumstances, stationary sources to monitor emissions performance or compliance test or including acts or circumstances which from such sources. The state plan shall procedure had been performed. See 40 may not be specifically prohibited by also require periodic reports on the CFR 51.212(c). th[e] Code [of Ethics], which might nature and amounts of emissions and Vermont provides for correlation by result in (1) [u]ndermining his or her emissions-related data from such VT DEC of emissions reports by sources independence or impartiality or action; sources, and correlation of such reports with applicable emission limitations or (2) [t]aking official action based on by each state agency with any emission standards, as required by CAA unfair considerations; (3) [g]iving limitations or standards. Lastly, the § 110(a)(2)(F)(iii). Vermont receives preferential treatment to any private reports shall be available at reasonable emissions data through its annual interest or Private Entity based on unfair times for public inspection. registration program. Currently, VT DEC considerations; (4) [g]iving preferential Vermont’s infrastructure submittal analyzes a portion of these data treatment to any family member or references existing state regulations manually to correlate a facility’s member of the Appointee’s household; previously approved by EPA that reported data with permit conditions, (5) [u]sing public office for the require sources to monitor emissions including hours of operation, fuel usage, advancement of personal interest; (6) and submit reports. In particular, VT and annual emissions limits for both [u]sing public office to secure special APCR § 5–405, Required Air criteria emissions and hazardous air privileges or exemptions; (7) [a]dversely Monitoring, provides that ANR ‘‘may contaminant emissions. VT DEC reports affecting the confidence of the public in require the owner or operator of any air that it has finished the process of setting the integrity of State government; or (8) contaminant source to install, use and up an integrated electronic database that undermining the climate of civility and maintain such monitoring equipment merges all air contaminant source respect required for every open, and records, establish and maintain information across permitting, democratic government to thrive.’’ such records, and make such periodic compliance and registration programs, The Order also includes specific emission reports as [ANR] shall so that information concerning permit disclosure requirements. Every prescribe.’’ See 45 FR 10775 (February conditions, annual emissions data, and appointee earning $30,000 or more per 19, 1980). Moreover, section 5–402, compliance data are accessible in one year, which includes the ANR Secretary, Written Reports When Requested, location for a particular air contaminant must file annually with the Vermont authorizes ANR to ‘‘require written source. VT DEC further reports that it is Secretary of Civil and Military Affairs reports from the person operating or working on a database function that an ‘‘Ethics Questionnaire’’ identifying responsible for any proposed or existing would automatically correlate emissions ‘‘significant personal interests’’ that air contaminant source, which reports data with permit conditions and other ‘‘might conflict with the best interests of shall contain,’’ among other things, applicable standards electronically to the state.’’ Agency Secretaries must also information concerning the ‘‘nature and enable VT DEC to complete correlation disclose certain additional financial and amount and time periods or durations of more efficiently and accurately. contractual interests to the State Ethics emissions and such other information as Regarding the section 110(a)(2)(F) Commission biennially. EPA proposes may be relevant to the air pollution requirement that the SIP ensure that the to find that E.O. 19–17 satisfies the CAA potential of the source. These reports public has availability to emission § 128 requirement applicable to shall also include the results of such reports, Vermont certified in its Vermont that potential conflicts of source testing as may be required under November 19, 2019, submittal for the interest by the head of an executive Section 5–404 herein.’’ See 81 FR 50342 2015 ozone NAAQS that the Vermont agency that approves permits or (August 1, 2016). Public Records Act, 1 V.S.A. §§ 315– enforcement orders under the CAA be Section 5–404, Methods for Sampling 320, provides for the free and open ‘‘adequately disclosed.’’ Consequently, and Testing of Sources authorizes ANR examination of public records, EPA proposes to approve E.O. 19–17 to ‘‘require the owner or operator of [a] including emissions reports. into the Vermont SIP and, concurrently, source to conduct tests to determine the Furthermore, 10 V.S.A. § 563 to remove E.O. 09–11 from the Vermont quantity of particulate and/or gaseous specifically provides that the ANR SIP. matter being emitted’’ and requires a ‘‘Secretary shall not withhold emissions EPA proposes that Vermont meets the source to allow access, should ANR data and emission monitoring data from infrastructure SIP requirements of this have reason to believe that emission public inspection or review’’ and ‘‘shall portion of section 110(a)(2)(E) for the limits are being violated by the source, keep confidential any record or other 2015 ozone NAAQS. and allows ANR ‘‘to conduct tests of information furnished to or obtained by [its] own to determine compliance.’’ See the Secretary concerning an air 45 FR 10775 (February 19, 1980). In contaminant source, other than 34 The Order defines ‘‘a direct or indirect financial interest’’ to exclude ‘‘any insignificant addition, operators of sources that emit emissions data and emission monitoring interest held individually or by a member of the more than five tons of any and all air data, that qualifies as a trade secret Appointee’s immediate household or by a business contaminants per year are required to pursuant to 1 V.S.A. § 317(c)(9).’’ associate’’ and ‘‘any interest which is no greater register the source with the Secretary of (emphasis added). EPA approved than that of other persons who might be generally affected by the Supervision of the Appointee’s ANR and to submit emissions data section 563 into the Vermont SIP on Public Body.’’ annually, pursuant to § 5–802, June 27, 2017. See 82 FR 29005.

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Consequently, EPA proposes that ozone conditions were to change, 110(a)(2)(H) with respect to the 2015 Vermont meets the infrastructure SIP Vermont does have general authority, as ozone NAAQS. requirements of section 110(a)(2)(F) for noted previously (i.e., 10 V.S.A. § 560 I. Section 110(a)(2)(I)—Nonattainment the 2015 ozone NAAQS. and 10 V.S.A. § 8009), to order a source Area Plan or Plan Revisions Under Part to cease operations if it is determined G. Section 110(a)(2)(G)—Emergency D that emissions from the source pose an Powers imminent danger to human health or Section 110(a)(2)(I) provides that each This section requires that a plan safety or an immediate threat of plan or plan revision for an area provide for state authority analogous to substantial harm to the environment. designated as a nonattainment area shall that provided to the EPA Administrator In addition, as stated in Vermont’s meet the applicable requirements of part in section 303 of the CAA, and adequate infrastructure SIP submittal under the D of the CAA. EPA interprets section contingency plans to implement such discussion of public notification 110(a)(2)(I) to be inapplicable to the authority. Section 303 of the CAA (Element J), Vermont posts near real- infrastructure SIP process because provides authority to the EPA time air quality data, air quality specific SIP submissions for designated Administrator to seek a court order to predictions and a record of historical nonattainment areas, as required under restrain any source from causing or data on the VT DEC website and, when part D, are subject to a different contributing to emissions that present forecast or measured ozone submission schedule under subparts 2 an ‘‘imminent and substantial concentrations exceed the level of the through 5 of part D, extending as far as endangerment to public health or 2015 ozone NAAQS, distributes air 10 years following area designations for welfare, or the environment.’’ Section quality alerts by email to many parties, some elements, whereas infrastructure 303 further authorizes the Administrator including the media and the National SIP submissions are due within three to issue ‘‘such orders as may be Weather Service. Alerts include years after adoption or revision of a necessary to protect public health or information about the health NAAQS. Accordingly, EPA takes action welfare or the environment’’ in the implications of elevated pollutant levels on part D attainment plans through event that ‘‘it is not practicable to assure and list actions to reduce emissions and separate processes. prompt protection . . . by to reduce the public’s exposure. In J. Section 110(a)(2)(J)—Consultation commencement of such civil action.’’ addition, daily forecasted ozone levels With Government Officials; Public On June 27, 2017, EPA approved a are also made available on the internet Notifications; Prevention of Significant Vermont SIP revision addressing the through the EPA AirNow and Deterioration; Visibility Protection EnviroFlash systems. Information requirement that the plan provide for Section 110(a)(2)(J) of the CAA state authority comparable to that in regarding these two systems is available on EPA’s website at www.airnow.gov. requires that each SIP ‘‘meet the section 303 of the CAA. See 82 FR applicable requirements of section 121 29005. For a detailed analysis Notices are sent out to EnviroFlash participants when levels are forecast to of this title (relating to consultation), explaining how Vermont meets this section 127 of this title (relating to requirement, see EPA’s notice of exceed the current ozone standard. EPA proposes that Vermont meets the public notification), and part C of this proposed rulemaking for that action. See applicable infrastructure SIP subchapter (relating to PSD of air 82 FR 15671, 15679 (March 30, 2017). requirements for section 110(a)(2)(G) quality and visibility protection).’’ The For the reasons provided in the March with respect to contingency plans for evaluation of the submission from 2017 notice, we are proposing to the 2015 ozone NAAQS. Vermont with respect to these approve the state’s submittal for this requirements is described below. requirement of Section 110(a)(2)(G) with H. Section 110(a)(2)(H)—Future SIP respect to the 2015 ozone NAAQS. Revisions Sub-Element 1: Consultation With Government Officials Section 110(a)(2)(G) also requires that This section requires that a state’s SIP Vermont have an approved contingency provide for revision from time to time Pursuant to CAA section 121, a state plan for any Air Quality Control Region as may be necessary to take account of must provide a satisfactory process for (AQCR) within the state that is changes in the NAAQS or availability of consultation with local governments classified as Priority I, IA, or II for improved methods for attaining the and Federal Land Managers (FLMs) in certain pollutants. See 40 CFR 51.150, NAAQS and whenever EPA finds that carrying out its NAAQS implementation 51.152(c). In general, contingency plans the SIP is substantially inadequate. To requirements. for Priority I, IA, and II areas must meet address this requirement, Vermont’s Vermont’s 10 V.S.A. § 554 specifies the applicable requirements of 40 CFR infrastructure submittal references 10 that the Secretary of Vermont ANR shall part 51, subpart H (40 CFR 51.150 V.S.A. § 554, which provides the have the power to ‘‘[a]dvise, consult, through 51.153) (‘‘Prevention of Air Secretary of Vermont ANR with the contract and cooperate with other Pollution Emergency Episodes’’) for the power to ‘‘[p]repare and develop a agencies of the state, local governments, relevant NAAQS, if the NAAQS is comprehensive plan or plans for the industries, other states, interstate or covered by those regulations. Both prevention, abatement and control of air interlocal agencies, and the federal AQCRs in Vermont are classified as pollution in this state’’ and to ‘‘[a]dopt, government, and with interested Priority III for ozone, 40 CFR 52.2371, amend and repeal rules, implementing persons or groups.’’ EPA approved 10 and, therefore, Vermont does not need the provisions’’ of Vermont’s air V.S.A. § 554 into the SIP on June 27, to submit a contingency plan to pollution control laws set forth in 10 2017. See 82 FR 29005. In addition, VT implement its emergency episode V.S.A. chapter 23. EPA approved 10 APCR § 5–501(7)(c) requires VT ANR to authority.35 Although not expected, if V.S.A. § 554 into the SIP on June 27, provide notice to local governments and 2017. See 82 FR 29005. EPA proposes federal land managers of a 35 Classification of regions in Vermont is available that Vermont meets the infrastructure determination by ANR to issue a draft at https://www.ecfr.gov/cgi-bin/text-idx?SID= PSD permit for a major stationary source 73d43a45cf13909292d606aad27c9cc6& SIP requirements of CAA section mc=true&node=se40.5.52_12371&rgn=div8 and or major modification. On August 1, ozone monitor values for individual monitoring www.epa.gov/outdoor-air-quality-data/monitor- 2016, EPA approved VT APCR § 5– sites throughout Vermont are available at values-report. 501(7)(c) into Vermont’s SIP. See 81 FR

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50342. Therefore, EPA proposes that noted in EPA’s 2013 memorandum, we sources, in accordance with VT APCR Vermont meets the infrastructure SIP find that there is no new visibility § 5–406. The modeling data are sent to requirements of this portion of section obligation ‘‘triggered’’ under section EPA along with the draft major permit. 110(a)(2)(J) for the 2015 ozone NAAQS. 110(a)(2)(J) when a new NAAQS As a result, the SIP provides for such air becomes effective. In other words, the quality modeling as the Administrator Sub-Element 2: Public Notification visibility protection requirements of has prescribed and for the submission, Pursuant to CAA section 127, states section 110(a)(2)(J) are not germane to upon request, of data related to such must notify the public if NAAQS are infrastructure SIPs for the 2015 ozone modeling. exceeded in an area, advise the public NAAQS. The state also collaborates with the of health hazards associated with Based on the above analysis, EPA Ozone Transport Commission (OTC) exceedances, and enhance public proposes that Vermont meets the and the Mid-Atlantic Regional Air awareness of measures that can be taken infrastructure SIP requirements of sub- Management Association and EPA in to prevent exceedances and of ways in elements 1–3 of section 110(a)(2)(J) for order to perform large-scale urban air which the public can participate in the 2015 ozone NAAQS. We are not shed modeling for ozone and PM, if regulatory and other efforts to improve proposing action on sub-element 4 necessary. EPA proposes that Vermont air quality. because, as noted above, it is not meets the infrastructure SIP Vermont’s 10 V.S.A. § 554 authorizes germane to infrastructure SIPs. requirements of section 110(a)(2)(K) for the Secretary of Vermont ANR to the 2015 ozone NAAQS. ‘‘[c]ollect and disseminate information K. Section 110(a)(2)(K)—Air Quality and conduct educational and training Modeling/Data L. Section 110(a)(2)(L)—Permitting Fees programs relating to air contamination Section 110(a)(2)(K) of the Act This section requires SIPs to mandate and air pollution.’’ In addition, the VT requires that a SIP provide for the that each major stationary source pay DEC Air Quality and Climate Division performance of such air quality permitting fees to cover the costs of website includes near real-time air modeling as the EPA Administrator may reviewing, approving, implementing, quality data, and a record of historical prescribe for the purpose of predicting and enforcing a permit. data. Air quality forecasts are the effect on ambient air quality of any Vermont state law requires distributed daily via email to interested emissions of any air pollutant for which application fees for construction or parties. Air quality alerts are sent by EPA has established a NAAQS, and the modification permits for major email to a large number of affected submission, upon request, of data stationary sources, 10 V.S.A. § 556; VT parties, including the media. Alerts related to such air quality modeling. APCR § 5–504, and sets forth fee include information about the health EPA has published modeling guidelines amounts, 3 V.S.A. § 2822(j)(1)(A)(ii)(I). implications of elevated pollutant levels at 40 CFR part 51, Appendix W, for State law also requires major stationary and list actions to reduce emissions and predicting the effects of emissions of sources to pay annual registration to reduce the public’s exposure. Also, criteria pollutants on ambient air renewal fees. Id. § 2822(j)(1)(B); VT Air Quality Data Summaries of the quality. EPA also recommends in the APCR §§ 5–802, 5–806. Moreover, EPA year’s air quality monitoring results are 2013 memorandum that, to meet section fully approved Vermont’s Title V permit issued annually and posted on the VT 110(a)(2)(K), a state submit or reference program, see VT APCR subchapter X, on DEC Air Quality and Climate Division the statutory or regulatory provisions November 29, 2001. See 66 FR 59535; website. Vermont is also an active that provide the air agency with the see also 40 CFR part 70, appendix A. To partner in EPA’s AirNow and authority to conduct such air quality gain this approval, Vermont EnviroFlash air quality alert programs. modeling and to provide such modeling demonstrated that the annual fees EPA proposes that Vermont meets the data to EPA upon request. required of Title V sources (which infrastructure SIP requirements of this In its submittal, Vermont cites to VT includes major stationary sources) portion of section 110(a)(2)(J) for the APCR § 5–406, Required Air Modeling, under State law are sufficient to cover 2015 ozone NAAQS. which authorizes ‘‘[t]he Air Pollution the costs of reviewing, approving, Control Officer [to] require the owner or implementing, and enforcing the Sub-Element 3: PSD operator of any proposed air permits. See 61 FR 26145 (May 24, EPA has already discussed Vermont’s contaminant source . . . to conduct . . . 1996). PSD program in the context of air quality modeling and to submit an Therefore, EPA proposes that infrastructure SIPs in the paragraphs air quality impact evaluation to Vermont meets the infrastructure SIP addressing section 110(a)(2)(C) and demonstrate that operation of the requirements of section 110(a)(2)(L) for 110(a)(2)(D)(i)(II) and determined that it proposed source . . . will not directly the 2015 ozone NAAQS. satisfies the requirements of EPA’s PSD or indirectly result in a violation of any M. Section 110(a)(2)(M)—Consultation/ implementation rules. Therefore, the ambient air quality standard, interfere Participation by Affected Local Entities SIP also satisfies the PSD sub-element of with the attainment of any ambient air section 110(a)(2)(J) for the 2015 ozone quality standard, or violate any To satisfy Element M, states must NAAQS. applicable prevention of significant provide for consultation with, and deterioration increment....’’ participation by, local political Sub-Element 4: Visibility Protection Vermont reviews the potential impact of subdivisions affected by the SIP. With regard to the applicable such sources consistent with EPA’s Vermont’s infrastructure submittal requirements for visibility protection, ‘‘Guidelines on Air Quality Models’’ at references 10 V.S.A. § 554, which was states are subject to visibility and 40 CFR part 51, appendix W. See VT approved into the VT SIP on June 27, regional haze program requirements APCR § 5–406(2). Vermont also cites to 2017. See 82 FR 29005. This statute under part C of the CAA (which VT APCR § 5–502, Major Stationary authorizes the Secretary of Vermont includes sections 169A and 169B). In Sources and Major Modifications, which ANR to ‘‘[a]dvise, consult, contract and the event of the establishment of a new requires the submittal of an air quality cooperate with other agencies of the NAAQS, however, the visibility and impact evaluation or air quality state, local governments, industries, regional haze program requirements modeling to ANR to demonstrate other states, interstate or interlocal under part C do not change. Thus, as impacts of new and modified major agencies, and the federal government,

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and with interested persons or groups.’’ TABLE 1—PROPOSED ACTION ON INFORMATION CONTACT section of this In addition, VT APCR § 5–501(7) VERMONT’S INFRASTRUCTURE SIP preamble for more information). provides for notification to local SUBMITTAL FOR THE 2015 OZONE V. Statutory and Executive Order officials and agencies about the NAAQS—Continued Reviews opportunity for participating in permitting determinations for the Element 2015 Ozone Under the Clean Air Act, the construction or modification of major Administrator is required to approve a sources. EPA proposes that Vermont (I): Nonattainment area plan or + SIP submission that complies with the meets the infrastructure SIP plan revisions under part D. provisions of the Act and applicable requirements of section 110(a)(2)(M) (J)1: Consultation with govern- A Federal regulations. 42 U.S.C. 7410(k); with respect to the 2015 ozone NAAQS. ment officials. 40 CFR 52.02(a). Thus, in reviewing SIP (J)2: Public notification ...... A submissions, EPA’s role is to approve N. Vermont Executive Order Submitted (J)3: PSD ...... A state choices, provided that they meet for Incorporation Into the SIP (J)4: Visibility protection ...... + the criteria of the Clean Air Act. Vermont’s November 19, 2019, (K): Air quality modeling and A data. Accordingly, this proposed action infrastructure SIP submittal for the 2015 (L): Permitting fees ...... A merely approves state law as meeting ozone NAAQS included State of (M): Consultation and participa- A Federal requirements and does not Vermont Executive Order (E.O.) 19–17, tion by affected local entities. impose additional requirements beyond Executive Code of Ethics. As requested those imposed by state law. For that by Vermont, EPA is proposing to In the above table, the key is as reason, this proposed action: approve E.O. 19–17 into the Vermont follows: • Is not a significant regulatory action SIP and, because E.O. 19–17 supersedes subject to review by the Office of and replaces E.O. 09–11, to remove E.O. A ...... Approve Management and Budget under 09–11 from the Vermont SIP. NA ...... Not applicable Executive Orders 12866 (58 FR 51735, III. Proposed Action. + ...... Not germane to infrastructure SIPs October 4, 1993) and 13563 (76 FR 3821, January 21, 2011); EPA is proposing to approve the In addition, EPA is proposing to • Is not expected to be an Executive elements of the infrastructure SIP approve, and incorporate into the Order 13771 regulatory action because submitted by Vermont on November 19, Vermont SIP, the following Executive this action is not significant under 2019, for the 2015 ozone NAAQS. Order, which was included for approval Executive Order 12866; Specifically, EPA’s proposed action in Vermont’s infrastructure SIP • Does not impose an information regarding each infrastructure SIP submittal: collection burden under the provisions requirement is contained in Table 1 State of Vermont Executive Order No. of the Paperwork Reduction Act (44 below. U.S.C. 3501 et seq.); 19–17, Executive Code of Ethics, • effective December 4, 2017. Is certified as not having a TABLE 1—PROPOSED ACTION ON significant economic impact on a EPA is also proposing to remove State VERMONT’S INFRASTRUCTURE SIP substantial number of small entities of Vermont Executive Order No. 09–11, under the Regulatory Flexibility Act (5 SUBMITTAL FOR THE 2015 OZONE Executive Code of Ethics, which has U.S.C. 601 et seq.); NAAQS been superseded and replaced by • Does not contain any unfunded Executive Order No. 19–17. Element 2015 Ozone mandate or significantly or uniquely EPA is soliciting public comments on affect small governments, as described (A): Emission limits and other A the issues discussed in this notice or on in the Unfunded Mandates Reform Act control measures. other relevant matters. These comments of 1995 (Pub. L. 104–4); (B): Ambient air quality moni- A will be considered before taking final • Does not have Federalism toring and data system. action. Interested parties may implications as specified in Executive (C)1: Enforcement of SIP A participate in the Federal rulemaking measures. Order 13132 (64 FR 43255, August 10, procedure by submitting written 1999); (C)2: PSD program for major A comments to this proposed rule by sources and major modifica- • Is not an economically significant tions. following the instructions listed in the regulatory action based on health or (C)3: PSD program for minor A ADDRESSES section of this Federal safety risks subject to Executive Order sources and minor modifica- Register. 13045 (62 FR 19885, April 23, 1997); tions. • IV. Incorporation by Reference Is not a significant regulatory action (D)1: Contribute to nonattain- A subject to Executive Order 13211 (66 FR ment/interfere with mainte- In this rule, EPA is proposing to 28355, May 22, 2001); nance of NAAQS. include in a final EPA rule regulatory • Is not subject to requirements of (D)2: PSD ...... A text that includes incorporation by (D)3: Visibility Protection ...... A Section 12(d) of the National (D)4: Interstate Pollution Abate- A reference. In accordance with Technology Transfer and Advancement ment. requirements of 1 CFR 51.5, EPA is Act of 1995 (15 U.S.C. 272 note) because (D)5: International Pollution A proposing to incorporate by reference application of those requirements would Abatement. the Vermont executive order regarding be inconsistent with the Clean Air Act; (E)1: Adequate resources ...... A the State’s executive code of ethics and (E)2: State boards ...... A discussed in Section II of this preamble. • Does not provide EPA with the (E)3: Necessary assurances NA EPA has made, and will continue to discretionary authority to address, as with respect to local agen- make, these documents generally cies. appropriate, disproportionate human (F): Stationary source moni- A available through https:// health or environmental effects, using toring system. www.regulations.gov and at the EPA practicable and legally permissible (G): Emergency power ...... A Region 1 Office (please contact the methods, under Executive Order 12898 (H): Future SIP revisions ...... A person identified in the FOR FURTHER (59 FR 7629, February 16, 1994).

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In addition, the SIP is not approved instructions for submitting comments. chemicals subject to a SNUR must to apply on any Indian reservation land Do not submit electronically any certify their compliance with the SNUR or in any other area where EPA or an information you consider to be requirements. Any person who exports Indian tribe has demonstrated that a Confidential Business Information (CBI) or intends to export the chemical tribe has jurisdiction. In those areas of or other information whose disclosure is substance that is the subject of a final Indian country, the rule does not have restricted by statute. rule are subject to the export tribal implications and will not impose • Mail: Document Control Office notification provisions of TSCA section substantial direct costs on tribal (7407M), Office of Pollution Prevention 12(b) (15 U.S.C. 2611(b)) (40 CFR governments or preempt tribal law as and Toxics (OPPT), Environmental 721.20), and must comply with the specified by Executive Order 13175 (65 Protection Agency, 1200 Pennsylvania export notification requirements in 40 FR 67249, November 9, 2000). Ave. NW, Washington, DC 20460–0001. CFR part 707, subpart D. • Hand Delivery: To make special List of Subjects in 40 CFR Part 52 B. What should I consider as I prepare arrangements for hand delivery or my comments for EPA? Environmental protection, Air delivery of boxed information, please pollution control, Carbon monoxide, follow the instructions at http:// 1. Submitting CBI. Do not submit this Incorporation by reference, www.epa.gov/dockets/contacts.html. information to EPA through Intergovernmental relations, Lead, Additional instructions on commenting regulations.gov or email. Clearly mark Nitrogen dioxide, Ozone, Particulate or visiting the docket, along with more the part or all of the information that matter, Reporting and recordkeeping information about dockets generally, is you claim to be CBI. For CBI requirements, Sulfur oxides, Volatile available at http://www.epa.gov/ information in a disk or CD–ROM that organic compounds. dockets. you mail to EPA, mark the outside of the disk or CD–ROM as CBI and then Dated: March 24, 2020. FOR FURTHER INFORMATION CONTACT: For identify electronically within the disk or Dennis Deziel, technical information contact: Kenneth CD–ROM the specific information that Regional Administrator, EPA Region 1. Moss, Chemical Control Division, Office is claimed as CBI. In addition to one of Pollution Prevention and Toxics, [FR Doc. 2020–06659 Filed 3–31–20; 8:45 am] complete version of the comment that Environmental Protection Agency, 1200 BILLING CODE 6560–50–P includes information claimed as CBI, a Pennsylvania Ave. NW, Washington, DC copy of the comment that does not 20460–0001; telephone number: (202) contain the information claimed as CBI ENVIRONMENTAL PROTECTION 564–8974; email address: must be submitted for inclusion in the AGENCY [email protected]. public docket. Information so marked For general information contact: The will not be disclosed except in 40 CFR Part 721 TSCA-Hotline, ABVI-Goodwill, 422 accordance with procedures set forth in South Clinton Ave., Rochester, NY [EPA–HQ–OPPT–2019–0614; FRL–10004– 40 CFR part 2. 14620; telephone number: (202) 554– 51] 2. Tips for preparing your comments. 1404; email address: TSCA-Hotline@ When preparing and submitting your RIN 2070–AB27 epa.gov. comments, see the commenting tips at Modification of Significant New Uses SUPPLEMENTARY INFORMATION: http://www.epa.gov/dockets/ of Certain Chemical Substances I. General Information comments.html. AGENCY: Environmental Protection A. Does this action apply to me? II. Background Agency (EPA). You may be potentially affected by A. What action is the Agency taking? ACTION: Proposed rule. this action if you manufacture, process, EPA is proposing amendments to the SUMMARY: EPA is proposing to amend or use the chemical substances SNURs for chemical substances in 40 the significant new use rules (SNURs) contained in this proposed rule. The CFR part 721, subpart E. A SNUR for a for chemical substances, which were the following list of North American chemical substance designates certain subject of a premanufacture notice Industrial Classification System activities as a significant new use. (PMN) and a significant new use notice (NAICS) codes is not intended to be Persons who intend to manufacture or (SNUN). This action would amend the exhaustive, but rather provides a guide process the chemical substance for the SNURs to allow certain new uses to help readers determine whether this significant new use must notify EPA at reported in the SNUNs without document applies to them. Potentially least 90 days before commencing that affected entities may include: activity. The required notification additional notification requirements and • modify the significant new use Manufacturers or processors of the would initiate EPA’s evaluation of the notification requirements based on the chemical substance (NAICS codes 325 intended use within the applicable actions and determinations for the and 324110), e.g., chemical review period. Manufacture and SNUN submissions. EPA is proposing manufacturing and petroleum refineries. processing for the significant new use this amendment based on review of new This proposed rule may affect certain would be unable to commence until and existing data for the chemical entities through pre-existing import EPA conducted a review of the notice, substances. certification and export notification made an appropriate determination on rules under TSCA. Chemical importers the notice, and took such actions as are DATES: Comments must be received on are subject to the TSCA section 13 (15 required with that determination. or before May 1, 2020. U.S.C. 2612) import certification ADDRESSES: Submit your comments, requirements promulgated at 19 CFR B. What is the Agency’s authority for identified by docket identification (ID) 12.118 through 12.127 and 19 CFR taking this action? number EPA–HQ–OPPT–2019–0614, by 127.28 and must certify that the TSCA section 5(a)(2) (15 U.S.C. one of the following methods: shipment of the chemical substance 2604(a)(2)) authorizes EPA to determine • Federal eRulemaking Portal: http:// complies with all applicable rules and that a use of a chemical substance is a www.regulations.gov. Follow the online orders under TSCA. Importers of ‘‘significant new use.’’ EPA must make

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this determination by rule after • CFR citation assigned in the aquatic toxicity testing would help considering all relevant factors and may regulatory text section of this proposed characterize the potential health and issue or modify a TSCA section 5(e) rule. environmental effects of the chemical Order and/or amend the SNUR substance PMN P–95–169; SNUN S–08–7; SNUN promulgated under TSCA section CFR citation: 40 CFR 721.5185. S–14–1; and SNUN S–17–10 5(a)(2). Procedures and criteria for PMN P–10–136 and SNUN S–18–5 modifying or revoking SNUR Chemical name: 2-Propen-1-one, 1-(4- requirements appear at 40 CFR 721.185. morpholinyl)-. Chemical names: (P–10–136, CAS number: 5117–12–4. Chemical A) Butanoic acid, 3-mercapto- III. Significant New Use Determination Federal Register publication date and , 1,1′-[2,2-bis[(substituted-1- TSCA section 5(a)(2) states that EPA’s reference: Jan. 5, 2000 (65 FR 354) oxoalkoxy)methyl]-1,3-propanediyl] determination that a use of a chemical (FRL–6055–2), amended May 13, 2011 ester (generic) and (P–10–136, Chemical substance is a significant new use must (76 FR 27910) (FRL–8871–5), and B) Butanoic acid, 3-mercapto-,1,1′-[2- be made after consideration of all amended June 30, 2015, (80 FR 37165) (hydroxymethyl)-2-(substituted-1- relevant factors, including: (FRL–9928–93). oxoalkoxy)methyl)-1,3-propanediyl] • The projected volume of Basis for the modified significant new ester (generic). manufacturing and processing of a use rule: P–95–169 is used as a diluent CAS numbers: Not Available. chemical substance. for ultraviolet and electron beam Federal Register publication date and • The extent to which a use changes curable resins for coatings, inks, and reference: Apr. 27, 2012, (77 FR 25236) the type or form of exposure of human curable adhesives, S–14–1 is used as a (FRL– 9343–4). beings or the environment to a chemical monomer in ultraviolet ink jet Basis for the modified significant new substance. applications and S–08–7 is used in use rule: P–10–136 states that the • The extent to which a use increases energy production. The proposed SNUR chemical substances will be used as a the magnitude and duration of exposure modification of April 9, 2015, (80 FR monomer for acryl-based ultra-violet of human beings or the environment to 19037) (FRL–9924–10) contains the (UV)-curing coatings, inks, and a chemical substance. basis of the current SNUR codified at 40 adhesives. A SNUR was issued based on • The reasonably anticipated manner CFR 721.5185. meeting the concern criteria at 40 CFR and methods of manufacturing, On June 12, 2017, EPA received a 721.170(b)(3)(i) and (b)(4)(i). EPA processing, distribution in commerce, SNUN (S–17–10) involving the chemical identified concerns for systemic and disposal of a chemical substance. substance for use as a monomer for use toxicity, mutagenic effects, dermal In determining whether and how to in stereolithography. The 90-day review sensitization and neurotoxicity, based amend the significant new uses for the period for the SNUN expired on on test data on the PMN substances. The chemical substances that are the subject February 6, 2018 and a TSCA section SNUR required notification for domestic of these SNURs EPA considered 5(e) Order was issued under TSCA manufacture; for use other than as a relevant information about the toxicity sections 5(a)(3)(B)(ii)(I) and monomer for acryl-based ultra-violet of the chemical substance, likely human 5(e)(1)(A)(ii)(I), based on a (UV)-curing coatings, inks, and exposures and environmental releases determination that the use may present adhesives; and for manufacturing, associated with possible uses, and the an unreasonable risk of injury to human processing or use resulting in releases to four TSCA section 5(a)(2) factors listed health and the environment. EPA surface waters exceeding 2 ppb. in this unit. identified concerns, based on acute On August 16, 2018, EPA received S– IV. Substances Subject to This Proposed toxicity, neurotoxicity, eye irritation, 18–5 for the generic (non-confidential) Significant New Use Rule Amendment sensitization, liver toxicity, and aquatic use as a monomer for industrial and Proposed Changes toxicity test data for the chemical adhesives, coatings and inks. The 90- substance. In addition to the dermal day review period expired on EPA is proposing to amend the protection, hazard communication, use, September 25, 2019. Based on the significant new use and recordkeeping and water release notification activities described in the SNUN, EPA requirements for chemical substances in requirements under the SNUR, the determined under TSCA section 40 CFR part 721, subpart E. In this unit, TSCA section 5(e) Order for S–17–10 5(a)(3)(C) that the use is not likely to EPA provides the following information required respirators to prevent present an unreasonable risk. The for each chemical substance: inhalation exposure during the use of • PMN number and SNUN number. modified SNUR would retain the • Chemical name (generic name, if the chemical substance as a monomer in existing notification requirements and the specific name is claimed as CBI). stereolithography. The proposed remove the new use described in S–18– • Chemical Abstracts Service (CAS) amendment would remove the use 5 from the scope of the significant new number (if assigned for non-confidential described in the SNUN from the scope use. chemical identities). of the significant new use, except where Potentially Useful Information: • Federal Register publication date that use does not include the protective Certain information may be potentially and reference for the final SNUR measures described in the TSCA section useful to characterize the health and previously issued. 5(e) Order for S–17–10. environmental effects of the chemical • Basis for the Proposed Amendment. Potentially Useful Information: substances if a manufacturer or • Potentially Useful Information. This Certain information may be potentially processor is considering submitting a is information identified by EPA that useful to characterize the health and SNUN for a significant new use that would help characterize the potential environmental effects of the chemical would be designated by this proposed health and/or environmental effects of substance in support of a request to SNUR. The results of specific target the chemical substance in support of a modify the TSCA section 5(e) Order, or organ toxicity and aquatic toxicity request by the PMN submitter to modify if a manufacturer or processor is testing would help characterize the the TSCA Order, or if a manufacturer or considering submitting a SNUN for a potential health and environmental processor is considering submitting a significant new use that would be effects of the chemical substances. SNUN for a significant new use designated by this proposed SNUR. The CFR citations: 40 CFR 721.10371 and designated by the SNUR. results of specific organ toxicity and 40 CFR 721.10372.

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PMN P–12–44; SNUN S–18–4; and day review period for the SNUN expired m3; use without establishment and use SNUN S–19–5 on August 9, 2019. Based on the of a hazard communication program; Chemical name: Functionalized activities described in the SNUN, domestic manufacture; use other than multi-walled carbon nanotubes including the requirements of the TSCA the confidential use specified in the (generic). Order for S–18–4, EPA determined TSCA Order; and exceeding an CAS number: None. under TSCA section 5(a)(3)(C) that the aggregate confidential production Federal Register publication date and use is not likely to present an volume limit. reference: May 9, 2013, (78 FR 27056) unreasonable risk. EPA modified the On January 19, 2017, EPA received PMN P–17–217 for the same chemical (FRL–9384–8). TSCA Order for S–18–4 to allow the use Basis for the modified significant new described in the SNUN. substance for use as an additive to The proposed amendment would (1) use rule: The generic (non-confidential) increase the porosity in the manufacture remove the new uses described in of diesel particulate filters. The 90-day use for P–12–44 is an additive for rubber SNUN S–19–5 from the scope of the review period for the PMN expired on and batteries. The SNUR was issued significant new use and (2) remove the July 4, 2017. Based on the activities based on meeting the concern criteria at new uses described in SNUN S–18–4 described in the PMN, an Order was 40 CFR 721.170(b)(3)(ii) and (b)(4)(ii). from the scope of the significant new issued under TSCA sections EPA identified concerns for lung effects use except where that use does not 5(a)(3)(B)(ii)(I) and 5(e)(1)(A)(ii)(I), to workers exposed to the PMN include the protective measures based on a determination that the substance and for sublethal effects in described in the TSCA Order for S–18– chemical substance may present an fish at levels at 100 ppb. The SNUR 4. unreasonable risk of injury to human required notification if the chemical Potentially Useful Information: health. In addition to the restrictions substance was used other than for the Certain information may be potentially identified for the SNUR, the TSCA confidential use described in the PMN, useful to characterize the health and Order for P–17–217 did not allow for manufacturing, processing or use as environmental effects of the chemical processing or use of the chemical a powder, and for manufacturing, substance in support of a request to substance involving an application processing or use resulting in releases to modify the TSCA section 5(e) Order, or method that generates a dust, vapor, surface waters. if a manufacturer or processor is mist, or aerosol; permitted use as an On May 14, 2018, EPA received a considering submitting a SNUN. The additive for diesel particulate filters SNUN, S–18–4 for the chemical results of particle size information, manufacture to increase the porosity of substance for use as a chemical additive specific organ toxicity, carcinogenicity, the filter material for export only (i.e., in epoxy compounds for transportation, and acute and chronic aquatic toxicity no use of the additive formulation marine and industrial coatings, paints testing would help characterize the within the United States); and required and manufactured goods. The 90-day potential health and environmental certain testing before exceeding an review period for the SNUN expired on effects of the chemical substance. aggregate production volume limit of February 22, 2019. Based on the CFR citation: 40 CFR 721.10663. 2,500,000 kilograms. activities described in the SNUN, an On June 4, 2019, EPA received a Order was issued under TSCA sections PMN P–12–0292; PMN P–17–217; and SNUN, S–19–4 for use of the chemical 5(a)(3)(B)(ii)(I) and 5(e)(1)(A)(ii)(I), SNUN S–19–4 substance as a lubricating agent in the based on determinations under sections Chemical name: Coke (coal), production of automotive disc brakes. 5(a)(3)(B)(i) and 5(e)(1)(A)(i) of TSCA secondary pitch; a carbon-containing The 90-day review period for the SNUN that the use may present an residue from the coking of air blown expired on September 13, 2019. Based unreasonable risk of injury to human pitch coke oil and/or pitch distillate; on the activities described in the SNUN, health, and the information available to composed primarily of isotropic carbon, EPA determined under TSCA section the Agency is insufficient to permit a it contains small amounts of sulfur and 5(a)(3)(C) that the use is not likely to reasoned evaluation of the ash constituents. present an unreasonable risk. environmental effects. EPA identified CAS number: 94113–91–4. The modified SNUR proposes to concerns for lung effects, Federal Register publication date and designate as a ‘‘significant new use’’ carcinogenicity, immunotoxicity, and reference: November 17, 2016 (81 FR processing or use of the chemical thymus toxicity. 81264) (FRL–9953–41). substance involving an application Due to potential worker exposures, Basis for the modified significant new method that generates a dust, vapor, the TSCA Order for S–18–4 allows the use rule: P–12–292 states the generic mist, or aerosol, exceeding an aggregate use of the chemical substance as a (non-confidential) use of the chemical production volume of 2,500,000 chemical additive for use in epoxy substance is in the carbon graphite kilograms, and to allow the uses compounds for transportation, marine industry. The SNUR issued under TSCA described in P–17–217 and S–19–4. It and industrial coatings, paints and sections 5(e)(1)(A)(i) and 5(e)(1)(A)(ii)(I), would also be a significant new use to manufactured goods and requires was based on the chemical substance use the substance in an additive personal protective equipment may present an unreasonable risk of formulation to produce diesel including respirators to prevent dermal injury to human health. EPA identified particulate filters within the United and inhalation exposure. The TSCA concerns for lung effects and cancer to States. Order also retains the same workers exposed to the substance via Potentially Useful Information: requirements as the SNUR for no water inhalation based on SAR analysis of test Certain information may be potentially release, for no manufacturing, data on analogous respirable, poorly useful to characterize the health effects processing or use as a powder, and soluble particulates, in the carbon black. of the chemical substance in support of allowing the confidential use described The SNUR required notification for use a request to modify the TSCA section in PMN P–12–44. without the personal protective 5(e) Order, or if a manufacturer or On May 20, 2019 EPA received a equipment, including a NIOSH-certified processor is considering submitting a SNUN, S–19–5 for the chemical respirator with an APF of at least 50 or SNUN for a significant new use that substance from the same submitter as S– compliance with a New Chemicals would be designated by this proposed 18–4 for use in conductive ink. The 90- Exposure Limit (NCEL) of 0.0025 mg/ SNUR. The results of pulmonary

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toxicity and carcinogenicity testing would be regulated as a ‘‘significant that they will be able to conduct the would help characterize the potential new use’’ if this proposed rule is appropriate tests. health effects of the chemical substance. finalized, must cease any such activity SNUN submitters should be aware CFR citation: 40 CFR 721.10928. as of the effective date of the rule if and that EPA will be better able to evaluate V. Rationale for the Proposed Rule when finalized. To resume their SNUNs which provide detailed activities, these persons would have to information on the following: In those instances where EPA comply with all applicable SNUR notice • Human exposure and expanded the scope of the significant requirements and wait until the notice environmental release that may result new use, the Agency identified review period, including all extensions, from the significant new use of the concerns, as discussed in Unit IV., expires. chemical substances. associated with certain uses that are not current. EPA determined that those uses VII. Development and Submission of VIII. SNUN Submissions could result in changes in the type or Information According to 40 CFR 721.1(c), persons form of exposure to the chemical TSCA section 5 generally does not submitting a SNUN must comply with substance and/or increased exposures to require developing any particular new the same notification requirements and the chemical substance and/or changes information (e.g., generating test data) EPA regulatory procedures as persons in the reasonably anticipated manner before submission of a SNUN. There is submitting a PMN, including and methods of manufacturing, an exception: If a person is required to submission of test data on health and processing, distribution in commerce, submit information for a chemical environmental effects as described in 40 and disposal of the chemical substance, substance pursuant to a rule, order or CFR 720.50. SNUNs must be submitted in addition to considering the factors consent agreement under TSCA section on EPA Form No. 7710–25, generated discussed in Unit IV. 4 (15 U.S.C. 2603), then TSCA section using e-PMN software, and submitted to VI. Applicability of the Proposed Rule 5(b)(1)(A) (15 U.S.C. 2604(b)(1)(A)) the Agency in accordance with the to Uses Occurring Before Effective Date requires such information to be procedures set forth in 40 CFR 721.25 of the Final Rule submitted to EPA at the time of and 40 CFR 720.40. E–PMN software is submission of the SNUN. available electronically at https:// To establish a significant new use, www.epa.gov/opptintr/newchems. EPA must determine that the use is not In the absence of a rule, order, or ongoing. EPA solicits comments on consent agreement under TSCA section IX. Economic Analysis whether any of the uses that are not 4 covering the chemical substance, persons are required only to submit EPA has evaluated the potential costs currently a significant new use under of establishing SNUN requirements for the current rule, but which would be information in their possession or control and to describe any other potential manufacturers and processors regulated as a ‘‘significant new use’’ if of the chemical substances subject to this proposed rule is finalized are information known or reasonably ascertainable (40 CFR 720.50). Unit IV. this proposed rule. The EPA’s complete ongoing. These specific new uses are economic analysis is available in the processing or use involving an lists potentially useful information for all SNURs in this rule. Descriptions of docket under docket ID number EPA– application method that generates a HQ–OPPT–2019–0614. dust, vapor, mist, or aerosol or this information are provided for exceeding an aggregate production informational purposes. The potentially X. Statutory and Executive Order volume of 2,500,000 kilograms for the useful information identified in Unit IV. Reviews SNUR for 40 CFR 721.10928, worker will be useful to EPA’s evaluation in the Additional information about these protection requirements for the SNUR event that someone submits a SNUN for statutes and Executive Orders can be for 40 CFR 721.10663, and the the significant new use. Companies who found at https://www.epa.gov/laws- additional worker protection are considering submitting a SNUN are regulations-and-executive-orders. requirements for inhalation exposure for encouraged, but not required, to develop the SNUR for 40 CFR 721.5185. EPA the information on the substance, which A. Executive Order 12866: Regulatory designates April 1, 2020 as the cutoff may assist with EPA’s analysis of the Planning and Review and Executive date for determining whether the new SNUN. Order 13563: Improving Regulations use is ongoing. EPA has decided that the EPA strongly encourages persons, and Regulatory Review intent of TSCA section 5(a)(1)(B) is best before performing any testing, to consult This proposed rule would modify served by designating a use as a with the Agency. Furthermore, pursuant SNURs for chemical substances that significant new use as of the date of to TSCA section 4(h), which pertains to were the subject of a PMN and a SNUN. public release of the proposed SNUR reduction of testing on vertebrate The Office of Management and Budget rather than as of the effective date of the animals, EPA encourages dialog with (OMB) has exempted these types of final rule. If uses begun after public the Agency on the use of alternative test actions from review under Executive release were considered ongoing rather methods and strategies (also called New Order 12866, entitled Regulatory than new, it would be difficult for EPA Approach Methodologies, or NAMs), if Planning and Review (58 FR 51735, to establish SNUR notice requirements, available, to generate the recommended October 4, 1993). because a person could defeat the SNUR test data. EPA encourages dialog with B. Paperwork Reduction Act (PRA) by initiating the proposed significant Agency representatives to help new use before the rule became determine how best the submitter can According to the PRA, 44 U.S.C. 3501 effective, and then argue that the use meet both the data needs and the et seq., an agency may not conduct or was ongoing as of the effective date of objective of TSCA section 4(h). sponsor, and a person is not required to the final rule. The potentially useful information respond to a collection of information Thus, any persons who begin listed in Unit IV. may not be the only that requires OMB approval under PRA, commercial manufacture or processing means of providing information to unless it has been approved by OMB activities with the chemical substance evaluate the chemical substance. EPA and displays a currently valid OMB that are not currently a significant new recommends that potential SNUN control number. The OMB control use under the current rule but which submitters contact EPA early enough so numbers for EPA’s regulations in title 40

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of the CFR, after appearing in the it appears that no small or large entities F. Executive Order 13175: Consultation Federal Register, are listed in 40 CFR presently engage in such activities. A and Coordination With Indian Tribe part 9, and included on the related SNUR requires that any person who Governments collection instrument or form, if intends to engage in such activity in the This proposed rule would not have applicable. EPA is amending the table in future must first notify EPA by Tribal implications because it is not 40 CFR part 9 to list the OMB approval submitting a SNUN. EPA’s experience to expected to have substantial direct number for the information collection date is that, in response to the effects on Indian Tribes. This proposed requirements contained in this rule. promulgation of SNURs covering over rule would not significantly nor This listing of the OMB control numbers 1,000 chemicals, the Agency receives uniquely affect the communities of and their subsequent codification in the only a small number of notices per year. Indian Tribal governments, nor would it CFR satisfies the display requirements For example, the number of SNUNs involve or impose any requirements that of PRA and OMB’s implementing received was seven in Federal fiscal affect Indian Tribes. Accordingly, the regulations at 5 CFR part 1320. This year (FY) 2013, 13 in FY2014, six in requirements of Executive Order 13175, Information Collection Request (ICR) FY2015, 10 in FY2016, 14 in FY2017, entitled ‘‘Consultation and was previously subject to public notice and 18 in FY2018 and only a fraction of Coordination with Indian Tribal and comment prior to OMB approval, these were from small businesses. In Governments’’ (65 FR 67249, November and given the technical nature of the addition, the Agency currently offers 9, 2000), do not apply to this proposed table, EPA finds that further notice and relief to qualifying small businesses by rule. comment to amend it is unnecessary. As reducing the SNUN submission fee from a result, EPA finds that there is ‘‘good $16,000 to $2,800. This lower fee G. Executive Order 13045: Protection of cause’’ under section 553(b)(3)(B) of the reduces the total reporting and Children From Environmental Health Administrative Procedure Act, 5 U.S.C. recordkeeping of cost of submitting a Risks and Safety Risks 553(b)(3)(B), to amend this table without SNUN to about $10,116 for qualifying This proposed rule is not subject to further notice and comment. small firms. Therefore, the potential Executive Order 13045 (62 FR 19885, The information collection economic impacts of complying with April 23, 1997), because this is not an requirements related to this action have this proposed SNUR are not expected to economically significant regulatory already been approved by OMB be significant or adversely impact a action as defined by Executive Order pursuant to PRA under OMB control substantial number of small entities. In 12866, and this action does not address number 2070–0012 (EPA ICR No. 574). a SNUR that published in the Federal environmental health or safety risks This action does not impose any burden Register of June 2, 1997 (62 FR 29684) disproportionately affecting children. requiring additional OMB approval. If (FRL–5597–1), the Agency presented its an entity were to submit a SNUN to the H. Executive Order 13211: Actions general determination that final SNURs Concerning Regulations That Agency, the annual burden is estimated are not expected to have a significant to average between 30 and 170 hours Significantly Affect Energy Supply, economic impact on a substantial Distribution, or Use per response. This burden estimate number of small entities, which was includes the time needed to review provided to the Chief Counsel for This proposed rule is not subject to instructions, search existing data Advocacy of the Small Business Executive Order 13211 (66 FR 28355, sources, gather and maintain the data Administration. May 22, 2001), because this action is not needed, and complete, review, and expected to affect energy supply, submit the required SNUN. D. Unfunded Mandates Reform Act distribution, or use and because this Send any comments about the (UMRA) action is not a significant regulatory accuracy of the burden estimate, and action under Executive Order 12866. any suggested methods for minimizing Based on EPA’s experience with respondent burden, including through proposing and finalizing SNURs, State, I. National Technology Transfer and the use of automated collection local, and Tribal governments have not Advancement Act (NTTAA) techniques, to the Director, Regulatory been impacted by these rulemakings, In addition, since this action does not Support Division, Office of Mission and EPA does not have any reasons to involve any technical standards, Support (2822T), Environmental believe that any State, local, or Tribal NTTAA section 12(d) (15 U.S.C. 272 Protection Agency, 1200 Pennsylvania government will be impacted by this note), does not apply to this action. Ave. NW, Washington, DC 20460–0001. final rule. As such, EPA has determined that this proposed rule would not J. Executive Order 12898: Federal Please remember to include the OMB Actions To Address Environmental control number in any correspondence, impose any enforceable duty, contain any unfunded mandate, or otherwise Justice in Minority Populations and but do not submit any completed forms Low-Income Populations to this address. have any effect on small governments subject to the requirements of UMRA This proposed rule does not entail C. Regulatory Flexibility Act (RFA) sections 202, 203, 204, or 205 (2 U.S.C. special considerations of environmental Pursuant to RFA section 605(b) (5 1501 et seq.). justice related issues as delineated by Executive Order 12898 (59 FR 7629, U.S.C. 601 et seq.), the Agency hereby E. Executive Order 13132: Federalism certifies that promulgation of this February 16, 1994). proposed SNUR would not have a This action would not have a List of Subjects significant adverse economic impact on substantial direct effect on States, on the a substantial number of small entities. relationship between the National 40 CFR Part 9 The requirement to submit a SNUN Government and the States, or on the Environmental protection, Reporting applies to any person (including small distribution of power and and recordkeeping requirements. or large entities) who intends to engage responsibilities among the various in any activity described in the final levels of government, as specified in 40 CFR Part 721 rule as a ‘‘significant new use.’’ Because Executive Order 13132, entitled Environmental protection, Chemicals, these uses are ‘‘new,’’ based on all ‘‘Federalism’’ (64 FR 43255, August 10, Hazardous substances, Reporting and information currently available to EPA, 1999). recordkeeping requirements.

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Dated: March 10, 2020. determining which persons are new uses described in paragraph (a)(2) Tala Henry, reasonably likely to be exposed as of this section. Deputy Director, Office of Pollution required for § 721.63(a)(4), engineering (2) * * * Prevention and Toxics. control measures (e.g., enclosure or (i) Industrial, commercial, and Therefore, it is proposed that 40 CFR confinement of the operation, general consumer activities. Requirements as part 721 be amended as follows: and local ventilation) or administrative specified in § 721.80(f). It is a significant control measures (e.g., workplace new use to use the substance other than PART 721—[AMENDED] policies and procedures) shall be as a monomer for acryl-based ultra- considered and implemented to prevent ■ 1. The authority citation for part 721 violet (UV)-curing coatings, inks, and exposure, where feasible, continues to read as follows: adhesives, or the confidential use (a)(5)(respirators must provide a described in the SNUN S–18–5. Authority: 15 U.S.C. 2604, 2607, and National Institute for Occupational * * * * * 2625(c). Safety and Health assigned protection ■ 5. Amend § 721.10663 by revising ■ 2. Amend § 721.5185 by revising factor of at least 50), (a)(6)(v), and (c). paragraphs (a)(1), (2)(i), and (2)(iii) to (ii) * * * paragraphs (a)(1), (2)(i) and (ii) and read as follows: (iii) Industrial, commercial, and (b)(1) to read as follows: consumer activities. Requirements as § 721.5185 2-Propen-1-one, 1-(4- § 721.10663 Functionalized multi-walled morpholinyl)-. specified in § 721.80(y)(1). It is a carbon nanotubes (generic). significant new use to use the chemical (a) *** (1) The chemical substance (a) * * * (1) The chemical substance substance for any use other than as a identified generically as functionalized identified as 2-propen-1-one, 1-(4- monomer for use in ultraviolet ink jet morpholinyl)- (PMN P–95–169; SNUN multi-walled carbon nanotubes (PMN applications or stereolithography, S–08–7; SNUN S–14–1; and SNUN S– P–12–44; SNUN S–18–4; and SNUN S– unless the chemical substance is 17–10 CAS No. 5117–12–4) is subject to 19–5) is subject to reporting under this processed and used in an enclosed reporting under this section for the section for the significant new uses process. significant new uses described in described in paragraph (a)(2) of this paragraph (a)(2) of this section. The * * * * * section. ■ requirements of this rule do not apply 3. Amend § 721.10371 by revising (2) * * * to quantities of the chemical substance paragraphs (a)(1) and (2)(i) to read as (i) Protection in the workplace. after it has been completely reacted follows: Requirements as specified in (cured) because 2-propen-1-one, 1-(4- § 721.10371 Butanoic acid, 3-mercapto- § 721.63(a)(1), (3), (4), when morpholinyl)- will no longer exist. ,1,1′-[2-(hydroxymethyl)-2-(substituted-1- determining which persons are (2) * * * oxoalkoxy)methyl)-1,3-propanediyl] ester reasonably likely to be exposed as (i) Protection in the workplace. (generic). required for § 721.63(a)(1) and(4), Requirements as specified in (a) * * * (1) The chemical substance engineering control measures (e.g., § 721.63(a)(1), (a)(2)(i), (a)(2)(iv), identified generically as butanoic acid, enclosure or confinement of the (a)(3)(i), (a)(3)(ii), (a)(4), (a)(6)(v), (b) 3-mercapto-,1,1′-[2-(hydroxymethyl)-2- operation, general and local ventilation) (concentration set at 1.0 percent), and (substituted-1-oxoalkoxy)methyl)-1,3- or administrative control measures (e.g., (c). Safety 4/4H EVOH/PE laminate, propanediyl] ester (PMN P–10–136 and workplace policies and procedures) Ansell Edmont Neoprene number 865, S–18–5, Chemical A) is subject to shall be considered and implemented to and Solvex Nitrile Rubber number 275 reporting under this section for the prevent exposure, where feasible, gloves have been tested in accordance significant new uses described in (a)(5)(respirators must provide a with the American Society for Testing paragraph (a)(2) of this section. National Institute for Occupational Materials (ASTM) F739 method and (2) * * * Safety and Health (NIOSH) assigned found by EPA to satisfy the TSCA (i) Industrial, commercial, and protection factor of at least 50, consent orders and § 721.63(a)(2)(i) consumer activities. Requirements as (a)(6)(particulate), (b)(concentration set requirements for dermal protection to specified in § 721.80(f). It is a significant at 1.0%), and (c). 100 percent PMN substance. Gloves and new use to use the substance other than (ii) Industrial, commercial, and other dermal protection may not be used as a monomer for acryl-based ultra- consumer activities. Requirements as for a time period longer than they are violet (UV)-curing coatings, inks, and specified in § 721.80(v)(1), (w)(1), and actually tested and must be replaced at adhesives or the confidential use (x)(1) It is a significant new use to use the end of each work shift. For described in the significant new use the substance other than as a chemical additional dermal protection materials, notice S–18–5. additive for use in epoxy compounds for a company must submit all test data to * * * * * transportation, marine and industrial the Agency and must receive written ■ 4. Amend § 721.10372 by revising coatings, paints and manufactured Agency approval for each type of paragraphs (a)(1) and (2)(i) to read as goods, for the confidential use described material tested prior to use of that follows: in PMN P–12–44, or for the confidential material as worker dermal protection. use described in SNUN S–19–5. However, for the purposes of § 721.10372 Butanoic acid, 3-mercapto- (b) * * * determining the imperviousness of ,1,1′-[2,2-bis[(substituted-1- gloves, up to 1 year after the oxoalkoxy)methyl]-1,3-propanediyl] ester (1) Recordkeeping. Recordkeeping commencement of commercial (generic). requirements as specified in manufacture or import, the employer (a) * * * (1) The chemical substance § 721.125(a) through (f), (i), and (k) are may use the method described in identified generically as butanoic acid, applicable to manufacturers, importers, § 721.63(a)(3)(ii), thereafter, they must 3-mercapto-,1,1′-[2,2-bis[(substituted-1- and processors of this substance. use the method described in oxoalkoxy)methyl]-1,3-propanediyl] * * * * * § 721.63(a)(3)(i). For use as a monomer ester (PMN P–10–136 and SNUN S–18– ■ 6. Amend § 721.10928 by revising for stereolithography: Requirements as 5, Chemical B) is subject to reporting paragraphs (a)(1) and (2)(iii) to read as specified in § 721.63(a)(4), when under this section for the significant follows:

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§ 721.10928 Coke (coal), secondary pitch; is proposing to revoke the SNUR based (NAICS) codes have been provided to a carbon-containing residue from the on these new data. assist you and others in determining coking of air blown pitch coke oil and/or DATES: Comments must be received on whether this action might apply to pitch distillate; composed primarily of certain entities. To determine whether isotropic carbon, it contains small amounts or before May 1, 2020. of sulfur and ash constituents. ADDRESSES: Submit your comments, you or your business may be affected by this action, you should carefully (a) * * * (1) The chemical substance identified by docket identification (ID) examine the applicability provisions in identified as coke (coal), secondary number EPA–HQ–OPPT–2017–0575, by 40 CFR 721.5. If you have any questions pitch. Definition: A carbon-containing one of the following methods: regarding the applicability of this action residue from the coking of air blown • Federal eRulemaking Portal: http:// to a particular entity, consult the pitch coke oil and/or pitch distillate; www.regulations.gov. Follow the online technical person listed under FOR composed primarily of isotropic carbon, instructions for submitting comments. Do not submit electronically any FURTHER INFORMATION CONTACT. it contains small amounts of sulfur and This action may also affect certain ash constituents (PMN P–12–292, PMN information you consider to be Confidential Business Information (CBI) entities through pre-existing export P–17–217, and SNUN S–19–4; CAS No. notification rules under TSCA. If this 94113–91–4) is subject to reporting or other information whose disclosure is restricted by statute. proposed SNUR revocation becomes under this section for the significant effective, persons who export or intend new uses described in paragraph (a)(2) • Mail: Document Control Office (7407M), Office of Pollution Prevention to export the chemical that is the subject of this section. of this action would no longer be subject (2) * * * and Toxics (OPPT), Environmental (iii) Industrial, commercial, and Protection Agency, 1200 Pennsylvania to the TSCA section 12(b)(15 U.S.C. consumer activities. Requirements as Ave. NW, Washington, DC 20460–0001. 2611(b) export notification requirements specified in § 721.80(f), (p)(2,500,000 • Hand Delivery: To make special at 40 CFR part 707 that are currently kg), and (y)(1)(2). It is a significant new arrangements for hand delivery or triggered by the SNUR. use to use the substance other than (I) delivery of boxed information, please B. What should I consider as I prepare for the confidential use permitted by the follow the instructions at http:// my comments for EPA? TSCA Order for P–12–292, (II) as a www.epa.gov/dockets/contacts.html. Additional instructions on 1. Submitting CBI. Do not submit this lubricating agent used in the production information to EPA through of automotive disc brakes, or (III) to commenting or visiting the docket, along with more information about regulations.gov or email. Clearly mark process as an additive for the the part or all of the information that manufacture of diesel particulate filters dockets generally, is available at http:// www.epa.gov/dockets. you claim to be CBI. For CBI to increase the porosity of the filter. It information in a disk or CD–ROM that is a significant new use to use the FOR FURTHER INFORMATION CONTACT: For you mail to EPA, mark the outside of the substance in an additive formulation to technical information contact: Kenneth disk or CD–ROM as CBI and then produce diesel particulate filters within Moss, Chemical Control Division, Office identify electronically within the disk or the United States. of Pollution Prevention and Toxics, CD–ROM the specific information that * * * * * Environmental Protection Agency, 1200 is claimed as CBI. In addition to one [FR Doc. 2020–06441 Filed 3–31–20; 8:45 am] Pennsylvania Ave. NW, Washington, DC complete version of the comment that BILLING CODE 6560–50–P 20460–0001; telephone number: 202– includes information claimed as CBI, a 564–8974; email address: copy of the comment that does not [email protected]. contain the information claimed as CBI ENVIRONMENTAL PROTECTION For general information contact: The must be submitted for inclusion in the AGENCY TSCA-Hotline, ABVI-Goodwill, 422 public docket. Information so marked South Clinton Ave., Rochester, NY 40 CFR Part 721 will not be disclosed except in 14620; telephone number: (202) 554– accordance with procedures set forth in [EPA–HQ–OPPT–2017–0575; FRL–10005– 1404; email address: TSCA-Hotline@ 40 CFR part 2. 89] epa.gov. 2. Tips for preparing your comments. RIN 2070–AB27 SUPPLEMENTARY INFORMATION: When preparing and submitting your comments, see the commenting tips at I. General Information Revocation of Significant New Use http://www.epa.gov/dockets/ Rule for a Certain Chemical Substance A. Does this action apply to me? comments.html. (P–16–581) You may be potentially affected by II. Background AGENCY: this action if you manufacture Environmental Protection A. What action is the agency taking? Agency (EPA). (including import), process, or use the ACTION: Proposed rule. chemical substance contained in this In the Federal Register of April 5, rule. Potentially affected entities may 2019 (84 FR 13531) (FRL–9991–19), SUMMARY: EPA is proposing to revoke include, but are not limited to: EPA promulgated a SNUR at 40 CFR the significant new use rule (SNUR) • Manufacturers or processors of the 721.11193 for the chemical substance under the Toxic Substances Control Act chemical substances (NAICS codes 325 identified generically as alpha 1,3- (TSCA) for the chemical substance and 324110), e.g., chemical polysaccharide (P–16–581). The SNUR identified generically as alpha 1,3- manufacturing and petroleum refineries. designated certain activities as polysaccharide, which was the subject This listing is not intended to be significant new uses. EPA has received of premanufacture notice (PMN) exhaustive, but rather provides a guide new data on the biosolubility of the identified as P–16–581. EPA issued a for readers regarding entities likely to be chemical substance. Based on its review SNUR based on this PMN which affected by this action. Other types of of these data, EPA now proposes to designated certain activities as entities not listed in this unit could also revoke the SNUR pursuant to 40 CFR significant new uses. EPA has received be affected. The North American 721.185. In this unit, EPA provides a test data for the chemical substance and Industrial Classification System brief description of the chemical

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substance, including the PMN number, interstitial, intracellular, alveolar, and III. Statutory and Executive Order generic chemical name, the Federal lymphatic fluid, not including pleural Reviews Register publication date and reference, effusions.’’ Therefore, the solubility of Additional information about these the docket number, the basis for the PMN substance in SELF represented statutes and Executive Orders can be revoking the SNUR under 40 CFR a worst-case loading concentration for found at https://www.epa.gov/laws- 721.185, and the CFR citation of the the PMN substance in the intraluminal regulations-and-executive-orders. SNUR. compartment, assuming an equivalent This proposed rule would revoke or PMN Number: P–16–581 static volume of 20 mL. Given that eliminate an existing regulatory humans accumulate respirable, poorly requirement and does not contain any Chemical name: Alpha 1,3- soluble particles in the intra-alveolar, new or amended requirements. As such, polysaccharide (generic). interstitial, subpleural, and broncho- the Agency has determined that this CAS number: Not available. vascular bundle compartments, with a Federal Register proposed SNUR revocation would not publication date predominance of particles eventually and reference: April 5, 2019 (84 FR have any adverse impacts, economic or being found in the interstitium, the otherwise. 13531). extrapolated in vitro to in vivo Basis for revocation of SNUR: EPA concentration of the PMN substance A. Executive Order 12866: Regulatory issued a SNUR for this substance that would equal a loading concentration of Planning and Review and Executive designated certain activities as approximately 3 mg/mL of EVLW (i.e., Order 13563: Improving Regulations significant new uses based on a finding and Regulatory Review that the substance may pose potential 1,500 mg/(511 mL for EVLW—37 mL for human health hazards. Specifically, alveolar volume)) approximately 5 times The Office of Management and Budget EPA identified a concern that adverse lower than the loading concentration (OMB) has exempted these types of lung effects (i.e., lung overload) could tested in the biosolubility study. regulatory actions from review under occur if the chemical substance were This information supports EPA’s Executive Orders 12866 (58 FR 51735, manufactured, processed, or used in a determination that the substance has October 4, 1993) and 13563, entitled (76 manner that generated respirable inherently low toxicity and should not FR 3821, January 21, 2011). particles. To address this hazard be considered a poorly soluble particle B. Paperwork Reduction Act (PRA) concern, EPA issued a SNUR under with the associated hazard concern for This proposed rule does not contain TSCA section 5(a)(2), which identified lung overload. Therefore, EPA proposes any information collections subject to concerns for lung effects if the following that the SNUR for this chemical approval under the PRA, (44 U.S.C. protective measures were not followed: substance be revoked pursuant to 40 (1) No use of the substance other than CFR 721.185(a)(1). 3501 et seq.). the uses described in the PMN; and (2) CFR citation: 40 CFR 721.11193 C. Regulatory Flexibility Act (RFA) no manufacture, processing, or use with Pursuant to the RFA section 605(b), 5 particle size less than 10 micrometers. B. What is the agency’s authority for U.S.C. 601 et seq., the Agency hereby EPA also identified pulmonary effects taking this action? that this SNUR revocation would not toxicity testing as information Upon conclusion of the review for P– have a significant economic impact on potentially useful to characterize the a substantial number of small entities. health effects of the PMN substance. 16–581, EPA designated certain activities as significant new uses. Under This proposed rule would eliminate a The PMN submitter performed reporting requirement. biosolubility testing on the ground PMN 40 CFR 721.185, EPA may at any time substance and provided the test data to revoke a SNUR for a chemical substance D. Unfunded Mandates Reform Act EPA on February 14, 2019. EPA which has been added to subpart E of (UMRA) 40 CFR part 721 if EPA makes one of the initiated an internal review of these For the same reasons, this action does data; however, it moved forward with determinations set forth in 40 CFR 721.185(a)(1) through (a)(6). Revocation not require any action under Title II of publishing the final SNUR on April 5, UMRA (2 U.S.C. 1531–1538 et seq.). 2019 having not yet completed its may occur on EPA’s initiative or in review. The following are the results response to a written request. Under 40 E. Executive Order 13132: Federalism and conclusions of the Agency’s review. CFR 721.185(b)(3), if EPA concludes This proposed rule does not have The biosolubility testing was that a SNUR should be revoked, the Federalism implications, because it conducted using a conservative Agency will propose the changes in the would not have substantial direct effects respiratory tract fluid volume of 0.3 mL/ Federal Register, briefly describe the on States, on the relationship between kg bw (rounded down to 20 mL for a 70 grounds for the action, and provide the national government and the States, kg individual). This equated to a loading interested parties an opportunity to or on the distribution of power and concentration of 15 mg of the PMN comment. responsibilities among the various substance per mL of simulated EPA has determined that the criteria levels of government, as specified in epithelial lung fluid (SELF). The SELF set forth in 40 CFR 721.185(a)(1) have Executive Order 13132 (64 FR 43255, represented the intraluminal volume of been satisfied for the chemical August 10, 1999). respiratory tract fluid, without substance. Therefore, EPA is proposing consideration of the daily turnover to revoke the SNUR for this chemical F. Executive Order 13175: Consultation volume. The estimated average alveolar substance. The significant new use and Coordination With Indian Tribal fluid volume is approximately 37 mL, notification and the recordkeeping Governments nearly double the volume used for the requirements at 40 CFR 721.11193 This proposed rule does not have biosolubility testing. In comparison, the would terminate when this proposed Tribal implications, because it would normal reference range for extra revocation becomes effective. In not have substantial direct effects on vascular lung water (EVLW) index in addition, export notification under one or more Indian Tribes, on the humans is 7.3 ± 2.8 mL/kg bw (n = 534) TSCA section 12(b) and 40 CFR part relationship between the Federal or 511 mL for a 70 kg individual. EVLW 707, subpart D triggered by the SNUR Government and Indian Tribes, or on index corresponds to the ‘‘sum of would no longer be required. the distribution of power and

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responsibilities between the Federal DEPARTMENT OF DEFENSE check www.regulations.gov, Government and Indian Tribes, as approximately two to three days after specified in Executive Order (65 FR GENERAL SERVICES submission to verify posting (except 67249, November 9, 2000). ADMINISTRATION allow 30 days for posting of comments submitted by mail). G. Executive Order 13045: Protection of NATIONAL AERONAUTICS AND FOR FURTHER INFORMATION CONTACT: Ms. Children From Environmental Health SPACE ADMINISTRATION and Safety Risks Camara Francis, Procurement Analyst, at 202–550–0935, or by email at This action is not subject to Executive 48 CFR Parts 12, 19, 36, 43, and 52 [email protected], for clarification Order 13045 (62 FR 19885, April 23, [FAR Case 2018–020; Docket No. FAR– of content. For information pertaining to 1997), because this is not an 2018–0020, Sequence No. 1] status or publication schedules, contact economically significant regulatory the Regulatory Secretariat Division at action as defined under Executive Order RIN 9000–AN78 202–501–4755. Please cite FAR Case 12866, and it does not address Federal Acquisition Regulation: 2018–020. environmental health or safety risks Construction Contract Administration SUPPLEMENTARY INFORMATION: disproportionately affecting children. I. Background H. Executive Order 13211: Actions AGENCY: Department of Defense (DoD), DoD, GSA, and NASA are proposing Concerning Regulations That General Services Administration (GSA), to amend the FAR to implement section Significantly Affect Energy Supply, and National Aeronautics and Space 855 of the John S. McCain National Distribution, or Use Administration (NASA). ACTION: Proposed rule. Defense Authorization Act (NDAA) for This proposed rule is not subject to Fiscal Year (FY) 2019 (Pub. L. 115–232, Executive Order 13211 (66 FR 28355, SUMMARY: DoD, GSA, and NASA are 15 U.S.C. 644(w)). Section 855 requires May 22, 2001), because this action is not proposing to amend the Federal Federal agencies to provide a notice, expected to affect energy supply, Acquisition Regulation (FAR) to along with solicitations for construction distribution, or use and because this implement a section of the John S. contracts anticipated to be awarded to action is not a significant regulatory McCain National Defense Authorization small businesses, to prospective offerors action under Executive Order 12866. Act for Fiscal Year 2019, which requires including information about the agencies to provide a notice along with agency’s policies or practices in I. National Technology Transfer and the solicitation to prospective bidders complying with FAR requirements Advancement Act (NTTAA) and offerors regarding definitization of related to the timely definitization of In addition, since this action does not requests for an equitable adjustment requests for equitable adjustment on involve any technical standards, related to change orders under construction contracts. The notice must NTTAA section 12(d), 15 U.S.C. 272 construction contracts. include data regarding the time it took note, does not apply to this action. DATES: Interested parties should submit the agency to definitize requests for equitable adjustment on construction J. Executive Order 12898: Federal written comments to the Regulatory Secretariat Division at one of the contracts for the three-year period Actions To Address Environmental preceding the issuance of the notice. Justice in Minority Populations and addresses shown below on or before Low-Income Populations June 1, 2020 to be considered in the II. Discussion and Analysis formation of the final rule. This action does not entail special The proposed changes to the FAR are ADDRESSES: Submit comments in considerations of environmental justice summarized in the following response to FAR Case 2018–020 by any related issues as delineated by paragraphs. of the following methods: Executive Order 12898 (59 FR 7629, A. Solicitation notice regarding • Regulations.gov: http:// February 16, 1994). administration of change orders for www.regulations.gov. comments via the construction. New text is proposed in List of Subjects in 40 CFR Part 721 Federal eRulemaking portal by FAR part 36, Construction and searching for ‘‘FAR Case 2018–020’’. Environmental protection, Chemicals, Architect-Engineer Contracts, subpart Select the link ‘‘Comment Now’’ that Hazardous substances, Reporting and 36.5, Contract Clauses, to add coverage corresponds with FAR Case 2018–020. recordkeeping requirements. of the requirement for a new solicitation Follow the instructions provided at the notice to be included in solicitations for Dated: March 5, 2020. ‘‘Comment Now’’ screen. Please include construction. Specifically, new section Tala Henry, your name, company name (if any), and 36.524, Notice to offerors regarding Deputy Director, Office of Pollution ‘‘FAR Case 2018–020’’ on your attached administration of change orders for Prevention and Toxics. document. construction, contains the prescription • Therefore, it is proposed that 40 CFR Mail: General Services for the use of new solicitation provision part 721 be amended as follows: Administration, Regulatory Secretariat 52.236–XX, Notice Regarding Division (MVCB), 1800 F Street NW, Administration of Change Orders for PART 721—[AMENDED] 2nd Floor, ATTN: Lois Mandell, Construction. New section 36.524 also Washington, DC 20405. includes guidance for contracting ■ 1. The authority citation for part 721 Instructions: Please submit comments officers regarding the information to be continues to read as follows: only and cite FAR Case 2018–020, in all inserted in the provision. This new Authority: 15 U.S.C. 2604, 2607, and correspondence related to this case. solicitation provision, which is 2625(c). Comments received generally will be proposed to be added in FAR part 52, posted without change to http:// Solicitation Provisions and Contract § 721.11193 [Removed] www.regulations.gov, including any Clauses, will provide a standardized ■ 2. Remove § 721.11193. personal and/or business confidential way for contracting officers to provide [FR Doc. 2020–06442 Filed 3–31–20; 8:45 am] information provided. To confirm the notice required by section 855 of the BILLING CODE 6560–50–P receipt of your comment(s), please NDAA for FY 2019.

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Additional coverage related to the determination that it is not in the best provision of law will apply to contracts requirement for the new solicitation interest of the Federal Government to for the acquisition of commercial items. notice is proposed in FAR part 43, exempt contracts or subcontracts at or Likewise, 41 U.S.C. governs the Contract Modifications, subpart 43.2, below the SAT. If none of these applicability of laws to COTS items, Change Orders. A new paragraph is conditions are met, the FAR is required with the Administrator for Federal proposed for section 43.204, to include the statutory requirement(s) Procurement Policy the decision Administration, to instruct contracting on a list of provisions of law that are authority to determine that it is in the offices and contract administration inapplicable to acquisitions at or below best interest of the Government to apply offices to use a specific Federal system the SAT. a provision of law to acquisitions of to collect data on the time required to The purpose of this rule is to COTS items in the FAR. The FAR definitize unpriced change orders for implement section 855 of the NDAA for Council and the Administrator for construction contracts. The data will be FY 2019. Section 855 requires Federal Federal Procurement Policy have not used in new solicitation provision agencies to provide a notice, along with made such determination, therefore this 52.236–XX. solicitations for construction contracts rule does not apply to commercial In FAR part 12, Acquisition of anticipated to be awarded to small items. Commercial Items, subpart 12.5, businesses, to prospective offerors Applicability of Certain Laws to the regarding agency policies or practices, IV. Executive Orders 12866 and 13563 Acquisition of Commercial Items and and agency past performance, in Executive Orders (E.O.s) 12866 and Commercially Available Off-The-Shelf complying with FAR requirements 13563 direct agencies to assess all costs Items, a new paragraph is added to note related to the timely definitization of and benefits of available regulatory that 15 U.S.C. 644(w), Solicitation requests for equitable adjustments alternatives and, if regulation is Notice Regarding Administration of resulting from change orders under necessary, to select regulatory Change Orders for Construction, is not construction contracts. Section 855 is approaches that maximize net benefits applicable to Executive agency contracts silent on the applicability of these (including potential economic, for the acquisition of commercial items. requirements for acquisitions at or environmental, public health and safety B. Cross reference to coverage of new below the SAT and does not effects, distributive impacts, and solicitation notice. independently provide for criminal or equity). E.O. 13563 emphasizes the Section 19.502, Setting aside civil penalties; nor does it include terms importance of quantifying both costs acquisitions, is amended to add a cross making express reference to 41 U.S.C. and benefits, of reducing costs, of reference to the new section 36.524. 1905 and its application to acquisitions harmonizing rules, and of promoting III. Applicability to Contracts at or at or below the SAT. Therefore, it does flexibility. This is not a significant Below the Simplified Acquisition not apply to acquisitions at or below the regulatory action and, therefore, was not Threshold (SAT) and for Commercial SAT unless the FAR Council makes a subject to review under section 6(b) of Items, Including Commercially written determination as provided at 41 E.O. 12866, Regulatory Planning and Available Off-the-Shelf (COTS) Items U.S.C. 1905. Review, dated September 30, 1993. This Application of section 855 to rule is not a major rule under 5 U.S.C. This rule proposes to implement a acquisitions at or below the SAT will 804. statutory requirement for Federal maximize the number of small entities agencies to provide a notice, along with who would benefit from the information V. Executive Order 13771 solicitations for construction contracts to be provided regarding definitization This proposed rule is not subject to anticipated to be awarded to small of requests for equitable adjustment E.O. 13771, Reducing Regulation and businesses, to prospective offerors resulting from change orders under controlling Regulatory Costs, because regarding agency policies or practices, construction contracts. Approximately this rule is not expected to be a and agency past performance, in one third of construction contracts significant regulatory action under E.O. complying with FAR requirements awarded in FY 2016 through FY 2018 12866. related to the timely definitization of were valued at or below the SAT. Not requests for equitable adjustments applying this rule to acquisitions at or VI. Regulatory Flexibility Act resulting from change orders under below the SAT would exclude DoD, GSA, and NASA do not expect construction contracts. The Federal acquisitions intended to be covered by this change to have a significant Acquisition Regulatory Council (FAR section 855. economic impact on a substantial Council) intends to apply the new For these reasons, it is in the best number of small entities within the provision 52.236–XX, Notice Regarding interest of the Federal Government to meaning of the Regulatory Flexibility Administration of Change Orders for apply the requirements of the rule to Act, 5 U.S.C. 601, et seq. However, an Construction, to contracts at or below acquisitions at or below the SAT. Initial Regulatory Flexibility Analysis the simplified acquisition threshold B. Applicability to Contracts for the (IRFA) has been performed and is (SAT), but does not intend to apply the Acquisition of Commercial Items, summarized as follows: new provision to contracts for the Including COTS Items. DoD, GSA, and NASA are proposing to acquisition of commercial items 41 U.S.C. 1906 governs the amend the Federal Acquisition Regulation including COTS items. applicability of laws to contracts for the (FAR) to implement section 855 of the John A. Applicability to Contracts at or acquisition of commercial items, and is S. McCain National Defense Authorization below the SAT. Pursuant to 41 U.S.C. intended to limit the applicability of Act (NDAA) for Fiscal Year (FY) 2019, which 1905, a provision of law is not laws to contracts for the acquisition of requires Federal agencies to provide a notice, applicable to acquisitions at or below commercial items. 41 U.S.C. 1906 along with solicitations for construction the SAT unless the law (i) contains provides that if a provision of law contracts anticipated to be awarded to small criminal or civil penalties; (ii) contains criminal or civil penalties, or if businesses, to prospective offerors regarding agency policies or practices in complying specifically refers to 41 U.S.C. 1905 and the FAR Council makes a written with FAR requirements related to the timely states that the law applies to determination that it is not in the best definitization of requests for equitable acquisitions at or below the SAT; or (iii) interest of the Federal Government to adjustment on construction contracts. The the FAR Council makes a written exempt commercial item contracts, the notice must include information on the

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agency’s policies or practices on definitizing concerning the existing regulations in Subpart 36.5—Solicitation Provisions equitable adjustments on construction subparts affected by this rule in and Contract Clauses contracts and data on the amount of time it accordance with 5 U.S.C. 610. Interested took the agency to definitize requests for parties must submit comments * * * * * equitable adjustment on construction ■ separately and should cite 5 U.S.C. 610 5. Revise section 36.500 to read as contracts during the three-year period follows: preceding the issuance of the notice. (FAR case 2018–020) in The objective of this proposed rule is to correspondence. 36.500 Scope of subpart. provide contractors with information about an agency’s past performance in definitizing VII. Paperwork Reduction Act (a) This subpart prescribes provisions and clauses for insertion in solicitations equitable adjustments under construction The rule does not contain any contract change orders as required by section and contracts for— 855 of the NDAA for FY 2019. information collection requirements that (1) Construction; and This rule is primarily aimed at Federal require the approval of the Office of (2) Dismantling, demolition, or agencies, requiring them to provide a notice Management and Budget under the removal of improvements contracts. of their past performance on definitizing Paperwork Reduction Act (44 U.S.C. (b) Provisions and clauses prescribed equitable adjustments for construction chapter 35). elsewhere in the Federal Acquisition contracts. The notice will provide potential small business offerors with information that List of Subjects in 48 CFR Parts 12, 19, Regulation (FAR) shall also be used in may be useful to them as they prepare, or 36, 43, and 52 such solicitations and contracts when decide whether to prepare and submit, a the conditions specified in the proposal in response to an agency’s Government procurement. prescriptions for the provisions and solicitation for construction. For example, if William F. Clark, clauses are applicable. an agency has a poor history of definitizing ■ Director, Office of Governmentwide 6. Add section 36.524 to read as equitable adjustments, potential small follows: business offerors may reconsider whether to Acquisition Policy, Office of Acquisition submit a proposal in response to that Policy, Office of Governmentwide Policy. 36.524 Notice to offerors regarding agency’s solicitation. Alternately, when Therefore, DoD, GSA, and NASA are administration of change orders for preparing their proposals, small business proposing to amend 48 CFR part(s) 12, construction. offerors may consider the additional costs 19, 36, 43, and 52 as set forth below: (a) The contracting officer shall insert that could be incurred if it is likely they will the provision at 52.236–XX, Notice experience delays in the definitization of ■ 1. The authority citation for 48 CFR equitable adjustments. part(s) 12, 19, 36, 43, and 52 continues Regarding Administration of Change An analysis of the Federal Procurement to read as follows: Orders for Construction, in solicitations Data System (FPDS) reveals that an average for construction that are set aside, or of 2,340 unique entities per year were Authority: 40 U.S.C. 121(c); 10 U.S.C. will be awarded on a sole-source basis, awarded construction contracts during FY chapter 137; and 51 U.S.C. 20113. pursuant to part 19. This provision does 2016, 2017, and 2018. Of those, 1,872 were not apply to the acquisition of small entities. The number of construction PART 12—ACQUISITION OF COMMERCIAL ITEMS commercial items using part 12 contracts awarded in FY 2016, 2017, and procedures. 2018 averaged 4,488 per year, of which 3,355 were awarded to small entities. Additionally, ■ 2. Amend section 12.503 by adding (b) The contracting officer shall during these same years, an average of 3,939 paragraph (a)(10) to read as follows: complete the fill-ins to provide— construction-related task orders were (1) Information to offerors about the awarded each year to approximately 1,069 12.503 Applicability of certain laws to agency’s policies or procedures in unique entities; 3,254 of those task orders Executive agency contracts for the complying with requirements relating to were awarded to 851 small entities. On acquisition of commercial items. timely definitization of requests for average, over FY 2016, 2017, and 2018, 6,503 (a) * * * equitable adjustment for change orders modifications were issued each year to for construction; and approximately 1,582 entities for change (10) 15 U.S.C. 644(w), Solicitation orders or definitization of change orders Notice Regarding Administration of (2) Data for the prior 3 fiscal years, under construction contracts. Of those, Change Orders for Construction (see available at [website to be determined], approximately 3,803 modifications were 36.524). regarding the time required to definitize issued to 1,147 small entities. * * * * * requests for equitable adjustment for This proposed rule does not include any change orders for construction (see new reporting, recordkeeping or other PART 19—SMALL BUSINESS 43.204). Prior to August 13, 2021, if compliance requirements for small entities. PROGRAMS fewer than 3 fiscal years of data are The proposed rule does not duplicate, available, provide data for the number overlap, or conflict with any other Federal ■ rules. 3. Add section 19.502–11 to read as of fiscal years that are available. There are no known significant alternative follows: approaches that would accomplish the stated PART 43—CONTRACT 19.502–11 Solicitation notice regarding MODIFICATIONS objectives of the applicable statute. administration of change orders for The Regulatory Secretariat Division construction. ■ 7. Amend section 43.204 by has submitted a copy of the IRFA to the See 36.524 for the requirement to redesignating paragraph (b)(3) as Chief Counsel for Advocacy of the SBA. provide a notice to offerors regarding paragraph (b)(3)(i), and adding A copy of the IRFA may be obtained definitization of requests for equitable paragraph (b)(3)(ii) to read as follows: from the Regulatory Secretariat adjustment for change orders under * * * * * Division. DoD, GSA, and NASA invite construction contracts. comments from small business concerns 43.204 Administration. and other interested parties on the PART 36—CONSTRUCTION AND * * * * * expected impact of this rule on small ARCHITECT-ENGINEER CONTRACTS (b) * * * entities. (3) * * * DoD, GSA, and NASA will also ■ 4. Revise subpart 36.5 heading to read (ii) Contracting offices and contract consider comments from small entities as follows: administration offices, as appropriate,

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shall use [website to be determined] to 52.236–XX Notice Regarding policies or procedures that apply to record and maintain data regarding the Administration of Change Orders for definitization of requests for equitable time required to definitize requests for Construction. adjustment for change orders under _ equitable adjustment associated with As prescribed in 36.524, insert the construction contracts: . [Contracting officer unpriced change orders for following provision: insert description of applicable policies or procedures, or address of a publicly Notice Regarding Administration of Change construction. The contracting officer accessible website containing this Orders for Construction (DATE) shall ensure the data is entered into information. If no applicable policies or [website to be determined] promptly. (a) As required by 15 U.S.C. 644(w), this procedures exist, insert ‘‘None.’’] * * * * * provision provides information relating to (c) Information on the agency’s past the definitization of requests for equitable performance in definitizing requests for adjustment for change orders under PART 52—SOLICITATION PROVISIONS equitable adjustment associated with change construction contracts. _ AND CONTRACT CLAUSES (b) Federal Acquisition Regulation (FAR) orders for construction for fiscal year(s) 43.204 provides policy and guidance relating [Contracting Officer insert the prior fiscal ■ 8. Add section 52.236–XX to read as to definitization of requests for equitable years, up to 3, for which information is _ follows: adjustment resulting from change orders for available] is available at [Contracting contracts, including those for construction. In Officer insert address of publicly accessible addition to FAR 43.204, the agency issuing website containing this information] or in the this solicitation has established the following following table:

Time to definitize after receipt of request for equitable adjustment for construction Number of requests for equitable adjustment definitized for construction

30 days or less ...... 31 to 60 days ...... 61 to 90 days ...... 91 to 180 days ...... 181 to 365 days ...... 366 or more days ...... After completion of contract performance via a contract modification ad- dressing all undefinitized requests for equitable adjustment received during contract performance.

[Contracting Officer insert number of (End of provision) requests for equitable adjustment definitized [FR Doc. 2020–05866 Filed 3–31–20; 8:45 am] in each category.] BILLING CODE 6820–EP–P

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Notices Federal Register Vol. 85, No. 63

Wednesday, April 1, 2020

This section of the FEDERAL REGISTER to meet the Department’s goal to b. What are the specific research gaps, contains documents other than rules or increase agricultural production by 40 regulatory barriers, or other hurdles that proposed rules that are applicable to the percent to meet the needs of the global need to be addressed to enable eventual public. Notices of hearings and investigations, population in 2050 while cutting the application, or further application, of committee meetings, agency decisions and environmental footprint of U.S. the innovation solution proposed from rulings, delegations of authority, filing of petitions and applications and agency agriculture in half. each of the four innovation clusters? statements of organization and functions are The Department, using the 2019 Stakeholder input will inform the examples of documents appearing in this National Academies of Sciences, Department as it works to develop a section. Engineering, and Medicine report comprehensive strategy to guide public- Science Breakthroughs to Advance Food sector research objectives and inform and Agricultural Research by 2030, private-sector product development in DEPARTMENT OF AGRICULTURE identified four innovation clusters that order to maximize the U.S. Agriculture present broad potential for sector’s continued ability to meet future [Docket No. USDA–2020–0003] transformative innovation. Innovation demands. Solicitation of Input From Stakeholders clusters represent a grouping of Done in Washington, DC, this 26th day of on Agricultural Innovations innovations to focus agricultural March. research and inform product Stephen Censky, AGENCY: Research, Education, and development. These clusters are: Economics, USDA. • Deputy Secretary, United States Department Genome Design—Utilization of of Agriculture. ACTION genomics and precision breeding to : Request for written stakeholder [FR Doc. 2020–06825 Filed 3–31–20; 8:45 am] input. explore, control, and improve traits of agriculturally important organisms. BILLING CODE 3410–03–P SUMMARY: The United States Department • Digital/Automation—Deployment of Agriculture (USDA) is soliciting of precise, accurate and field-based DEPARTMENT OF AGRICULTURE comments and suggestions on objectives sensors to collect information in real and opportunities leading to research time in order to visualize changing Animal and Plant Health Inspection goals and informed product goals to conditions and respond automatically Service facilitate transformative breakthroughs with interventions that reduce risk of to enable U.S. agriculture to meet the losses and maximize productivity. [Docket No. APHIS–2018–0091] Department’s goal of increasing • Prescriptive Intervention— agricultural production by 40 percent to Application and integration of data Notice of Proposed Revision to Import meet the needs of the global population sciences, software tools, and systems Requirements for the Importation of in 2050 while cutting the environmental models to enable advanced analytics for Fresh Citrus From South Africa Into footprint of U.S. agriculture in half. This managing the food and agricultural the United States effort is part of USDA’s Agricultural system. AGENCY: Animal and Plant Health Innovation Agenda, the Department’s • Systems Based Farm Inspection Service, USDA. commitment to the continued success of Management—Leverage a systems ACTION: Notice. American farmers, ranchers, producers, approach in order to understand the and foresters in the face of future nature of interactions among different SUMMARY: We are advising the public challenges. elements of the food and agricultural that we have prepared a commodity DATES: Written comments must be system to increase overall efficiency, import evaluation document (CIED) received by August 1, 2020, to be resilience, and sustainability of farm relative to the importation into the assured of consideration. Comments enterprises. United States of citrus (grapefruit, received after that date will be Stakeholders are asked to respond to lemon, mandarin orange, sweet orange, considered to the extent practicable. the following questions: tangelo, and Satsuma mandarin) fruit ADDRESSES: You may submit comments 1. What agricultural commodity, from South Africa. Based on the using the Federal eRulemaking Portal. group of commodities, or customer base findings of the CIED, we are proposing Go to http://www.regulations.gov/ does your response pertain to or would to remove restrictions on the ports of #!docketDetail;D=USDA-2020-0003 and benefit? entry into which citrus from South click the ‘‘Comment Now’’ button. 2. What are the biggest challenges and Africa may be imported into the United opportunities to increase productivity States. We are making the CIED FOR FURTHER INFORMATION CONTACT: John and/or decrease environmental footprint Dyer, 202–720–1542, john.dyer@ available to the public for review and that should be addressed in the next 10- comment. usda.gov. to 30-year timeframe? DATES: SUPPLEMENTARY INFORMATION: As part of 3. For each opportunity identified, We will consider all comments the Agricultural Innovation Agenda, the answer the following supplemental that we receive on or before June 1, United States Department of Agriculture questions: 2020. (USDA) seeks written stakeholder input a. What might be the outcome for the ADDRESSES: You may submit comments on objectives and opportunities leading innovation solution (e.g., the physical or by either of the following methods: to research goals and informed product tangible product(s) or novel approach) • Federal eRulemaking Portal: Go to goals to facilitate transformative from each of the four innovation http://www.regulations.gov/ breakthroughs to enable U.S. agriculture clusters? #!docketDetail;D=APHIS-2018-0091.

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• Postal Mail/Commercial Delivery: mandarin) from South Africa are listed information on the location and hours of Send your comment to Docket No. in FAVIR as fruits authorized the Reading Room). You may request APHIS–2018–0091, Regulatory Analysis importation into the United States, paper copies of these documents by and Development, PPD, APHIS, Station subject to the same phytosanitary calling or writing to the person listed 3A–03.8, 4700 River Road Unit 118, measures. under FOR FURTHER INFORMATION Riverdale, MD 20737–1238. One of these phytosanitary measures CONTACT. Please refer to the subject of Supporting documents and any requires the citrus to be cold treated the analysis you wish to review when comments we receive on this docket according to treatment schedule T107– requesting copies. may be viewed at http:// e. This treatment schedule is listed in After reviewing any comments we www.regulations.gov/#!docketDetail; the Plant Protection and Quarantine receive, we will announce our decision D=APHIS-2018-0091 or in our reading Treatment Manual as an effective regarding whether to revise the Room, which is located in room 1141 of mitigation for Thaumatotibia leucotreta requirements for the importation of the USDA South Building, 14th Street (false codling moth).1 False codling citrus from South Africa in a subsequent and Independence Avenue SW, moth is known to exist in South Africa notice. If the overall conclusions of our Washington, DC. Normal reading room and could follow the pathway on fresh analysis and the Administrator’s hours are 8 a.m. to 4:30 p.m., Monday citrus fruit imported into the United determination of risk remain unchanged through Friday, except holidays. To be States. following our consideration of the sure someone is there to help you, We implemented the current comments, then we will revise the please call (202) 799–7039 before treatment schedule for false codling requirements for the importation of coming. moth on South African citrus in 2013 on citrus from South Africa as described in a provisional basis, provided that the FOR FURTHER INFORMATION CONTACT: Mr. this notice. Tony Roman, Senior Regulatory Policy citrus was only imported into the ports Authority: 7 U.S.C. 1633, 7701–7772, and Specialist, RCC, IRM, PHP, PPQ, APHIS, of Newark, NJ, Philadelphia, PA, and 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR 4700 River Road Unit 133, Riverdale, Wilmington, DE. We included these port 2.22, 2.80, and 371.3. MD 20737–1236; (301) 851–2242. restrictions because T107–e was Done in Washington, DC, this 27th day of requested by the national plant SUPPLEMENTARY INFORMATION: March 2020. protection organization (NPPO) of South Mark Davidson, Africa as a less stringent alternative to Background Acting Administrator, Animal and Plant Under the regulations in ‘‘Subpart L– the treatment schedule at the time, Health Inspection Service. T107–k, and because the ports in Fruits and Vegetables’’ (7 CFR 319.56– [FR Doc. 2020–06799 Filed 3–31–20; 8:45 am] question had cold treatment facilities if 1 through 319.56–12, referred to below BILLING CODE 3410–34–P as the regulations), the Animal and the revised treatment schedule proved Plant Health Inspection Service (APHIS) to be ineffective. In 2014, we also added prohibits or restricts the importation of Houston, TX, as an authorized port. DEPARTMENT OF AGRICULTURE fruits and vegetables into the United These port restrictions are also currently States from certain parts of the world to found in FAVIR. Forest Service Over the following 2 years, we prevent plant pests from being conducted enhanced inspections for Locatable Minerals introduced into or disseminated within false codling moth on citrus from South the United States. AGENCY: Forest Service, USDA. Africa at the four authorized ports. Section 319.56–4 of the regulations During that time, more than 2,000 ACTION: Notice of intent to prepare an provides the requirements for shipments of citrus from South Africa environmental impact statement. authorizing the importation of fruits and were imported from South Africa into vegetables into the United States, as SUMMARY: The U.S. Department of the United States, with no detections of well as revising existing requirements Agriculture (USDA) is initiating an live false codling moth. for the importation of fruits and environmental impact statement to Based on these results, the NPPO of vegetables. Paragraph (c) of that section inform a decision to revise agency South Africa asked that we remove the provides that the name and origin of all regulations that minimize adverse port restrictions and authorize the fruits and vegetables authorized environmental impacts on National importation of citrus from South Africa importation into the United States, as Forest System surface resources in into all ports of entry within the United well as the requirements for their connection with operations authorized States. In response to this request, we importation, are listed on the internet in by the Mining Law of 1872, as amended have prepared a commodity import APHIS’ Fruits and Vegetables Import (United States mining laws). These rules evaluation document (CIED) that Requirements database, or FAVIR and procedures govern prospecting, recommends removing the port (https://epermits.aphis.usda.gov/ exploration, development, mining, and restrictions. manual). It also provides that, if the processing operations conducted on Therefore, in accordance with National Forest System lands authorized Administrator of APHIS determines that § 319.56–4(c)(3), we are announcing the any of the phytosanitary measures by the United States mining laws, availability of our CIED for public subsequent reclamation of the land, and required for the importation of a review and comment. This document, as particular fruit or vegetable are no any necessary long-term post-closure well as a description of the economic resource management. longer necessary to reasonably mitigate considerations associated with the DATES: the plant pest risk posed by the fruit or removal of the port restrictions, may be An advanced notice of proposed vegetable, APHIS will publish a notice viewed on the Regulations.gov website rulemaking was published in the Federal Register, Vol. 83, No. 178, in the Federal Register making its pest or in our reading room (see ADDRESSES Thursday, September 13, 2018. The risk documentation and determination above for a link to Regulations.gov and available for public comment. Forest Service invited comments Currently, several citrus species 1 To view the manual, go to https:// regarding challenges the public has (grapefruit, lemon, mandarin orange, www.aphis.usda.gov/import_export/plants/ experienced with respect to aspects of sweet orange, tangelo, and Satsuma manuals/ports/downloads/treatment.pdf. the agency’s current regulations at 36

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CFR 228, subpart A, and issues the includes being consistent, within the on Civil Rights (Commission) and the public foresees with respect to potential authorities of each agency, with the Federal Advisory Committee Act that revision of these regulations. Comments BLM surface management regulations the Indiana Advisory Committee were due October 15, 2018. The governing operations authorized by the (Committee) will hold a meeting on proposed rule and draft environmental United States mining laws to assist Thursday, April 16, 2020, from 3–4 p.m. impact statement are expected in 2020. those who conduct operations on lands EDT for the purpose of discussing civil The next public comment period will be managed by each agency. Increasing rights and lead contamination in the announced when the proposed rule and efficiency also means to increase the state. draft environmental impact statement Agency’s consistency in implementing DATES: The meeting will be held on are available. the regulations across the agency. Thursday April 16, 2020, from 3–4 p.m. FOR FURTHER INFORMATION CONTACT: Proposed Action EDT. Sarah Shoemaker, Minerals and Geology Public Call Information: Dial: (888) Management, 907–586–7886, between Revise agency regulations at 36 CFR 204–4368; Conference ID: 7996755. 8:00 a.m. and 4:00 p.m., Alaska 228, subpart A that minimize adverse FOR FURTHER INFORMATION CONTACT: Standard Time, Monday through Friday. environmental impacts on National Mallory Trachtenberg, DFO, at Individuals who use telecommunication Forest System surface resources in [email protected] or 312–353– devices for the deaf (TDD) may call the connection with operations authorized 8311. by the United States mining laws. These Federal Information Relay Service SUPPLEMENTARY INFORMATION: This (FIRS) at 1–800–877–8339 between 8 rules and procedures govern prospecting, exploration, development, meeting is free and open to the public. a.m. and 8 p.m., Eastern Time, Monday Members of the public may join through through Friday. mining, and processing operations conducted on National Forest System the above listed number. Members of SUPPLEMENTARY INFORMATION: lands authorized by U.S. mining laws, the public will be invited to make a Purpose and Need for Action subsequent reclamation of the land, and statement as time allows. The conference call operator will ask callers The goals of the regulatory revision any necessary long-term post-closure resource management. to identify themselves, the organization are to: (1) Increase Forest Service they are affiliated with (if any), and an efficiency in the review of certain Possible Alternatives email address prior to placing callers proposed mineral operations authorized The existing regulations at 36 CFR into the conference room. Callers can by the United States mining laws, and, 228, subpart A is the no-action expect to incur regular charges for calls where applicable, Forest Service alternative. they initiate over wireless lines, approval of some of these proposals by according to their wireless plan. The clarifying the regulations; (2) increase Responsible Official Commission will not refund any consistency with the U.S. Department of Under Secretary of Agriculture for incurred charges. Callers will incur no the Interior, Bureau of Land Natural Resources and Environment. charge for calls they initiate over land- Management (BLM) surface line connections to the toll-free management regulations governing Nature of Decision To Be Made telephone number. Persons with hearing operations authorized by the United The decision to be made is whether to impairments may also follow the States mining laws, which will revise 36 CFR 228, subpart A; and if so, proceedings by first calling the Federal eliminate significant differences what provisions should be changed, Relay Service at 1–800–877–8339 and between the two land management deleted, and added. providing the Service with the agency’s regulations, making it less conference call number and conference Scoping Process confusing for those who conduct these ID number. operations on both BLM and National The scoping process was initiated and Members of the public are also Forest System lands; and (3) increase comments were solicited with the entitled to submit written comments; the Forest Service’s nationwide advanced notice of proposed the comments must be received in the consistency in regulating mineral rulemaking published in the Federal regional office within 30 days following operations authorized by the United Register, Vol. 83, No. 178, Thursday, the meeting. Written comments may be States mining laws by clarifying its September 13, 2018. mailed to the Advisory Committee regulations. Management Unit, U.S. Commission on Tina J. Terrell, Regulatory revisions are needed to Civil Rights, 230 S Dearborn, Suite better meet the regulation’s purpose: ‘‘to Associate Deputy Chief, National Forest 2120, Chicago, IL 60604. They may also System. set forth the rules and procedures that be emailed to Carolyn Allen at callen@ govern prospecting, exploration, [FR Doc. 2020–06791 Filed 3–31–20; 8:45 am] usccr.gov. Persons who desire development, mining, and processing BILLING CODE 3411–15–P additional information may contact the operations, and their reasonably Regional Programs Unit Office at (312) incident uses (operations), on National 353–8311. Forest System lands, under the United COMMISSION ON CIVIL RIGHTS Records generated from this meeting States mining laws, in order to may be inspected and reproduced at the minimize, to the extent practicable, Notice of Public Meeting of the Indiana Regional Programs Unit Office, as they these operations’ adverse impacts to Advisory Committee to the U.S. become available, both before and after surface resources’’ (36 CFR 228.1). In Commission on Civil Rights the meeting. Records of the meeting will addition, these revisions are needed to AGENCY: U.S. Commission on Civil be available via www.facadatabase.gov increase the efficiency of Forest Service Rights. under the Commission on Civil Rights, review of certain proposed operations ACTION: Announcement of meeting. Indiana Advisory Committee link. authorized by the United States mining Persons interested in the work of this laws and, where applicable, Forest SUMMARY: Notice is hereby given, Committee are directed to the Service approval of some of these pursuant to the provisions of the rules Commission’s website, http:// proposals. Increasing efficiency and regulations of the U.S. Commission www.usccr.gov, or may contact the

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Regional Programs Unit Office at the discussion by calling the following toll- committee are advised to go to the above email or street address. free conference call-in number: 800– Commission’s website, www.usccr.gov, 353–6461 and conference call ID or to contact the Eastern Regional Office Agenda number: 6813288. Please be advised that at the above phone number, email or I. Welcome and Roll Call before placing them into the conference street address. II. Approval of Minutes call, the conference call operator will Agenda: Tuesday, April 21, 2020 III. Announcements and Updates ask callers to provide their names, their I. Rollcall IV. Discussion: Civil Rights and Lead organizational affiliations (if any), and II. Welcome Contamination in Indiana email addresses (so that callers may be III. Project Planning a. Review of February hearing notified of future meetings). Callers can b. Other discussion —Discuss draft Committee report on expect to incur charges for calls they its civil rights project V. Future Plans and Actions initiate over wireless lines, and the VI. Public Comment IV. Other Business Commission will not refund any VII. Adjournment V. Next Meetings incurred charges. Callers will incur no VI. Public Comments Dated: March 27, 2020. charge for calls they initiate over land- VII. Adjourn David Mussatt, line connections to the toll-free Supervisory Chief, Regional Programs Unit. conference call-in number. Dated: March 27, 2020. [FR Doc. 2020–06836 Filed 3–31–20; 8:45 am] Persons with hearing impairments David Mussatt, BILLING CODE P may also follow the discussion by first Supervisory Chief, Regional Programs Unit. calling the Federal Relay Service at 1– [FR Doc. 2020–06798 Filed 3–31–20; 8:45 am] 800–877–8339 and providing the BILLING CODE P COMMISSION ON CIVIL RIGHTS operator with the toll-free conference call-in number: 800–353–6461 and Notice of Public Meeting of the conference call ID number: 6813288. DEPARTMENT OF COMMERCE Pennsylvania Advisory Committee Members of the public are invited to make brief statements during the Public AGENCY: Economic Development Administration Commission on Civil Rights. Comment section of the meeting or ACTION: Announcement of meeting. submit written comments. The written Notice of Petitions by Firms for SUMMARY: Notice is hereby given, comments must be received in the Determination of Eligibility To Apply pursuant to the provisions of the rules regional office approximately 30 days for Trade Adjustment Assistance after the scheduled meeting. Written and regulations of the U.S. Commission AGENCY: Economic Development on Civil Rights (Commission), and the comments may be mailed to the Eastern Regional Office, U.S. Commission on Administration, U.S. Department of Federal Advisory Committee Act Commerce. (FACA) that a meeting of the Civil Rights, 1331 Pennsylvania ACTION: Notice and opportunity for Pennsylvania Advisory Committee to Avenue, Suite 1150, Washington, DC public comment. the Commission will convene by 20425, or emailed to Corrine Sanders at [email protected]. Persons who desire conference call at 11:30 a.m. (EST) on SUMMARY: The Economic Development Tuesday, April 21, 2020. The purpose of additional information may phone the Eastern Regional Office at (202) 376– Administration (EDA) has received the project planning meeting is to petitions for certification of eligibility to discuss the Committee’s draft report on 7533. Records and documents discussed apply for Trade Adjustment Assistance its civil rights project titled, School during the meeting will be available for from the firms listed below. Discipline and the School-to-Prison public viewing as they become available Accordingly, EDA has initiated Pipeline in PA. investigations to determine whether Public Call–In Information: at: https://www.facadatabase.gov/ FACA/FACAPublicViewCommittee increased imports into the United States Conference call-in number: 800–353– of articles like or directly competitive 6461 and conference call ID number: Details?id=a10t0000001gzjZAAQ; click the ‘‘Meeting Details’’ and with those produced by each of the 6813288. ‘‘Documents’’ links. Records generated firms contributed importantly to the FOR FURTHER INFORMATION CONTACT: Ivy from this meeting may also be inspected total or partial separation of the firms’ Davis at [email protected] or by phone at and reproduced at the Eastern Regional workers, or threat thereof, and to a 202–376–7533. Office, as they become available, both decrease in sales or production of each SUPPLEMENTARY INFORMATION: Interested before and after the meeting. Persons petitioning firm. members of the public may listen to the interested in the work of this advisory SUPPLEMENTARY INFORMATION:

LIST OF PETITIONS RECEIVED BY EDA FOR CERTIFICATION OF ELIGIBILITY TO APPLY FOR TRADE ADJUSTMENT ASSISTANCE [3/17/2020 through 3/24/2020]

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

Hy-Capacity, Inc ...... 1404 13th Street South, Hum- 3/18/2020 The firm manufactures parts for tractors and other boldt, IA 50548. agricultural equipment. Transformer Manufacturers, Inc... 7051 West Wilson Avenue, 3/18/2020 The firm manufactures electrical transformers. Norridge, IL 60706. Beaufurn, LLC...... 5269 U.S. Highway 158, Ad- 3/20/2020 The firm manufactures metal and wood furniture. vance, NC 27006. 4–M Precision Industries, Inc ...... 400 Technology Park Boulevard, 3/23/2020 The firm manufactures stamped metal parts. Auburn, NY 13021.

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Any party having a substantial DEPARTMENT OF COMMERCE information from the ITC, contact Mary interest in these proceedings may Messer, Office of Investigations, U.S. request a public hearing on the matter. International Trade Administration International Trade Commission at (202) A written request for a hearing must be 205–3193. Initiation of Five-Year (Sunset) submitted to the Trade Adjustment Reviews SUPPLEMENTARY INFORMATION: Assistance Division, Room 71030, Background Economic Development Administration, AGENCY: Enforcement and Compliance, U.S. Department of Commerce, International Trade Administration, Commerce’s procedures for the Washington, DC 20230, no later than ten Department of Commerce. conduct of Sunset Reviews are set forth (10) calendar days following publication SUMMARY: In accordance with the Tariff in its Procedures for Conducting Five- of this notice. These petitions are Act of 1930, as amended (the Act), the Year (Sunset) Reviews of Antidumping received pursuant to section 251 of the Department of Commerce (Commerce) is and Countervailing Duty Orders, 63 FR Trade Act of 1974, as amended. automatically initiating the five-year 13516 (March 20, 1998) and 70 FR reviews (Sunset Reviews) of the 62061 (October 28, 2005). Guidance on Please follow the requirements set antidumping and countervailing duty methodological or analytical issues forth in EDA’s regulations at 13 CFR (AD/CVD) order(s) listed below. The relevant to Commerce’s conduct of 315.9 for procedures to request a public International Trade Commission (the Sunset Reviews is set forth in hearing. The Catalog of Federal ITC) is publishing concurrently with Antidumping Proceedings: Calculation Domestic Assistance official number this notice its notice of Institution of of the Weighted-Average Dumping and title for the program under which Five-Year Reviews which covers the Margin and Assessment Rate in Certain these petitions are submitted is 11.313, same order(s). Antidumping Duty Proceedings; Final Trade Adjustment Assistance for Firms. DATES: Applicable (April 1, 2020). Modification, 77 FR 8101 (February 14, FOR FURTHER INFORMATION CONTACT: 2012). Irette Patterson, Commerce official identified in the Initiation of Review Program Analyst. Initiation of Review section below at [FR Doc. 2020–06772 Filed 3–31–20; 8:45 am] AD/CVD Operations, Enforcement and In accordance with section 751(c) of BILLING CODE 3510–WH–P Compliance, International Trade the Act and 19 CFR 351.218(c), we are Administration, U.S. Department of initiating the Sunset Reviews of the Commerce, 1401 Constitution Avenue following antidumping and NW, Washington, DC 20230. For countervailing duty order(s):

DOC Case No. ITC Case No. Country Product Commerce contact

A–570–943 ...... 731–TA–1159 ... China ...... Oil Country Tubular Goods (2nd Review) ...... Jacqueline Arrowsmith (02) 482–5255. C–570–944 ...... 701–TA–463 ..... China ...... Oil Country Tubular Goods (2nd Review) ...... Mary Kolberg (202) 482–1785. A–570–879 ...... 731–TA–1014 ... China ...... Polyvinyl Alcohol (3rd Review) ...... Mary Kolberg (202) 482–1785. A–588–861 ...... 731–TA–1016 ... Japan ...... Polyvinyl Alcohol (3rd Review) ...... Mary Kolberg (202) 482–1785.

Filing Information must certify to the accuracy and segments. To the extent that other 2 As a courtesy, we are making completeness of that information. regulations govern the submission of information related to sunset Parties must use the certification factual information in a segment (such 3 proceedings, including copies of the formats provided in 19 CFR 351.303(g). as 19 CFR 351.218), these time limits pertinent statute and Commerce’s Commerce intends to reject factual will continue to be applied. Parties are regulations, Commerce’s schedule for submissions if the submitting party does also advised to review the final rule Sunset Reviews, a listing of past not comply with applicable revised concerning the extension of time limits revocations and continuations, and certification requirements. for submissions in AD/CVD current service lists, available to the On April 10, 2013, Commerce proceedings, available at https:// public on Commerce’s website at the modified two regulations related to AD/ enforcement.trade.gov/frn/2013/ following address: https:// CVD proceedings: The definition of 1309frn/2013-22853.txt, prior to enforcement.trade.gov/sunset/. All factual information (19 CFR submitting factual information in these 5 submissions in these Sunset Reviews 351.102(b)(21)), and the time limits for segments. must be filed in accordance with the submission of factual information Letters of Appearance and Commerce’s regulations regarding (19 CFR 351.301).4 Parties are advised to Administrative Protective Orders format, translation, and service of review the final rule, available at Pursuant to 19 CFR 351.103(d), documents. These rules, including https://enforcement.trade.gov/frn/2013/ Commerce will maintain and make electronic filing requirements via 1304frn/2013-08227.txt, prior to available a public service list for these Enforcement and Compliance’s submitting factual information in these proceedings. Parties wishing to Antidumping and Countervailing Duty participate in any of these five-year Centralized Electronic Service System 2 See section 782(b) of the Act. reviews must file letters of appearance (ACCESS), can be found at 19 CFR 3 See also Certification of Factual Information to as discussed at 19 CFR 351.103(d)). To 351.303.1 Import Administration During Antidumping and Any party submitting factual Countervailing Duty Proceedings, 78 FR 42678 (July facilitate the timely preparation of the 17, 2013) (Final Rule). Answers to frequently asked information in an AD/CVD proceeding public service list, it is requested that questions regarding the Final Rule are available at those seeking recognition as interested http://enforcement.trade.gov/tlei/notices/factual_ 1 See also Antidumping and Countervailing Duty info_final_rule_FAQ_07172013.pdf. parties to a proceeding submit an entry Proceedings: Electronic Filing Procedures; 4 See Definition of Factual Information and Time Administrative Protective Order Procedures, 76 FR Limits for Submission of Factual Information: Final 5 See Extension of Time Limits, 78 FR 57790 39263 (July 6, 2011). Rule, 78 FR 21246 (April 10, 2013). (September 20, 2013).

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of appearance within 10 days of the party by the 15-day deadline, Commerce DEPARTMENT OF COMMERCE publication of the Notice of Initiation. will automatically revoke the order Because deadlines in Sunset Reviews without further review.7 International Trade Administration can be very short, we urge interested If we receive an order-specific notice parties who want access to proprietary of intent to participate from a domestic Antidumping or Countervailing Duty information under administrative interested party, Commerce’s Order, Finding, or Suspended protective order (APO) to file an APO regulations provide that all parties Investigation; Advance Notification of application immediately following wishing to participate in a Sunset Sunset Review publication in the Federal Register of Review must file complete substantive this notice of initiation. Commerce’s responses not later than 30 days after AGENCY: Enforcement and Compliance, regulations on submission of proprietary the date of publication in the Federal International Trade Administration, information and eligibility to receive Register of this notice of initiation. The Department of Commerce. access to business proprietary required contents of a substantive information under APO can be found at response, on an order-specific basis, are Background set forth at 19 CFR 351.218(d)(3). Note 19 CFR 351.304–306. Note that Every five years, pursuant to the Tariff that certain information requirements Commerce has temporarily modified Act of 1930, as amended (the Act), the differ for respondent and domestic certain of its requirements for serving Department of Commerce (Commerce) documents containing business parties. Also, note that Commerce’s information requirements are distinct and the International Trade Commission proprietary information, until May 19, automatically initiate and conduct 2020, unless extended.6 from the ITC ’s information requirements. Consult Commerce’s reviews to determine whether Information Required From Interested regulations for information regarding revocation of a countervailing or Parties Commerce’s conduct of Sunset Reviews. antidumping duty order or termination of an investigation suspended under Domestic interested parties, as Consult Commerce’s regulations at 19 CFR part 351 for definitions of terms section 704 or 734 of the Act would be defined in section 771(9)(C), (D), (E), (F), likely to lead to continuation or and (G) of the Act and 19 CFR and for other general information recurrence of dumping or a 351.102(b), wishing to participate in a concerning antidumping and countervailable subsidy (as the case may Sunset Review must respond not later countervailing duty proceedings at be) and of material injury. than 15 days after the date of Commerce. This notice of initiation is being publication in the Federal Register of published in accordance with section Upcoming Sunset Reviews for May this notice of initiation by filing a notice 751(c) of the Act and 19 CFR 351.218(c). 2020 of intent to participate. The required contents of the notice of intent to Dated: March 26, 2020. Pursuant to section 751(c) of the Act, participate are set forth at 19 CFR James Maeder, the following Sunset Reviews are 351.218(d)(1)(ii). In accordance with Deputy Assistant Secretary for Antidumping scheduled for initiation in May 2020 Commerce’s regulations, if we do not and Countervailing Duty Operations. and will appear in that month’s Notice receive a notice of intent to participate [FR Doc. 2020–06775 Filed 3–31–20; 8:45 am] of Initiation of Five-Year Sunset Reviews from at least one domestic interested BILLING CODE 3510–DS–P (Sunset Review).

Department Contact

Antidumping Duty Proceedings Citric Acid and Certain Citrate Salts from Canada (A–122–853) (2nd Review) ...... Matthew Renkey (202) 482–2312. Citric Acid and Certain Citrate Salts from China (A–570–937 (2nd Review) ...... Matthew Renkey (202) 482–2312. Countervailing Duty Proceedings Citric Acid and Certain Citrate Salts from China (C–570–938) (2nd Review) ...... Mary Kolberg (202) 482–1785.

Suspended Investigations requested that those seeking recognition Thereafter, any interested party No Sunset Review of suspended as interested parties to a proceeding wishing to participate in the Sunset investigations is scheduled for initiation contact Commerce in writing within 10 Review must provide substantive in May 2020. days of the publication of the Notice of comments in response to the notice of Commerce’s procedures for the Initiation. Note that Commerce has initiation no later than 30 days after the conduct of Sunset Review are set forth temporarily modified certain of its date of initiation. in 19 CFR 351.218. The Notice of requirements for serving documents This notice is not required by statute Initiation of Five-Year (Sunset) Review containing business proprietary but is published as a service to the provides further information regarding information, until May 19, 2020, unless international trading community. what is required of all parties to 1 extended. Dated: March 26, 2020. participate in Sunset Review. Please note that if Commerce receives Pursuant to 19 CFR 351.103(c), James Maeder, a Notice of Intent to Participate from a Commerce will maintain and make Deputy Assistant Secretary for Antidumping available a service list for these member of the domestic industry within and Countervailing Duty Operations. proceedings. To facilitate the timely 15 days of the date of initiation, the [FR Doc. 2020–06774 Filed 3–31–20; 8:45 am] review will continue. preparation of the service list(s), it is BILLING CODE 3510–DS–P

6 See Temporary Rule Modifying AD/CVD Service 7 See 19 CFR 351.218(d)(1)(iii). 1 See Temporary Rule Modifying AD/CVD Service Requirements Due to COVID–19, 85 FR 17006 Requirements Due to COVID–19, 85 FR 17006 (March 26, 2020). (March 26, 2020).

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DEPARTMENT OF COMMERCE Commerce invites comments regarding withdraw that request within 90 days of the CBP data and respondent selection the date of publication of the notice of International Trade Administration within five days of placement of the initiation of the requested review. The CBP data on the record of the review. regulation provides that Commerce may Antidumping or Countervailing Duty In the event Commerce decides it is extend this time if it is reasonable to do Order, Finding, or Suspended necessary to limit individual so. Determinations by Commerce to Investigation; Opportunity To Request examination of respondents and extend the 90-day deadline will be Administrative Review conduct respondent selection under made on a case-by-case basis. AGENCY: section 777A(c)(2) of the Act: Enforcement and Compliance, Deadline for Particular Market International Trade Administration, In general, Commerce finds that Situation Allegation Department of Commerce. determinations concerning whether particular companies should be FOR FURTHER INFORMATION CONTACT: ‘‘collapsed’’ (i.e., treated as a single Section 504 of the Trade Preferences Brenda E. Brown, Office of AD/CVD entity for purposes of calculating Extension Act of 2015 amended the Act Operations, Customs Liaison Unit, antidumping duty rates) require a by adding the concept of particular Enforcement and Compliance, substantial amount of detailed market situation (PMS) for purposes of International Trade Administration, information and analysis, which often constructed value under section 773(e) U.S. Department of Commerce, 1401 1 require follow-up questions and of the Act. Section 773(e) of the Act Constitution Avenue NW, Washington, analysis. Accordingly, Commerce will states that ‘‘if a particular market DC 20230, telephone: (202) 482–4735. not conduct collapsing analyses at the situation exists such that the cost of Background respondent selection phase of a review materials and fabrication or other processing of any kind does not Each year during the anniversary and will not collapse companies at the respondent selection phase unless there accurately reflect the cost of production month of the publication of an in the ordinary course of trade, the antidumping or countervailing duty has been a determination to collapse certain companies in a previous administering authority may use order, finding, or suspended another calculation methodology under investigation, an interested party, as segment of this antidumping proceeding (i.e., investigation, administrative this subtitle or any other calculation defined in section 771(9) of the Tariff methodology.’’ When an interested Act of 1930, as amended (the Act), may review, new shipper review or changed circumstances review). For any party submits a PMS allegation pursuant request, in accordance with 19 CFR to section 773(e) of the Act, Commerce 351.213, that the Department of company subject to a review, if Commerce determined, or continued to will respond to such a submission Commerce (Commerce) conduct an consistent with 19 CFR 351.301(c)(2)(v). administrative review of that treat, that company as collapsed with others, Commerce will assume that such If Commerce finds that a PMS exists antidumping or countervailing duty under section 773(e) of the Act, then it order, finding, or suspended companies continue to operate in the will modify its dumping calculations investigation. same manner and will collapse them for appropriately. All deadlines for the submission of respondent selection purposes. comments or actions by Commerce Otherwise, Commerce will not collapse Neither section 773(e) of the Act nor discussed below refer to the number of companies for purposes of respondent 19 CFR 351.301(c)(2)(v) set a deadline calendar days from the applicable selection. Parties are requested to (a) for the submission of PMS allegations starting date. identify which companies subject to and supporting factual information. review previously were collapsed, and However, in order to administer section Respondent Selection (b) provide a citation to the proceeding 773(e) of the Act, Commerce must In the event Commerce limits the in which they were collapsed. Further, receive PMS allegations and supporting number of respondents for individual if companies are requested to complete factual information with enough time to examination for administrative reviews a Quantity and Value Questionnaire for consider the submission. Thus, should initiated pursuant to requests made for purposes of respondent selection, in an interested party wish to submit a the orders identified below, Commerce general each company must report PMS allegation and supporting new intends to select respondents based on volume and value data separately for factual information pursuant to section U.S. Customs and Border Protection itself. Parties should not include data 773(e) of the Act, it must do so no later (CBP) data for U.S. imports during the for any other party, even if they believe than 20 days after submission of initial period of review. We intend to release they should be treated as a single entity Section D responses. the CBP data under Administrative with that other party. If a company was Opportunity to Request a Review: Not Protective Order (APO) to all parties collapsed with another company or later than the last day of April 2020,2 having an APO within five days of companies in the most recently interested parties may request publication of the initiation notice and completed segment of a proceeding to make our decision regarding administrative review of the following where Commerce considered collapsing orders, findings, or suspended respondent selection within 21 days of that entity, complete quantity and value publication of the initiation Federal investigations, with anniversary dates in data for that collapsed entity must be April for the following periods: Register notice. Therefore, we submitted. encourage all parties interested in commenting on respondent selection to Deadline for Withdrawal of Request for 1 See Trade Preferences Extension Act of 2015, Administrative Review Public Law 114–27, 129 Stat. 362 (2015). submit their APO applications on the 2 Or the next business day, if the deadline falls date of publication of the initiation Pursuant to 19 CFR 351.213(d)(1), a on a weekend, federal holiday or any other day notice, or as soon thereafter as possible. party that requests a review may when Commerce is closed.

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Antidumping Duty Proceedings Argentina: Biodiesel A–357–820 ...... 4/1/19–3/31/20 Indonesia: Biodiesel A–560–830 ...... 4/1/19–3/31/20 Republic of Korea: Phosphor Copper A–580–885 ...... 4/1/19–3/31/20 Thailand: Rubber Bands A–549–835 ...... 9/6/2018–3/31/20 The People’s Republic of China: 1,1,1,2- Tetrafluoroethane (R–134A) A–570–044 ...... 4/1/19–3/31/20 The People’s Republic of China: Activated Carbon A–570–904 ...... 4/1/19–3/31/20 The People’s Republic of China: Aluminum Foil A–570–053 ...... 4/1/19–3/31/20 The People’s Republic of China: Drawn Stainless Steel Sinks A–570–983 ...... 4/1/19–3/31/20 The People’s Republic of China: Magnesium Metal A–570–896 ...... 4/1/19–3/31/20 The People’s Republic of China: Non-Malleable Cast Iron Pipe Fittings A–570–875 ...... 4/1/19–3/31/20 The People’s Republic of China: Stainless Steel Sheet and Strip A–570–042 ...... 4/1/19–3/31/20 The People’s Republic of China: Certain Steel Threaded Rod A–570–932 ...... 4/1/19–3/31/20 Countervailing Duty Proceedings The People’s Republic of China: Aluminum Foil C–570–054 ...... 1/1/19–12/31/19 The People’s Republic of China: Drawn Stainless Steel Sinks C–570–984 ...... 1/1/19–12/31/19 The People’s Republic of China: Stainless Steel Sheet and Strip C–570–043 ...... 1/1/19–12/31/19 Suspension Agreements None.

In accordance with 19 CFR party’s attempts were reasonable, rate, Commerce will issue a final 351.213(b), an interested party as pursuant to 19 CFR 351.303(f)(3)(ii). decision indicating that the company in defined by section 771(9) of the Act may As explained in Antidumping and question is part of the NME entity. request in writing that the Secretary Countervailing Duty Proceedings: However, in that situation, because no conduct an administrative review. For Assessment of Antidumping Duties, 68 review of the NME entity was both antidumping and countervailing FR 23954 (May 6, 2003), and Non- conducted, the NME entity’s entries duty reviews, the interested party must Market Economy Antidumping were not subject to the review and the specify the individual producers or Proceedings: Assessment of rate for the NME entity is not subject to exporters covered by an antidumping Antidumping Duties, 76 FR 65694 change as a result of that review finding or an antidumping or (October 24, 2011), Commerce clarified (although the rate for the individual countervailing duty order or suspension its practice with respect to the exporter may change as a function of the agreement for which it is requesting a collection of final antidumping duties finding that the exporter is part of the on imports of merchandise where review. In addition, a domestic NME entity). Following initiation of an intermediate firms are involved. The interested party or an interested party antidumping administrative review public should be aware of this described in section 771(9)(B) of the Act when there is no review requested of the clarification in determining whether to NME entity, Commerce will instruct must state why it desires the Secretary request an administrative review of CBP to liquidate entries for all exporters to review those particular producers or merchandise subject to antidumping not named in the initiation notice, exporters. If the interested party intends findings and orders.3 including those that were suspended at for the Secretary to review sales of Commerce no longer considers the the NME entity rate. merchandise by an exporter (or a non-market economy (NME) entity as an All requests must be filed producer if that producer also exports exporter conditionally subject to an electronically in Enforcement and merchandise from other suppliers) antidumping duty administrative Compliance’s Antidumping and which was produced in more than one reviews.4 Accordingly, the NME entity Countervailing Duty Centralized country of origin and each country of will not be under review unless Electronic Service System (ACCESS) on origin is subject to a separate order, then Commerce specifically receives a Enforcement and Compliance’s ACCESS the interested party must state request for, or self-initiates, a review of website at https://access.trade.gov.6 specifically, on an order-by-order basis, the NME entity.5 In administrative Further, in accordance with 19 CFR which exporter(s) the request is reviews of antidumping duty orders on 351.303(f)(l)(i), a copy of each request intended to cover. merchandise from NME countries where must be served on the petitioner and Note that, for any party Commerce a review of the NME entity has not been each exporter or producer specified in was unable to locate in prior segments, initiated, but where an individual the request. Note that Commerce has Commerce will not accept a request for exporter for which a review was temporarily modified certain of its an administrative review of that party initiated does not qualify for a separate requirements for serving documents absent new information as to the party’s containing business proprietary 3 See the Enforcement and Compliance website at location. Moreover, if the interested information, until May 19, 2020, unless https://legacy.trade.gov/enforcement/. extended.7 party who files a request for review is 4 See Antidumping Proceedings: Announcement Commerce will publish in the Federal of Change in Department Practice for Respondent unable to locate the producer or Register a notice of ‘‘Initiation of exporter for which it requested the Selection in Antidumping Duty Proceedings and Conditional Review of the Nonmarket Economy review, the interested party must Entity in NME Antidumping Duty Proceedings, 78 6 See Antidumping and Countervailing Duty provide an explanation of the attempts FR 65963 (November 4, 2013). Proceedings: Electronic Filing Procedures; it made to locate the producer or 5 In accordance with 19 CFR 351.213(b)(1), parties Administrative Protective Order Procedures, 76 FR exporter at the same time it files its should specify that they are requesting a review of 39263 (July 6, 2011). entries from exporters comprising the entity, and to 7 See Temporary Rule Modifying AD/CVD Service request for review, in order for the the extent possible, include the names of such Requirements Due to COVID–19, 85 FR 17006 Secretary to determine if the interested exporters in their request. (March 26, 2020).

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Administrative Review of Antidumping Commerce, 1401 Constitution Avenue registered users at https:// or Countervailing Duty Order, Finding, NW, Washington, DC 20230; telephone: access.trade.gov and is available to all or Suspended Investigation’’ for (202) 482–3813 and (202) 482–3019, parties in the Central Records Unit, requests received by the last day of respectively. room B8024 of the main Commerce April 2020. If Commerce does not SUPPLEMENTARY INFORMATION: building. In addition, a complete receive, by the last day of April 2020, version of the Issues and Decision a request for review of entries covered Background Memorandum can be accessed directly by an order, finding, or suspended Commerce published the preliminary on the internet at http:// investigation listed in this notice and for results of this administrative review of enforcement.trade.gov/frn/index.html. the period identified above, Commerce steel flanges from India on October 15, The signed and electronic versions of will instruct CBP to assess antidumping 2019.1 For a history of events that the Issues and Decision Memorandum or countervailing duties on those entries occurred since the Preliminary Results, are identical in content. at a rate equal to the cash deposit of see the Issues and Decision Changes Since the Preliminary Results estimated antidumping or Memorandum.2 countervailing duties required on those Commerce exercised its discretion to Based on the comments received from entries at the time of entry, or toll all deadlines affected by the partial the interested parties after the withdrawal from warehouse, for federal government closure from Preliminary Results, we made changes consumption and to continue to collect December 22, 2018 through the to the net subsidy rates calculated for the cash deposit previously ordered. resumption of operations on January 29, the mandatory respondents. For a For the first administrative review of 2019.3 On February 3, 2020, Commerce discussion of these issues, see the Issues any order, there will be no assessment extended the deadline for the final and Decision Memorandum. of antidumping or countervailing duties results of this administrative review. Companies Not Selected for Individual on entries of subject merchandise The revised deadline for the final results Review entered, or withdrawn from warehouse, of this administrative review is now For the companies not selected for for consumption during the relevant March 27, 2020.4 provisional-measures ‘‘gap’’ period of Commerce conducted this review in individual review, because the rates the order, if such a gap period is accordance with section 751(a) of the calculated for Norma and RNG were applicable to the period of review. Tariff Act of 1930, as amended (the Act). above de minimis and not based entirely This notice is not required by statute on facts available, we applied a subsidy but is published as a service to the Scope of the Order rate based on a weighted-average of the international trading community. The merchandise covered by the order subsidy rates calculated for Norma and is steel flanges. For a complete RNG using publicly ranged sales data Dated: March 26, 2020. submitted by the respondents. This is James Maeder, description of the scope of the order, see the Issues and Decision Memorandum. consistent with the methodology that Deputy Assistant Secretary for Antidumping we would use in an investigation to and Countervailing Duty Operations. Analysis of Comments Received establish the all-others rate, pursuant to [FR Doc. 2020–06776 Filed 3–31–20; 8:45 am] All issues raised in interested parties’ section 705(c)(5)(A) of the Act. BILLING CODE 3510–DS–P case and rebuttal briefs are addressed in Final Results of Administrative Review the Issues and Decision Memorandum. The issues are identified in the We determine that, for the period of DEPARTMENT OF COMMERCE Appendix to this notice. The Issues and November 29, 2016 through December 31, 2017, the following total estimated International Trade Administration Decision Memorandum is a public document and is on file electronically net countervailable subsidy rates exist: [C–533–872] via Enforcement and Compliance’s Antidumping and Countervailing Duty Subsidy rate Finished Carbon Steel Flanges From Company (percent ad Centralized Electronic Service System valorem) India: Final Results of Countervailing (ACCESS). ACCESS is available to Duty Administrative Review, 2016– Norma (India) Ltd 5 ...... 5.39 2017 1 See Finished Carbon Steel Flanges from India: R.N. Gupta & Co. Ltd ...... 4.69 Preliminary Results of Countervailing Duty Adinath International ...... 5.03 AGENCY: Enforcement and Compliance, Administrative Review, 2016–2017, 84 FR 55141 Allena Group ...... 5.03 International Trade Administration, (October 15, 2019) (Preliminary Results), and Alloyed Steel ...... 5.03 Department of Commerce. accompanying Preliminary Decision Memorandum. Bebitz Flanges Works Pri- SUMMARY: The Department of Commerce 2 See Memorandum, ‘‘Decision Memorandum for vate Limited ...... 5.03 (Commerce) determines that Norma the Final Results of the 2016–2017 Countervailing C.D. Industries ...... 5.03 Duty Administrative Review of Finished Carbon (India) Ltd. (Norma) and R.N. Gupta & Steel Flanges from India,’’ dated concurrently with CHW Forge ...... 5.03 Co. Ltd (RNG), producers and/or this determination and hereby adopted by this CHW Forge Pvt. Ltd...... 5.03 exporters of finished carbon steel notice (Issues and Decision Memorandum). Citizen Metal Depot ...... 5.03 flanges (steel flanges) from India, 3 See Memorandum to the Record from Gary Corum Flange ...... 5.03 received countervailable subsidies Taverman, Deputy Assistant Secretary for DN Forge Industries ...... 5.03 Antidumping and Countervailing Duty Operations, Echjay Forgings Limited ...... 5.03 during the period of review (POR), performing the non-exclusive functions and duties Falcon Valves and Flanges November 29, 2016 through December of the Assistant Secretary for Enforcement and Private Limited ...... 5.03 31, 2017. Compliance, ‘‘Deadlines Affected by the Partial Heubach International ...... 5.03 Shutdown of the Federal Government,’’ dated DATES: Applicable April 1, 2020. January 28, 2019. All deadlines in this segment of Hindon Forge Pvt. Ltd...... 5.03 FOR FURTHER INFORMATION CONTACT: the proceeding have been extended by 40 days. Yasmin Bordas or John McGowan, AD/ 4 See Memorandum, ‘‘Finished Carbon Steel 5 We note that cross-ownership exists between Flanges from India: Extension of Deadline for Final Norma (India) Ltd., USK Export Private Limited CVD Operations, Office VI, Enforcement Results of Countervailing Duty Administrative (USK), Uma Shanker Khandelwal and Co., (UMA) and Compliance, International Trade Review; 11/29/2016–12/31/2017,’’ dated February and Bansidhar Chiranjilal (BCL). See Issues and Administration, U.S. Department of 3, 2020. Decision Memorandum at 4.

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Subsidy rate Notification Regarding Administrative ACTION: Notice of public workshops; Company (percent ad Protective Order correction. valorem) This notice also serves as a reminder SUMMARY: NMFS announces that the Jai Auto Pvt. Ltd...... 5.03 to parties subject to administrative date for the Atlantic Shark Identification Kinnari Steel Corporation ..... 5.03 protective order (APO) of their workshop originally scheduled for April M F Rings and Bearing responsibility concerning the 2, 2020, in Wilmington, NC has been Races Ltd...... 5.03 disposition of proprietary information changed to July 2, 2020. Also, NMFS is Mascot Metal Manufactures 5.03 disclosed under APO in accordance postponing the Safe Handling, Release, OM Exports ...... 5.03 with 19 CFR 351.305(a)(3), which and Identification workshops originally Punjab Steel Works (PSW) .. 5.03 continues to govern business scheduled for Houston, TX on March R.D. Forge ...... 5.03 proprietary information in this segment 17, 2020; Kitty Hawk, NC on April 1, Raaj Sagar Steel ...... 5.03 of the proceeding. Timely written 2020; and Revere, MA on April 3, 2020. Ravi Ratan Metal Industries 5.03 notification of the return or destruction The dates for these workshops have Rolex Fittings India Pvt. Ltd. 5.03 of APO materials, or conversion to been changed to June 26, 2020, June 29, Rollwell Forge Pvt. Ltd...... 5.03 judicial protective order is hereby 2020, and June 16, 2020, respectively. SHM (ShinHeung Machinery) 5.03 requested. Failure to comply with the The dates are being changed due to Siddhagiri Metal & Tubes ..... 5.03 regulations and the terms of an APO is concerns about the spread of the Sizer India ...... 5.03 a sanctionable violation. COVID–19 virus associated with Steel Shape India ...... 5.03 traveling to, and attending, the Sudhir Forgings Pvt. Ltd...... 5.03 Notification to Interested Parties Tirupati Forge ...... 5.03 originally scheduled workshops. The These final results are issued and workshop times and locations remains published in accordance with sections unchanged: 12 p.m.–4 p.m. for the Disclosure 751(a)(1) and 777(i)(1) of the Act and 19 Atlantic Shark Identification workshop; CFR 351.221(b)(5). Commerce intends to disclose the and, 9 a.m. to 5 p.m. for the Safe calculations performed for these final Dated: March 23, 2020. Handling, Release, and Identification results of review within five days of the Jeffrey I. Kessler, workshops. The remaining workshops date of publication of this notice in the Assistant Secretary for Enforcement and in May and June 2020 remain Federal Register, in accordance with 19 Compliance. unchanged, unless further noticed. CFR 351.224(b). Atlantic Shark Identification workshops Appendix—List of Topics Discussed in are mandatory for federally-permitted Assessment Rate the Issues and Decision Memorandum Atlantic shark dealers. Safe Handling, I. Summary Release, and Identification workshops Pursuant to 19 CFR 351.212(b)(2), II. List of Issues are mandatory for shark and swordfish Commerce intends to issue appropriate III. Background limited-access permit holders who fish instructions to U.S. Customs and Border IV. Changes since the Preliminary Results with longline or gillnet gear. Additional Protection (CBP) 15 days after V. Scope of the Order free workshops will be conducted publication of the final results of this VI. Period of Review during 2020. review. We will instruct CBP to VII. Subsidies Valuation Information VIII. Use of Facts Otherwise Available and DATES: The date for the Atlantic Shark liquidate shipments of subject Adverse Inferences Identification workshop to be held in merchandise produced and/or exported IX. Analysis of Program Wilmington, NC is changed to July 2, by the companies listed above, entered, X. Analysis of Comments 2020, unless further noticed. The dates or withdrawn from warehouse for Comment 1: Determination Regarding the for the Safe Handling, Release, and consumption, from November 29, 2016 Exemption from Entry Tax for the Iron Identification workshops to be held in through December 31, 2017, at the ad and Steel Industry in SGUP Revere, MA, Houston, TX, and Kitty valorem rates listed above. Comment 2: Calculation of EPCGS Benefits for Norma Hawk, NC, are changed to June 16, June Cash Deposit Requirements Comment 3: Calculation of EPCGS Benefits 26, and June 29, 2020, respectively, for RNG unless further noticed. See The following cash deposit XI. Recommendation SUPPLEMENTARY INFORMATION for further requirements will be effective upon [FR Doc. 2020–06777 Filed 3–31–20; 8:45 am] details. publication of the notice of final results BILLING CODE 3510–DS–P ADDRESSES: The address for the Atlantic of this administrative review for all Shark Identification to be held in shipments of the subject merchandise Wilmington, NC, remains at Hampton entered, or withdrawn from warehouse, DEPARTMENT OF COMMERCE Inn, 124 Old Eastwood Road, for consumption on or after the date of Wilmington, NC 28403. The Safe National Oceanic and Atmospheric Handling, Release, and Identification publication, as provided by section Administration 751(a)(2)(C) of the Act: (1) The cash workshops remain at Holiday Inn deposit rate for the companies listed in Express, 9300 South Main Street, these final results will be equal to the [RTIDs 0648–XT029, 0648–XT034] Houston, TX 77025; Hilton Garden Inn, subsidy rates established in the final 5353 North Virginia Dare Trail, Kitty Schedules for Atlantic Shark Hawk, NC 27949; and, Hampton Inn, results of this review; (2) for all non- Identification Workshops and Safe reviewed firms, we will instruct CBP to 230 Lee Burbank Highway, Revere, MA Handling, Release, and Identification 02151. See SUPPLEMENTARY INFORMATION continue to collect cash deposits at the Workshops; Correction most-recent company-specific or all- for further details. others rate applicable to the company, AGENCY: National Marine Fisheries FOR FURTHER INFORMATION CONTACT: Rick as appropriate. These cash deposit Service (NMFS), National Oceanic and Pearson by phone: (727) 551–5742. requirements, when imposed, shall Atmospheric Administration (NOAA), SUPPLEMENTARY INFORMATION: The remain in effect until further notice. Commerce. workshop schedules, registration

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information, and a list of frequently SUMMARY: The New England Fishery Dated: March 27, 2020. asked questions regarding these Management Council (Council) is Tracey L. Thompson, workshops are posted on the internet at: scheduling a public meeting of its Acting Deputy Director, Office of Sustainable https://www.fisheries.noaa.gov/atlantic- Habitat Joint Committee and Advisory Fisheries, National Marine Fisheries Service. highly-migratory-species/safe-handling- Panel via webinar to consider actions [FR Doc. 2020–06802 Filed 3–31–20; 8:45 am] release-and-identification-workshops, affecting New England fisheries in the BILLING CODE 3510–22–P and https://www.fisheries.noaa.gov/ exclusive economic zone (EEZ). atlantic-highly-migratory-species/ Recommendations from this group will atlantic-shark-identification-workshops. be brought to the full Council for formal DEPARTMENT OF COMMERCE consideration and action, if appropriate. Correction National Oceanic and Atmospheric In the Federal Register (Doc. 2019– DATES: This meeting will be held on Administration Tuesday, April 21, 2020 at 9 a.m. 25673) of November 26, 2019, on page [RTID 0648–XA103] 65117, in the first column, correct the ADDRESSES: All meeting participants date of the sixth Safe Handling, Release, and interested parties can register to Fisheries of the Gulf of Mexico and the and Identification workshop listed join the webinar at https:// South Atlantic; Southeast Data, under the heading Workshop Dates, attendee.gotowebinar.com/register/ Assessment, and Review (SEDAR); Times, and Locations to read: 2346067948378065933. Public Meeting ‘‘6. June 26, 2020, 9 a.m.–5 p.m., Holiday Council address: New England Inn Express, 9300 South Main Street, AGENCY: National Marine Fisheries Houston, TX 77025.’’ Fishery Management Council, 50 Water Service (NMFS), National Oceanic and In the Federal Register (Doc. 2020– Street, Mill 2, Newburyport, MA 01950. Atmospheric Administration (NOAA), 04022) of February 27, 2020, on page FOR FURTHER INFORMATION CONTACT: Commerce. 11346, in the third column, correct the Thomas A. Nies, Executive Director, ACTION: Notice of SEDAR 68 Data date of the first Atlantic Shark New England Fishery Management Plenary Webinar I for Gulf of Mexico Identification workshop listed under the Council; telephone: (978) 465–0492. and Atlantic Scamp Grouper. heading Workshop Dates, Times, and Locations to read: SUPPLEMENTARY INFORMATION: SUMMARY: The SEDAR 68 assessment ‘‘1. July 2, 2020, 12 p.m.–4 p.m., Hampton Agenda process of Gulf of Mexico and Atlantic Inn, 124 Old Eastwood Road, Wilmington, Scamp will consist of a series of data NC 28403.’’ The committee will receive general and assessment webinars, and a Review In the Federal Register (Doc. 2020– updates on habitat-related actions and Workshop. See SUPPLEMENTARY 04022) of February 27, 2020, on page projects. They plan to discuss and INFORMATION. 11347, in the first column, correct the provide feedback on development of DATES: dates of the first and second Safe habitat policies for aquaculture, The SEDAR 68 Data Plenary Handling, Release, and Identification submarine cables, and floating offshore Webinar I will be held April 22, 2020, workshops listed under the heading wind. The committee will discuss and from 1 p.m. to 3 p.m. Workshop Dates, Times, and Locations provide feedback on issues related to ADDRESSES: to read: offshore wind development. Meeting address: The meeting will be ‘‘1. June 29, 2020, 9 a.m.–5 p.m., Hampton held via webinar. The webinar is open Inn, 124 Old Eastwood Road, Wilmington, Other business may be discussed as to members of the public. Those NC 28403. necessary. interested in participating should 2. June 16, 2020, 9 a.m.–5 p.m., Hampton Although non-emergency issues not contact Julie A. Neer at SEDAR (see FOR Inn, 230 Lee Burbank Highway, Revere, MA contained in this agenda may come FURTHER INFORMATION CONTACT) to 02151.’’ before this group for discussion, those request an invitation providing webinar (Authority: 16 U.S.C. 1801 et seq.) issues may not be the subject of formal access information. Please request Dated: March 26, 2020. action during these meetings. Action webinar invitations at least 24 hours in He´le`ne M.N. Scalliet, will be restricted to those issues advance of each webinar. Acting Director, Office of Sustainable specifically listed in this notice and any SEDAR address: 4055 Faber Place Fisheries, National Marine Fisheries Service. issues arising after publication of this Drive, Suite 201, North Charleston, SC [FR Doc. 2020–06702 Filed 3–31–20; 8:45 am] notice that require emergency action 29405. under section 305(c) of the Magnuson- BILLING CODE 3510–22–P FOR FURTHER INFORMATION CONTACT: Julie Stevens Act, provided the public has A. Neer, SEDAR Coordinator; (843) 571– been notified of the Council’s intent to 4366; email: [email protected] take final action to address the DEPARTMENT OF COMMERCE SUPPLEMENTARY INFORMATION: The Gulf emergency. of Mexico, South Atlantic, and National Oceanic and Atmospheric Special Accommodations Caribbean Fishery Management Administration Councils, in conjunction with NOAA [RTID 0648–XA101] This meeting is physically accessible Fisheries and the Atlantic and Gulf to people with disabilities. Requests for States Marine Fisheries Commissions New England Fishery Management sign language interpretation or other have implemented the Southeast Data, Council; Public Meeting auxiliary aids should be directed to Assessment and Review (SEDAR) Thomas A. Nies, Executive Director, at process, a multi-step method for AGENCY: National Marine Fisheries (978) 465–0492, at least 5 days prior to Service (NMFS), National Oceanic and determining the status of fish stocks in the date. This meeting will be recorded. the Southeast Region. SEDAR is a multi- Atmospheric Administration (NOAA), Consistent with 16 U.S.C. 1852, a copy Commerce. step process including: (1) Data/ of the recording is available upon Assessment Workshop, and (2) a series ACTION: Notice; public meeting via request. of webinars. The product of the Data/ webinar. Authority: 16 U.S.C. 1801 et seq. Assessment Workshop is a report which

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compiles and evaluates potential Dated: March 27, 2020. part of the public record and will datasets and recommends which Tracey L. Thompson, generally be posted online at https:// datasets are appropriate for assessment Acting Deputy Director, Office of Sustainable www.fisheries.noaa.gov/permit/ analyses, and describes the fisheries, Fisheries, National Marine Fisheries Service. incidental-take-authorizations-under- evaluates the status of the stock, [FR Doc. 2020–06803 Filed 3–31–20; 8:45 am] marine-mammal-protection-act without estimates biological benchmarks, BILLING CODE 3510–22–P change. All personal identifying projects future population conditions, information (e.g., name, address) and recommends research and voluntarily submitted by the commenter monitoring needs. Participants for DEPARTMENT OF COMMERCE may be publicly accessible. Do not SEDAR Workshops are appointed by the submit confidential business National Oceanic and Atmospheric information or otherwise sensitive or Gulf of Mexico, South Atlantic, and Administration Caribbean Fishery Management protected information. [RTID 0648–XR097] Councils and NOAA Fisheries Southeast FOR FURTHER INFORMATION CONTACT: Regional Office, HMS Management Takes of Marine Mammals Incidental to Dwayne Meadows, Ph.D., Office of Division, and Southeast Fisheries Specified Activities; Taking Marine Protected Resources, NMFS, (301) 427– Science Center. Participants include Mammals Incidental to Gastineau 8401. Electronic copies of the data collectors and database managers; Channel Historical Society Sentinel application and supporting documents, stock assessment scientists, biologists, Island Moorage Float Project, Juneau, as well as a list of the references cited and researchers; constituency Alaska in this document, may be obtained representatives including fishermen, online at: https:// environmentalists, and NGO’s; AGENCY: National Marine Fisheries www.fisheries.noaa.gov/permit/ Service (NMFS), National Oceanic and International experts; and staff of incidental-take-authorizations-under- Atmospheric Administration (NOAA), Councils, Commissions, and state and marine-mammal-protection-act. In case Commerce. federal agencies. of problems accessing these documents, ACTION: Notice; proposed incidental please call the contact listed above. The items of discussion in the Data harassment authorization; request for Webinars are as follows: comments on proposed authorization SUPPLEMENTARY INFORMATION: • An assessment data set and and possible renewal. Background associated documentation will be SUMMARY: NMFS has received a request The MMPA prohibits the ‘‘take’’ of developed during the webinars; from Gastineau Channel Historical marine mammals, with certain • Participants will evaluate proposed Society (GCHS) for authorization to take exceptions. Sections 101(a)(5)(A) and data and select appropriate sources for marine mammals incidental to Sentinel (D) of the MMPA (16 U.S.C. 1361 et providing information on life history Island Moorage Float project near seq.) direct the Secretary of Commerce characteristics, catch statistics, discard Juneau, Alaska. Pursuant to the Marine (as delegated to NMFS) to allow, upon estimates, length and age composition, Mammal Protection Act (MMPA), NMFS request, the incidental, but not and fishery dependent and fishery is requesting comments on its proposal to issue an incidental harassment intentional, taking of small numbers of independent measures of stock marine mammals by U.S. citizens who abundance. authorization (IHA) to incidentally take marine mammals during the specified engage in a specified activity (other than Although non-emergency issues not activities. NMFS is also requesting commercial fishing) within a specified contained in this agenda may come comments on a possible one-year geographical region if certain findings before this group for discussion, those renewal that could be issued under are made and either regulations are issues may not be the subject of formal certain circumstances and if all issued or, if the taking is limited to action during this meeting. Action will requirements are met, as described in harassment, a notice of a proposed be restricted to those issues specifically Request for Public Comments at the end incidental take authorization may be identified in this notice and any issues of this notice. NMFS will consider provided to the public for review. arising after publication of this notice public comments prior to making any Authorization for incidental takings that require emergency action under final decision on the issuance of the shall be granted if NMFS finds that the section 305(c) of the Magnuson-Stevens requested MMPA authorizations and taking will have a negligible impact on Fishery Conservation and Management agency responses will be summarized in the species or stock(s) and will not have Act, provided the public has been the final notice of our decision. an unmitigable adverse impact on the notified of the intent to take final action DATES: Comments and information must availability of the species or stock(s) for to address the emergency. be received no later than May 1, 2020. taking for subsistence uses (where ADDRESSES: relevant). Further, NMFS must prescribe Special Accommodations Comments should be addressed to Jolie Harrison, Chief, the permissible methods of taking and The meeting is physically accessible Permits and Conservation Division, other ‘‘means of effecting the least to people with disabilities. Requests for Office of Protected Resources, National practicable adverse impact’’ on the sign language interpretation or other Marine Fisheries Service. Physical affected species or stocks and their auxiliary aids should be directed to the comments should be sent to 1315 East- habitat, paying particular attention to rookeries, mating grounds, and areas of Council office (see ADDRESSES) at least 3 West Highway, Silver Spring, MD 20910 business days prior to each workshop. and electronic comments should be sent similar significance, and on the to [email protected]. availability of the species or stocks for Note: The times and sequence specified in Instructions: NMFS is not responsible taking for certain subsistence uses this agenda are subject to change. for comments sent by any other method, (referred to in shorthand as to any other address or individual, or ‘‘mitigation’’); and requirements Authority: 16 U.S.C. 1801 et seq. received after the end of the comment pertaining to the mitigation, monitoring period. All comments received are a and reporting of the takings are set forth.

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The definitions of all applicable Summary of Request The pile driving or DTH drilling can MMPA statutory terms cited above are On 24 October 2019, NMFS received result in take of marine mammals from included in the relevant sections below. a request from GCHS for an IHA to take sound in the water which results in behavioral harassment (Level B National Environmental Policy Act marine mammals incidental to Sentinel Island Moorage Float project near harassment) or auditory injury (Level A To comply with the National Juneau, Alaska. The application was harassment). The footprint of the project Environmental Policy Act of 1969 deemed adequate and complete on is approximately one square mile (NEPA; 42 U.S.C. 4321 et seq.) and February 7, 2020. GCHS’s request is for around the project site. The project will take no more than 6 days of pile- NOAA Administrative Order (NAO) take of seven species (consisting of eight driving/DTH drilling. 216–6A, NMFS must review our stocks) of marine mammals by Level B proposed action (i.e., the issuance of an harassment and/or Level A harassment. Dates and Duration Neither GCHS nor NMFS expects incidental harassment authorization) The work for which take will be serious injury or mortality to result from with respect to potential impacts on the authorized will occur between July 15, this activity and, therefore, an IHA is human environment. 2020 and September 20, 2020. Noise appropriate. This action is consistent with generating activities will not overlap categories of activities identified in Description of Proposed Activity with high densities of marine mammal prey that occur March 1 through May Categorical Exclusion B4 (incidental Overview harassment authorizations with no 31. The daily construction window for anticipated serious injury or mortality) The project consists of the pile driving would begin no sooner than of the Companion Manual for NOAA construction of an access float to more 30 minutes after sunrise and would end Administrative Order 216–6A, which do easily access Sentinel Island within 30 minutes prior to sunset to allow for not individually or cumulatively have Favorite Channel/Lynn Canal near marine mammal monitoring. Juneau, Alaska. GCHS would install a the potential for significant impacts on Specific Geographic Region the quality of the human environment pile supported marine float with a metal and for which we have not identified gangway spanning from the float to a The project site is located at Sentinel timber platform on Sentinel Island. The Island at the northern end of Favorite any extraordinary circumstances that project includes the following in-water Channel at its convergence with Lynn would preclude this categorical components: driving six 24-inch Canal near Juneau, Alaska (Figure 1). In exclusion. Accordingly, NMFS has diameter steel pipe piles to support the 2004 the Sentinel Island Lighthouse was preliminarily determined that the float and seaward end of the gangway. transferred to the Gastineau Channel issuance of the proposed IHA qualifies Pile driving would be by vibratory pile Historical Society from the U.S. Coast to be categorically excluded from driving to install the piles until down- Guard. The proposed mooring float is further NEPA review. the-hole (DTH) drilling is needed to adjacent to the lighthouse on the island. We will review all comments rock socket the piles. Impact pile In a similar location to the proposed submitted in response to this notice driving will only be used for piles that float there was an old timber dock with prior to concluding our NEPA process encounter soils too dense to penetrate a hoist house that was demolished in or making a final decision on the IHA with the vibratory equipment, which is 2004. request. not expected. BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C Detailed Description of Specific Activity depth which may require about 15 Several seasonally available prey minutes of hammering. Installation will species are abundant within the project The 16 by 60 foot float and 8 by 88 begin with use of the vibratory hammer, foot gangway will be fabricated and area. Herring (Clupea pallasii) are then drilling will begin at the bedrock moved to the installation site. To abundant in dense aggregations in the interface and at the end the final setting support these structures, six 24-inch spring and fall, coinciding with when of the pile in the drilled socket will be diameter steel pipes would be driven Steller sea lion numbers peak at done with the vibratory hammer. DTH into the substrate at the project location. Benjamin Island to the north (Womble drilling will be used to install the rock The pipe piles would be installed to a 2003). In Southeast Alaska, spawning of depth of at least 15 feet or more below sockets. It is estimated that about 6 eulachon (Thaleichtys pacificus) and the surface using a crane-mounted hours (maximum) would be required to capelin (Mallotus villosus) also occurs vibratory and/or impact hammer located drive each pile and they would be in the spring (Womble et al. 2009). on a barge. It may take up to about 60 proofed the same day. The underwater acoustic environment minutes per pile of vibratory driving to Multiple piles would not be in the project area is dominated by set each pile. If impact hammering is concurrently driven. Under the best- ambient noise from day-to-day vessel used, about 250 strikes would be needed case scenario, using solely vibratory and activities. to drive each of the piles to a sufficient DTH drilling, two piles would be set in

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a day. Therefore, the duration of drilling marine-mammal-protection/marine- here, PBR and annual serious injury and activity for the four piles could be as mammal-stock-assessments) and more mortality from anthropogenic sources short as 3 days or as long as 6 days. general information about these species are included here as gross indicators of Thus in the worst case, the entire (e.g., physical and behavioral the status of the species and other project would take a total of 6 days of descriptions) may be found on NMFS’s threats. website (https:// pile driving/drilling. Marine mammal abundance estimates Proposed mitigation, monitoring, and www.fisheries.noaa.gov/find-species). presented in this document represent reporting measures are described in Table 1 lists all species with expected the total number of individuals that detail later in this document (please see potential for occurrence in Juneau, make up a given stock or the total Proposed Mitigation and Proposed Alaska and summarizes information Monitoring and Reporting). related to the population or stock, number estimated within a particular including regulatory status under the study or survey area. NMFS’s stock Description of Marine Mammals in the MMPA and ESA and potential abundance estimates for most species Area of Specified Activities biological removal (PBR), where known. represent the total estimate of Sections 3 and 4 of the application For taxonomy, we follow Committee on individuals within the geographic area, summarize available information Taxonomy (2019). PBR is defined by the if known, that comprises that stock. For regarding status and trends, distribution MMPA as the maximum number of some species, this geographic area may and habitat preferences, and behavior animals, not including natural extend beyond U.S. waters. All managed and life history, of the potentially mortalities, that may be removed from a stocks in this region are assessed in affected species. Additional information marine mammal stock while allowing NMFS’s U.S. Alaska SARs (e.g., Muto et regarding population trends and threats that stock to reach or maintain its al., 2019). All values presented in Table may be found in NMFS’s Stock optimum sustainable population (as 1 are the most recent available at the Assessment Reports (SARs; https:// described in NMFS’s SARs). While no time of publication and are available in www.fisheries.noaa.gov/national/ mortality is anticipated or authorized the draft 2019 SARs (Muto et al., 2019). TABLE 1—MARINE MAMMALS POTENTIALLY PRESENT IN THE VICINITY OF THE STUDY AREAS

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

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Physeteridae Sperm whale ...... Physeter macrocephalus ...... North Pacific ...... ¥; N N/A (see SAR, N/A, See SAR 4.4 2015), see text. Family Balaenopteridae (rorquals) Humpback Whale ...... Megaptera novaeangliae ...... Central North Pacific ...... ¥; N (Hawaii 10,103 (0.3, 7,890, 83 25 DPS) 2006). Central North Pacific ...... T,D,Y (Mexico 3264 ...... N/A N/A DPS) Minke whale 4 ...... Balaenoptera acutorostrata ... Alaska ...... ¥; N N/A, see text ...... N/A 0

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Delphinidae Killer whale 5 ...... Orcinus orca ...... Alaska Resident ...... ¥; Y 2347 ...... 24 1 Northern Resident ...... 261 ...... 1.96 0 West Coast transient ...... 243 ...... 2.4 0 Family Phocoenidae (por- poises) Dall’s porpoise 4 ...... Phocoenoides dalli ...... Alaska ...... ¥; N 83,400 (0.097, N/A, N/A 38 1991). Harbor porpoise ...... Phocoena phocoena ...... Southeast Alaska ...... ¥; Y 975 (2012) ...... 8.9 34

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (eared seals and sea lions) Steller sea lion ...... Eumetopias jubatus ...... Eastern U.S...... ¥; N 41,638 (n/a; 41,638; 2,498 108 2015). Steller sea lion ...... Eumetopias jubatus ...... Western U.S...... E,D,Y 54,268 (see SAR, 326 247 54,267, 2017). Family Phocidae (earless seals) Harbor seal ...... Phoca vitulina richardii ...... Lynn Canal/Stephens Pas- ¥; N 9,478 (see SAR, 8,605, 155 50 sage. 2011). 1- Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (–) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2- NMFS marine mammal stock assessment reports online at: https://www.fisheries.noaa.gov/national/marine-mammal-protection/marine-mammal-stock-assess- ments. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV is not applicable 3- These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fish- eries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases. 4- The most recent abundance estimate is >8 years old, there is no official current estimate of abundance available for this stock.

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5- NMFS has preliminary genetic information on killer whales in Alaska which indicates that the current stock structure of killer whales in Alaska needs to be reas- sessed. NMFS is evaluating the new genetic information. A complete revision of the killer whale stock assessments will be postponed until the stock structure evalua- tion is completed and any new stocks are identified’’ (Muto, Helker et al. 2018). For the purposes of this IHA application, the existing stocks are used to estimate po- tential takes.

All species that could potentially we do not consider it further in this No comprehensive estimates of occur in the proposed survey areas are analysis. abundance have been made for the included in Table 1. As described Estimates of humpback whale Alaska stock or near the project area, but below, seven species (with eight abundance for the Mexico DPS are from a 2010 survey conducted on the eastern managed stocks) temporally and the ESA listing process. Some whale Bering Sea shelf produced a provisional spatially co-occur with the activity to researchers, resource managers, and abundance estimate of 2,020 whales the degree that take is reasonably likely whale watching guides track the (Friday et al., 2013). to occur, and we have proposed presence of individual humpback Killer Whale authorizing it. Sperm whales are whales in the Juneau area by unique considered extra-limital and will not be fluke patterns (Teerlink, 2017). Based on NMFS recognizes eight killer whale considered further. fluke pattern identification from fluke (Orcinus orca) stocks throughout the In addition, the northern sea otter photographs taken between 2006 and Pacific Ocean. However, only three of may be found in the project vicinity. 2014, 179 individual humpback whales these stocks can be found in Southeast However, that species is managed by the were identified from the Juneau area Alaska: (1) the Alaska Resident stock U.S. Fish and Wildlife Service and is (Teerlink, 2017). For Lynn Canal/ ranges from southeastern Alaska to the not considered further in this document. Favorite Channel and other waters in Aleutian Islands and Bering Sea; (2) the the project vicinity including Stephens Northern Resident stock occurs from Humpback Whale Passage, and Saginaw Channel, Washington State through part of Humpback whales (Megaptera researchers have documented 4 to 18 southeastern Alaska; and (3) the West novaeangliae) in the North Pacific humpback whales in winter (Krieger Coast Transient stock ranges from migrate from low-latitude breeding and and Wing, 1986; Moran et al., 2018). California through southeastern Alaska calving grounds to form geographically Straley et al. (2011) surveyed humpback (Muto et al., 2019). Resident and distinct aggregations on higher-latitude whales in Lynn Canal from September transient killer whales are sporadically feeding grounds. They occur in Lynn 15–October 14 in 2007/2008 and during and seasonally attracted to Lutak Inlet Canal where they feed on aggregations the same months in 2000/2009. During during the spring to feed on the large of herring in lower Lynn Canal. both years a total of 55 whale sighting aggregations of fishes and pinnipeds. In 2016 NMFS revised the ESA listing (average of approximately 2 whales per Killer whale abundance estimates are of humpback whales (81 FR 62259; day) were recorded, however in 2007/ determined by a direct count of September 8, 2016). NMFS is in the 2008 there were 30 unique whales individually identifiable animals. Killer process of reviewing humpback whale identified and in 2008/2009 there were whales are observed within the project stock structure and abundance under 22 unique whales identified in the area several times annually. Data the MMPA in light of the ESA revisions. project vicinity. compiled by Oceanus Alaska found an The MMPA stock in Alaska is Dahlheim et al. (2009) found average of 25 killer whales in the Statter considered to be the Central North significant difference in the mean group Harbor area of Auke Bay each year. Pacific stock. Humpbacks from 2 of the size of humpback whales from year to While killer whales occurring in Lynn 14 newly identified Distinct Population year and also found that the average Canal can belong to one of three stocks, Segments (DPSs) occur in the project group size was largest in the fall photoidentification studies since 1970 area: The Mexico DPS, which is a (September/October), however no have catalogued most individuals threatened species; and the Hawaii DPS, surveys were conducted in August. observed in this area as belonging to the which is not protected under the ESA. Information from the fall surveys is thus Northern Resident stock. The AG NMFS considers humpback whales in utilized, and is conservative because resident pod is one pod known to Southeast Alaska to be 94 percent humpback numbers were found to peak frequent the Juneau area (Dahlheim et comprised of the Hawaii DPS and 6 during the fall in Lynn Canal (Straley et al., 2009; B. Lambert personal percent of the Mexico DPS (Wade et al., al., 2011). observation) and has 41 members. This 2016). While the range of the Mexico pod is seen in the area intermittently in Minke Whale DPS extends up to Southeast Alaska, groups of up to approximately 25 this DPS has never been reported as far There are three stocks of minke individuals (B. Lambert personal north as Sitka. The likelihood that an whales (Balaenopera acutorostrata) observation). The occurrence of individual from the Mexico DPS is part recognized in U.S. waters of the Pacific transient killer whales in Lynn Canal of the relatively few humpback whales Ocean; only members of the Alaska increases in summer, with lower that move to Lynn Canal is extremely stock could potentially occur within the numbers observed in spring and fall. low; nevertheless, we use the 6 percent project area. This stock has seasonal Dahlheim et al. (2009) found the average estimate to be conservative in this movements associated with feeding group size of resident orcas to be analysis. areas that are generally located at the approximately 33 individuals during the On October 9, 2019, NMFS published edge of the pack ice (Muto et al., 2019). summer (June/July) and 20 during the a proposed rule to designate critical Minke whales are considered to be rare fall (September/October). habitat for the humpback whale (84 FR in Lynn Canal (Dahlheim et al., 2009). 54354). Areas proposed as critical However, minke whales forage on Dall’s Porpoise habitat include specific marine areas off schooling fish and may rarely enter the Dall’s porpoise (Phocoenoides dalli) the coasts of California, Oregon, project area. In 2015, one minke whale are widely distributed throughout the Washington and Alaska, including near was sighted in Taiya Inlet, northeast of region and have been observed in Lynn the project area. GCHS expects to the Project Area (K. Gross, personal Canal (Dahlheim et al., 2009). They complete this project before the critical communication, as cited in 84 FR 4777, were observed more frequently in the habitat designation is effective, therefore February 19, 2019). spring, tapering off in summer and fall

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in southeast Alaska (Jefferson et al., Steller sea lions have been observed in which the action area is located is 2019). The Alaska stock is the only in the project vicinity throughout the 42.06 harbor seals at a haulout on the Dall’s porpoise stock found in Alaska year. Salmon increase in importance as east coast of Sentinel Island with the 95 waters. Group sizes were generally prey for sea lions from late-October and percent confidence interval for that small, under 5 individuals, and during December. The closest haulout to the estimate at 134 seals. the summer months the mean group size project area is Benjamin Island, about 1 was 2.6. mile northeast. Typically the sea lions Marine Mammal Hearing Harbor Porpoise vacate Benjamin Island mid-July Hearing is the most important sensory through late-September, however some modality for marine mammals Harbor porpoise (Phocoena phocoena) years individuals have remained. In underwater, and exposure to are common in coastal waters of Alaska. surveys conducted from 2004 to 2018, anthropogenic sound can have There are three harbor porpoise stocks Steller sea lions were absent from July deleterious effects. To appropriately in Alaska, but only the Southeast Alaska 17 through September 28 at Benjamin stock occurs in the project area (Muto et Island with the exception of 2005 and assess the potential effects of exposure al., 2019). Individuals from the 2013. On July 16, 2005 560 non-pups to sound, it is necessary to understand Southeast Alaska stock of harbor were observed; on August 9, 2013, 40 the frequency ranges marine mammals porpoise are infrequently observed in non-pups were counted; and on are able to hear. Current data indicate Lynn Canal, though they have been September 24, 2013, 144 non-pups were that not all marine mammal species observed as far north as Haines during observed (Jemison, Alaska Fish and have equal hearing capabilities (e.g., the summer months (Dahlheim et al., Game, personal communication). Richardson et al., 1995; Wartzok and 2015). Ketten, 1999; Au and Hastings, 2008). Individuals from the Western DPS Steller Sea Lion have been observed in the Lynn Canal To reflect this, Southall et al. (2007) recommended that marine mammals be Steller sea lions (Eumetopias jubatus) area. The percentage of Western DPS animals estimated to occur in the divided into functional hearing groups range along the North Pacific Rim from based on directly measured or estimated northern Japan to California, with project area in the summer is estimated to be 1.4 percent (Hastings et al., in hearing ranges on the basis of available centers of abundance and distribution in behavioral response data, audiograms the Gulf of Alaska and Aleutian Islands. press); for the rest of this analysis we derived using auditory evoked potential Large numbers of individuals widely assume that 1.4 percent of the Steller techniques, anatomical modeling, and disperse when not breeding (late May to sea lions in the project area are from the other data. Note that no direct early July) to access seasonally Western DPS. measurements of hearing ability have important prey resources (Muto et al., Harbor Seal 2019). In 1997 NMFS identified two been successfully completed for DPSs of Steller sea lions under the ESA: Harbor seals (Phoca vitulina) inhabit mysticetes (i.e., low-frequency a Western DPS and an Eastern DPS (62 coastal and estuarine waters off Alaska. cetaceans). Subsequently, NMFS (2018) FR 24345, May 5, 1997). The Eastern They haul out on rocks, reefs, beaches, described generalized hearing ranges for DPS is not ESA-listed, the Western DPS and drifting glacial ice. Up to 44 percent these marine mammal hearing groups. is. For MMPA purposes the Eastern DPS of their time is spent hauled out, with Generalized hearing ranges were chosen is called the Eastern U.S. stock and the hauling out occurring more often during based on the approximately 65 decibel Western DPS is called the Western U.S. the summer (Pitcher and Calkins, 1979; (dB) threshold from the normalized stock. For simplicity we will refer to Klinkhart et al., 2008). They are composite audiograms, with the them by their DPS name in this analysis. opportunistic feeders and often adjust exception for lower limits for low- Most of the Steller sea lions in their distribution to take advantage of frequency cetaceans where the lower southeastern Alaska have been locally and seasonally abundant prey bound was deemed to be biologically determined to be part of the Eastern (Womble et al., 2009; Allen and Angliss, implausible and the lower bound from DPS, however, in recent years there has 2015). Harbor seals occurring in the Southall et al. (2007) retained. Marine been an increasing trend of the Western project area belong to the Lynn Canal/ mammal hearing groups and their DPS animals occurring and breeding in Stephens Passage (LC/SP) stock. NOAA associated hearing ranges are provided southeastern Alaska (Muto et al., 2019). 2018 abundance estimates for the unit in Table 2.

TABLE 2—MARINE MAMMAL HEARING GROUPS (NMFS, 2018)

Generalized hearing Hearing group range *

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

The pinniped functional hearing demonstrated an extended frequency (Hemila¨ et al., 2006; Kastelein et al., group was modified from Southall et al. range of hearing compared to otariids, 2009; Reichmuth and Holt, 2013). (2007) on the basis of data indicating especially in the higher frequency range For more detail concerning these that phocid species have consistently groups and associated frequency ranges,

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please see NMFS (2018) for a review of properties of the water column and sea and Edwards, 2002; Carlson et al., available information. Seven marine floor, and is frequency-dependent. As a 2005). mammal species (five cetacean and two result of the dependence on a large DTH drilling would be conducted pinniped (one otariid and one phocid) number of varying factors, ambient using a down-the-hole drill inserted species have the reasonable potential to sound levels can be expected to vary through the hollow steel piles. A DTH co-occur with the proposed survey widely over both coarse and fine spatial drill is a drill bit that drills through the activities (see Table 1). Of the cetacean and temporal scales. Sound levels at a bedrock using a pulse mechanism that species that may be present, two are given frequency and location can vary functions at the bottom of the hole. This classified as low-frequency cetaceans by 10–20 dB from day to day pulsing bit breaks up rock to allow (i.e., all mysticete species), one is (Richardson et al., 1995). The result is removal of debris and insertion of the classified as a mid-frequency cetacean that, depending on the source type and pile. The head extends so that the (i.e., all delphinid and ziphiid species its intensity, sound from the specified drilling takes place just below the pile. and the sperm whale), and two are activity may be a negligible addition to The pulsing sounds produced by the classified as high-frequency cetaceans the local environment or could form a DTH drilling method occur in a range of (i.e., harbor porpoise and Dall’s distinctive signal that may affect marine frequencies that depends on the size porpoise). mammals. and type of the bit and the hammering In-water construction activities pressure applied. Smaller diameter DTH Potential Effects of Specified Activities associated with the project would drilling produces sounds that are on Marine Mammals and Their Habitat include impact pile driving, vibratory generally continuous while larger and This section includes a summary and pile driving, and DTH drilling. The ring-type DTH drills produce sounds discussion of the ways that components sounds produced by these activities fall that can be a combination of continuous of the specified activity may impact into one of two general sound types: and impulsive. The DTH hammering for marine mammals and their habitat. The Impulsive and non-impulsive. this project falls in the continuous Estimated Take section later in this Impulsive sounds (e.g., explosions, range. In addition, this method likely document includes a quantitative gunshots, sonic booms, impact pile increases sound attenuation because the analysis of the number of individuals driving) are typically transient, brief noise is primarily contained within the that are expected to be taken by this (less than 1 second), broadband, and steel pile and below ground as opposed activity. The Negligible Impact Analysis consist of high peak sound pressure to impact hammer driving methods and Determination section considers the with rapid rise time and rapid decay which occur at the top of the pile and content of this section, the Estimated (ANSI, 1986; NIOSH, 1998; ANSI, 2005; introduce sound into the water column Take section, and the Proposed NMFS, 2018). Non-impulsive sounds to a greater degree. See also our detailed Mitigation section, to draw conclusions (e.g., machinery operations such as discussion of this sound source in the regarding the likely impacts of these drilling or dredging, vibratory pile notice of issuance of an IHA for Ferry activities on the reproductive success or driving, and active sonar systems) can Berth Improvements in Tongass survivorship of individuals and how be broadband, narrowband or tonal, Narrows, Alaska https:// those impacts on individuals are likely brief or prolonged (continuous or www.govinfo.gov/content/pkg/FR-2020- to impact marine mammal species or intermittent), and typically do not have 01-07/pdf/2020-00038.pdf. stocks. the high peak sound pressure with raid The likely or possible impacts of GCHS’s proposed activity on marine Description of Sound Sources rise/decay time that impulsive sounds do (ANSI 1995; NIOSH 1998; NMFS mammals could involve both non- The marine soundscape is comprised 2018). The distinction between these acoustic and acoustic stressors. of both ambient and anthropogenic two sound types is important because Potential non-acoustic stressors could sounds. Ambient sound is defined as they have differing potential to cause result from the physical presence of the the all-encompassing sound in a given physical effects, particularly with regard equipment and personnel; however, any place and is usually a composite of to hearing (e.g., Ward 1997 in Southall impacts to marine mammals are sound from many sources both near and et al., 2007). expected to primarily be acoustic in far (ANSI 1994, 1995). The sound level Two types of pile hammers would be nature. Acoustic stressors include of an area is defined by the total used on this project: Impact and effects of heavy equipment operation acoustical energy being generated by vibratory. Impact hammers operate by during pile installation and drilling. known and unknown sources. These repeatedly dropping a heavy piston onto Acoustic Impacts sources may include physical (e.g., a pile to drive the pile into the substrate. waves, wind, precipitation, earthquakes, Sound generated by impact hammers is The introduction of anthropogenic ice, atmospheric sound), biological (e.g., characterized by rapid rise times and noise into the aquatic environment from sounds produced by marine mammals, high peak levels, a potentially injurious pile driving and DTH drilling is the fish, and invertebrates), and combination (Hastings and Popper, primary means by which marine anthropogenic sound (e.g., vessels, 2005). Vibratory hammers install piles mammals may be harassed from GCHS’s dredging, aircraft, construction). by vibrating them and allowing the specified activity. In general, animals The sum of the various natural and weight of the hammer to push them into exposed to natural or anthropogenic anthropogenic sound sources at any the sediment. Vibratory hammers sound may experience physical and given location and time—which produce significantly less sound than psychological effects, ranging in comprise ‘‘ambient’’ or ‘‘background’’ impact hammers. Peak Sound pressure magnitude from none to severe sound—depends not only on the source Levels (SPLs) may be 180 dB or greater, (Southall et al., 2007). Generally, levels (as determined by current but are generally 10 to 20 dB lower than exposure to pile driving and drilling weather conditions and levels of SPLs generated during impact pile noise has the potential to result in biological and shipping activity) but driving of the same-sized pile (Oestman auditory threshold shifts and behavioral also on the ability of sound to propagate et al., 2009). Rise time is slower, reactions (e.g., avoidance, temporary through the environment. In turn, sound reducing the probability and severity of cessation of foraging and vocalizing, propagation is dependent on the injury, and sound energy is distributed changes in dive behavior). Exposure to spatially and temporally varying over a greater amount of time (Nedwell anthropogenic noise can also lead to

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non-observable physiological responses are no empirical data measuring PTS in limited number of sound sources (i.e., such an increase in stress hormones. marine mammals, largely due to the fact mostly tones and octave-band noise) in Additional noise in a marine mammal’s that, for various ethical reasons, laboratory settings (Finneran, 2015). habitat can mask acoustic cues used by experiments involving anthropogenic TTS was not observed in trained spotted marine mammals to carry out daily noise exposure at levels inducing PTS (Phoca largha) and ringed (Pusa functions such as communication and are not typically pursued or authorized hispida) seals exposed to impulsive predator and prey detection. The effects (NMFS, 2018). noise at levels matching previous of pile driving and drilling noise on Temporary Threshold Shift (TTS)—A predictions of TTS onset (Reichmuth et marine mammals are dependent on temporary, reversible increase in the al., 2016). In general, harbor seals and several factors, including, but not threshold of audibility at a specified harbor porpoises have a lower TTS limited to, sound type (e.g., impulsive frequency or portion of an individual’s onset than other measured pinniped or vs. non-impulsive), the species, age and hearing range above a previously cetacean species (Finneran, 2015). The sex class (e.g., adult male vs. mom with established reference level (NMFS, potential for TTS from impact pile calf), duration of exposure, the distance 2018). Based on data from cetacean TTS driving exists. After exposure to between the pile and the animal, measurements (see Southall et al., playbacks of impact pile driving sounds received levels, behavior at time of 2007), a TTS of 6 dB is considered the (rate 2760 strikes/hour) in captivity, exposure, and previous history with minimum threshold shift clearly larger mean TTS increased from 0 dB after 15 exposure (Wartzok et al., 2003; Southall than any day-to-day or session-to- minute exposure to 5 dB after 360 et al., 2007). Here we discuss physical session variation in a subject’s normal minute exposure; recovery occurred auditory effects (threshold shifts) hearing ability (Schlundt et al., 2000; within 60 minutes (Kastelein et al., followed by behavioral effects and Finneran et al., 2000, 2002). As 2016). Additionally, the existing marine potential impacts on habitat. described in Finneran (2016), marine mammal TTS data come from a limited NMFS defines a noise-induced mammal studies have shown the number of individuals within these threshold shift (TS) as a change, usually amount of TTS increases with species. No data are available on noise- an increase, in the threshold of cumulative sound exposure level induced hearing loss for mysticetes. For audibility at a specified frequency or (SELcum) in an accelerating fashion: At summaries of data on TTS in marine portion of an individual’s hearing range low exposures with lower SELcum, the mammals or for further discussion of above a previously established reference amount of TTS is typically small and TTS onset thresholds, please see level (NMFS, 2018). The amount of the growth curves have shallow slopes. Southall et al. (2007), Finneran and threshold shift is customarily expressed At exposures with higher SELcum, the Jenkins (2012), Finneran (2015), and in dB. A TS can be permanent or growth curves become steeper and Table 5 in NMFS (2018). temporary. As described in NMFS approach linear relationships with the Installing piles requires a combination (2018), there are numerous factors to noise SEL. of impact pile driving, vibratory pile consider when examining the Depending on the degree (elevation of driving, and DTH drilling. For the consequence of TS, including, but not threshold in dB), duration (i.e., recovery project, these activities would not occur limited to, the signal temporal pattern time), and frequency range of TTS, and at the same time and there would likely (e.g., impulsive or non-impulsive), the context in which it is experienced, be pauses in activities producing the likelihood an individual would be TTS can have effects on marine sound during each day. Given these exposed for a long enough duration or mammals ranging from discountable to pauses and that many marine mammals to a high enough level to induce a TS, serious (similar to those discussed in are likely moving through the action the magnitude of the TS, time to auditory masking, below). For example, area and not remaining for extended recovery (seconds to minutes or hours to a marine mammal may be able to readily periods of time, the potential for TS days), the frequency range of the compensate for a brief, relatively small declines. exposure (i.e., spectral content), the amount of TTS in a non-critical Behavioral Harassment—Exposure to hearing and vocalization frequency frequency range that takes place during noise from pile driving and removal and range of the exposed species relative to a time when the animal is traveling drilling also has the potential to the signal’s frequency spectrum (i.e., through the open ocean, where ambient behaviorally disturb marine mammals. how animal uses sound within the noise is lower and there are not as many Available studies show wide variation frequency band of the signal; e.g., competing sounds present. in response to underwater sound; Kastelein et al., 2014), and the overlap Alternatively, a larger amount and therefore, it is difficult to predict between the animal and the source (e.g., longer duration of TTS sustained during specifically how any given sound in a spatial, temporal, and spectral). time when communication is critical for particular instance might affect marine Permanent Threshold Shift (PTS)— successful mother/calf interactions mammals perceiving the signal. If a NMFS defines PTS as a permanent, could have more serious impacts. We marine mammal does react briefly to an irreversible increase in the threshold of note that reduced hearing sensitivity as underwater sound by changing its audibility at a specified frequency or a simple function of aging has been behavior or moving a small distance, the portion of an individual’s hearing range observed in marine mammals, as well as impacts of the change are unlikely to be above a previously established reference humans and other taxa (Southall et al., significant to the individual, let alone level (NMFS 2018). Available data from 2007), so we can infer that strategies the stock or population. However, if a humans and other terrestrial mammals exist for coping with this condition to sound source displaces marine indicate that a 40 dB threshold shift some degree, though likely not without mammals from an important feeding or approximates PTS onset (see Ward et cost. breeding area for a prolonged period, al., 1958, 1959; Ward, 1960; Kryter et Currently, TTS data only exist for four impacts on individuals and populations al., 1966; Miller, 1974; Ahroon et al., species of cetaceans (bottlenose dolphin could be significant (e.g., Lusseau and 1996; Henderson and Hu, 2008). PTS (Tursiops truncatus), beluga whale Bejder, 2007; Weilgart, 2007; NRC, levels for marine mammals are (Delphinapterus leucas), harbor 2005). estimates, with the exception of a single porpoise, and Yangtze finless porpoise Disturbance may result in changing study unintentionally inducing PTS in a (Neophocoena asiaeorientalis)) and five durations of surfacing and dives, harbor seal (Kastak et al., 2008), there species of pinnipeds exposed to a number of blows per surfacing, or

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moving direction and/or speed; (ADOT&PF) documented observations sensitivity, frequency range, critical reduced/increased vocal activities; of marine mammals during construction ratios, frequency discrimination, changing/cessation of certain behavioral activities (i.e., pile driving and down- directional discrimination, age or TTS activities (such as socializing or hole drilling) at the Kodiak Ferry Dock hearing loss), and existing ambient feeding); visible startle response or (see 80 FR 60636, October 7, 2015). In noise and propagation conditions. aggressive behavior (such as tail/fluke the marine mammal monitoring report Masking of natural sounds can result slapping or jaw clapping); avoidance of for that project (ABR 2016), 1,281 Steller when human activities produce high areas where sound sources are located. sea lions were observed within the levels of background sound at Pinnipeds may increase their haul-out Level B disturbance zone during pile frequencies important to marine time, possibly to avoid in-water driving or drilling (i.e., documented as mammals. Conversely, if the disturbance (Thorson and Reyff, 2006). Level B harassment take). Of these, 19 background level of underwater sound Behavioral responses to sound are individuals demonstrated an alert is high (e.g. on a day with strong wind highly variable and context-specific and behavior, 7 were fleeing, and 19 swam and high waves), an anthropogenic any reactions depend on numerous away from the project site. All other sound source would not be detectable as intrinsic and extrinsic factors (e.g., animals (98 percent) were engaged in species, state of maturity, experience, far away as would be possible under activities such as milling, foraging, or quieter conditions and would itself be current activity, reproductive state, fighting and did not change their masked. The Juneau area contains active auditory sensitivity, time of day), as behavior. In addition, two sea lions commercial shipping and ferry well as the interplay between factors approached within 20 meters of active operations as well as numerous (e.g., Richardson et al., 1995; Wartzok et vibratory pile driving activities. Three al., 2003; Southall et al., 2007; Weilgart, harbor seals were observed within the recreational and commercial vessels; 2007; Archer et al., 2010). Behavioral disturbance zone during pile driving therefore, background sound levels in reactions can vary not only among activities; none of them displayed the area are already elevated. individuals but also within an disturbance behaviors. Fifteen killer Airborne Acoustic Effects—Pinnipeds individual, depending on previous whales and three harbor porpoise were that occur near the project site could be experience with a sound source, also observed within the Level B exposed to airborne sounds associated context, and numerous other factors harassment zone during pile driving. with pile driving and DTH drilling that (Ellison et al., 2012), and can vary The killer whales were travelling or have the potential to cause behavioral depending on characteristics associated milling while all harbor porpoises were harassment, depending on their distance with the sound source (e.g., whether it travelling. No signs of disturbance were from pile driving activities. Cetaceans is moving or stationary, number of noted for either of these species. Given are not expected to be exposed to sources, distance from the source). In the similarities in activities and habitat airborne sounds that would result in general, pinnipeds seem more tolerant and the fact the same species are harassment as defined under the of, or at least habituate more quickly to, involved, we expect similar behavioral MMPA. potentially disturbing underwater sound responses of marine mammals to Airborne noise would primarily be an than do cetaceans, and generally seem GCHS’s specified activity. That is, to be less responsive to exposure to disturbance, if any, is likely to be issue for pinnipeds that are swimming industrial sound than most cetaceans. temporary and localized (e.g., small area or hauled out near the project site Please see Appendices B and C of movements). Monitoring reports from within the range of noise levels elevated Southall et al. (2007) for a review of other recent pile driving and DTH above the acoustic criteria. We studies involving marine mammal drilling projects in Alaska have recognize that pinnipeds in the water behavioral responses to sound. observed similar behaviors (for example, could be exposed to airborne sound that Disruption of feeding behavior can be the Biorka Island Dock Replacement may result in behavioral harassment difficult to correlate with anthropogenic Project). when looking with their heads above sound exposure, so it is usually inferred water. Most likely, airborne sound Masking—Sound can disrupt behavior by observed displacement from known would cause behavioral responses foraging areas, the appearance of through masking, or interfering with, an animal’s ability to detect, recognize, or similar to those discussed above in secondary indicators (e.g., bubble nets relation to underwater sound. For or sediment plumes), or changes in dive discriminate between acoustic signals of interest (e.g., those used for intraspecific instance, anthropogenic sound could behavior. As for other types of cause hauled out pinnipeds to exhibit behavioral response, the frequency, communication and social interactions, prey detection, predator avoidance, changes in their normal behavior, such duration, and temporal pattern of signal as reduction in vocalizations, or cause presentation, as well as differences in navigation) (Richardson et al., 1995). them to temporarily abandon the area species sensitivity, are likely Masking occurs when the receipt of a and move further from the source. contributing factors to differences in sound is interfered with by another However, these animals would response in any given circumstance coincident sound at similar frequencies (e.g., Croll et al., 2001; Nowacek et al., and at similar or higher intensity, and previously have been ‘taken’ because of 2004; Madsen et al., 2006; Yazvenko et may occur whether the sound is natural exposure to underwater sound above the al., 2007). A determination of whether (e.g., snapping shrimp, wind, waves, behavioral harassment thresholds, foraging disruptions incur fitness precipitation) or anthropogenic (e.g., which are in all cases larger than those consequences would require pile driving, shipping, sonar, seismic associated with airborne sound. Thus, information on or estimates of the exploration) in origin. The ability of a the behavioral harassment of these energetic requirements of the affected noise source to mask biologically animals is already accounted for in individuals and the relationship important sounds depends on the these estimates of potential take. between prey availability, foraging effort characteristics of both the noise source Therefore, we do not believe that and success, and the life history stage of and the signal of interest (e.g., signal-to- authorization of incidental take the animal. noise ratio, temporal variability, resulting from airborne sound for In 2016, the Alaska Department of direction), in relation to each other and pinnipeds is warranted, and airborne Transportation and Public Facilities to an animal’s hearing abilities (e.g., sound is not discussed further here.

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Marine Mammal Habitat Effects driving areas to experience effects of distribution and behavior is anticipated. GCHS’s construction activities at turbidity, and any pinnipeds would be In general, impacts to marine mammal Sentinel Island could have localized, transiting the area and could avoid prey species are expected to be minor temporary impacts on marine mammal localized areas of turbidity. Therefore, and temporary due to the short habitat and their prey by increasing in- the impact from increased turbidity timeframe for the project. Construction activities, in the form of water sound pressure levels and slightly levels is expected to be discountable to increased turbidity, have the potential decreasing water quality. Increased marine mammals. Furthermore, pile to adversely affect forage fish and noise levels may affect acoustic habitat driving at the project site would not obstruct movements or migration of juvenile salmonid outmigratory routes (see masking discussion above) and marine mammals. in the project area. Both herring and adversely affect marine mammal prey in Avoidance by potential prey (i.e., fish) salmon form a significant prey base for the vicinity of the project area (see of the immediate area due to the Steller sea lions, herring is a primary discussion below). During impact pile temporary loss of this foraging habitat is prey species of humpback whales, and driving, elevated levels of underwater also possible. The duration of fish herring, capelin and salmon are noise would ensonify Lynn Canal where avoidance of this area after pile driving components of the diet of many other both fishes and mammals occur and stops is unknown, but a rapid return to marine mammal species that occur in could affect foraging success. Currently, normal recruitment, distribution and the project area. Increased turbidity is there are a few dozen annual vessel behavior is anticipated. Any behavioral expected to occur in the immediate landings at Sentinel Island. With the avoidance by fish of the disturbed area vicinity (on the order of 10 feet or less) new dock there would be up to two tour would still leave significantly large of construction activities. However, landings daily during the summer. areas of fish and marine mammal suspended sediments and particulates Construction activities are of short foraging habitat in the nearby vicinity in are expected to dissipate quickly within duration and would likely have Lynn Canal and the project would occur a single tidal cycle. Given the limited temporary impacts on marine mammal outside the peak eulachon, capelin and area affected and high tidal dilution habitat through increases in underwater salmonid runs. rates any effects on forage fish and and airborne sound. The duration of the construction salmon are expected to be minor or In-water pile driving, and drilling activities is relatively short. The negligible. In addition, best management activities would also cause short-term construction window is for a maximum practices would be in effect, which effects on water quality due to increased of 4–5 months with only a maximum of would limit the extent of turbidity to the turbidity. Local strong currents are 6 days of pile driving. During each day, immediate project area. Finally, anticipated to disburse suspended construction activities would only occur exposure to turbid waters from sediments produced by project activities during daylight hours. Impacts to construction activities is not expected to at moderate to rapid rates depending on habitat and prey are expected to be be different from the current exposure; tidal stage. GCHS would employ minimal based on the short duration of fish and marine mammals in the Lynn standard construction best management activities. Canal region are routinely exposed to practices (BMPs; see section 11 in In-water Construction Effects on substantial levels of suspended application), thereby reducing any Potential Prey (Fish)—Construction sediment from glacial sources. impacts. Therefore, the impact from activities would produce continuous In summary, given the short daily increased turbidity levels is expected to (i.e., vibratory pile driving and DTH duration of sound associated with be discountable. drilling) and pulsed (i.e. impact driving) individual pile driving and drilling In-Water Construction Effects on sounds. Fish react to sounds that are events, the small number of total piles, Potential Foraging Habitat especially strong and/or intermittent and the relatively small areas being low-frequency sounds. Short duration, affected, pile driving and drilling The area likely impacted by the sharp sounds can cause overt or subtle activities associated with the proposed project is relatively small compared to changes in fish behavior and local action are not likely to have a the available habitat in Lynn Canal (e.g., distribution. Hastings and Popper (2005) permanent, adverse effect on any fish most of the impacted area is limited to identified several studies that suggest habitat, or populations of fish species. the east side of Sentinel Island in the fish may relocate to avoid certain areas Thus, we conclude that impacts of the Favorite Channel) and does not include of sound energy. Additional studies specified activity are not likely to have any BIAs. One ESA-designated critical have documented effects of pile driving more than short-term adverse effects on habitat area for Steller sea lions is on fish, although several are based on any prey habitat or populations of prey nearby on Benjamin Island and would studies in support of large, multiyear species. Further, any impacts to marine be within the Level B harassment zone bridge construction projects (e.g., mammal habitat are not expected to for sound but there would be no direct Scholik and Yan, 2001, 2002; Popper result in significant or long-term effects on the critical habitat. Pile and Hastings, 2009). Sound pulses at consequences for individual marine installation and drilling may received levels of 160 dB may cause mammals, or to contribute to adverse temporarily increase turbidity resulting subtle changes in fish behavior. SPLs of impacts on their populations. from suspended sediments. Any 180 dB may cause noticeable changes in increases would be temporary, behavior (Pearson et al., 1992; Skalski et Estimated Take localized, and minimal. GCHS must al., 1992). SPLs of sufficient strength This section provides an estimate of comply with state water quality have been known to cause injury to fish the number of incidental takes proposed standards during these operations by and fish mortality. for authorization through this IHA, limiting the extent of turbidity to the The most likely impact to fish from which will inform both NMFS’ immediate project area. In general, pile driving and drilling activities at the consideration of ‘‘small numbers’’ and turbidity associated with pile project area would be temporary the negligible impact determination. installation is localized to about a 25- behavioral avoidance of the area. The Harassment is the only type of take foot radius around the pile (Everitt et duration of fish avoidance of this area expected to result from these activities. al., 1980). Cetaceans are not expected to after pile driving stops is unknown, but Except with respect to certain activities be close enough to the project pile a rapid return to normal recruitment, not pertinent here, section 3(18) of the

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

TABLE 3—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT

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

Low-Frequency (LF) Cetaceans ...... Cell 1: Lpk,flat: 219 dB; LE,LF,24h: 183 dB ...... Cell 2: LE,LF,24h: 199 dB Mid-Frequency (MF) Cetaceans ...... Cell 3: Lpk,flat: 230 dB; LE,MF,24h: 185 dB ...... Cell 4: LE,MF,24h: 198 dB High-Frequency (HF) Cetaceans ...... Cell 5: Lpk,flat: 202 dB; LE,HF,24h: 155 dB ...... Cell 6: LE,HF,24h: 173 dB Phocid Pinnipeds (PW) (Underwater) ...... Cell 7: Lpk,flat: 218 dB; LE,PW,24h: 185 dB ...... Cell 8: LE,PW,24h: 201 dB Otariid Pinnipeds (OW) (Underwater) ...... Cell 9: Lpk,flat: 232 dB; LE,OW,24h: 203 dB ...... Cell 10: LE,OW,24h: 219 dB * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impul- sive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. 2 Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded.

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Ensonified Area 24-inch piles, sound measurements used for these tools, we anticipate that Here, we describe operational and were used from the literature review in isopleths produced are typically going environmental parameters of the activity Appendix H of the AKDOT&PF study to be overestimates of some degree, that will feed into identifying the area (Yurk et al. 2015) for 24-inch piles which may result in some degree of ensonified above the acoustic driven in the Columbia River with a overestimate of Level A harassment thresholds, which include source levels diesel impact hammer (190 dB RMS, take. However, these tools offer the best and transmission loss coefficient. 205 dB Peak, 175 dB SS SEL). way to predict appropriate isopleths For vibratory pile driving we We assumed no more than two piles when more sophisticated 3D modeling determined a source level of 161 dB per day with DTH drilling as the methods are not available, and NMFS (RMS SPL) at 10m was most duration per pile was assumed to be 6 continues to develop ways to appropriate. The closest known hours. For impact pile driving activities quantitatively refine these tools, and measurements of sound levels for we also assumed no more than 2 piles will qualitatively address the output vibratory pile installation of 16-inch per day and 250 strikes per pile. In all where appropriate. For stationary steel piles are from the U.S. Navy Proxy cases we used a propagation loss sources, such as pile driving and Sound Source Study for projects in coefficient of 15 logR as most drilling in this project, NMFS User Puget Sound (U.S. Navy 2015). Based on appropriate for these stationary, in- Spreadsheet predicts the distance at the projects analyzed it was determined shore sources. which, if a marine mammal remained at that 16- to 24-inch piles exhibited When the NMFS Technical Guidance that distance the whole duration of the similar sound source levels. For DTH (2016) was published, in recognition of activity, it would incur PTS. Inputs drilling we used a source level of 166.2 the fact that ensonified area/volume used in the User Spreadsheet, and the dB (RMS SPL); this is derived from could be more technically challenging resulting isopleths are reported below. Denes et al. (2016), where they drilled to predict because of the duration NMFS User spreadsheet input 24-inch piles near Kodiak, AK. To be component in the new thresholds, we scenarios for vibratory pile driving/DTH conservative, since DTH drilling and developed a User Spreadsheet that drilling and impact pile driving are vibratory pile driving would occur on includes tools to help predict a simple shown in Table 4. These input scenarios the same day, the applicant used the isopleth that can be used in conjunction lead to PTS isopleth distances (Level A higher of the vibratory and DTH source with marine mammal density or thresholds) of anywhere from 7 to 220 levels (166.2dB) and assumed all occurrence to help predict takes. We meters (22 to 720 ft), depending on the drilling/driving time in a day was at this note that because of some of the marine mammal group and scenario higher level. For impact pile driving of assumptions included in the methods (Table 5).

TABLE 4—NMFS USER SPREADSHEET INPUTS

User spreadsheet input Vibratory pile driving/DTH drilling Impact pile driving

Spreadsheet Tab Used ...... A.1) Vibratory pile driving ... E.1) Impact pile driving. Source Level ...... 166.2 dB RMS ...... 175 dB SS SEL. Weighting Factor Adjustment (kHz) ...... 2.5 ...... 2. (a) Number of strikes per pile ...... N/A ...... 250. (a) Activity Duration (h:min) within 24-h period ...... 12:00 ...... N/A. Propagation (xLogR) ...... 15 ...... 15. Distance of source level measurement (meters) ...... 10 ...... 10. Number of piles per day ...... 2 ...... 2.

TABLE 5—NMFS USER SPREADSHEET OUTPUTS: LEVEL B AND LEVEL A (PTS) ISOPLETHS

PTS isopleths (meters) Behavioral (level A) Activity disturbance (level B) Humpback + Harbor + dall’s all species minke whales Killer whales porpoise Harbor seals Stellar sea lions

Vibratory Driving/DTH drilling ...... 12.1 km (7.5 80 m (263 feet) 7 m (23 feet) .... 118 m (387 48.3 m (159 4 m (13 feet) miles) *. feet). feet). Impact Driving ...... 1 km (3280 ft) .. 184 m (605 ft) .. 6.6 m (22 feet) 220 m (720 ft) .. 99 m (325 ft) .... 8 m (25 ft) * Lynn Canal is smaller than this, therefore extent of actual impacts will be constrained by land.

The distances to the Level B driving/DTH) Therefore, the area mammal hearing and therefore the harassment threshold of 120 dB RMS ensonified to the Level B harassment thresholds apply to all species. are 12.1 km (7.5 miles) miles for threshold is truncated by land in all Marine Mammal Occurrence and Take vibratory pile driving and 1 km (3280 ft) directions. The ensonified area of the Calculation and Estimation for impact driving. The enclosed nature vibratory/drilling Level B harassment of Lutak Inlet restricts the propagation zone is 47km2 (18.15 mi2). Note that In this section we provide the of noise in all directions before noise thresholds for behavioral disturbance information about the presence, density, levels reduce below the Level B are unweighted with respect to marine or group dynamics of marine mammals harassment threshold for vibratory pile that will inform the take calculations.

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We have density information for two may be taken and 132 of the Hawaiian km2. Thus estimated take is 16.9/100 species: Dall’s porpoise and harbor DPS. km2 times 47 km2 times 6 days, or 48 porpoise. For the other five species we takes. Steller Sea Lions have information on presence, group Due to the size of the Level A size, and dive durations that we use to As discussed above Steller sea lions harassment zone associated with derive take estimates. are typically absent in the project area drilling, and the cryptic nature of Dall’s In this section we then describe for from mid-July through September. On porpoises, it is possible Dall’s porpoises each species how the marine mammal the off chance that Steller sea lions will may enter the Level A harassment zone occurrence and/or density information be present during construction for this undetected. It is conservatively assumed is brought together to produce a project we used an average of the three that up to four harbor porpoises (the quantitative take estimate. Level A sightings discussed above from 2005 mean group size from Dahlheim et al. harassment takes are requested for Dall’s and 2013 to estimate the possible 2009) may enter the Level A harassment porpoise and harbor porpoise only as number of animals in the area. This once during the duration of the project. they are more cryptic and could enter a average was 248 individuals. We Thus we allot the 48 takes above to 4 Level A harassment zone undetected. assume that no more than 248 Level A takes and 44 Level B takes. For the other species, the Level A individual Steller sea lions will enter Harbor Porpoise harassment zones are small and the action area on a given day of the shutdown measures can be project and calculate expected take as Density was estimated for harbor implemented prior to any individual 248 times the 6 days of the project, or porpoises in Lynn Canal by Dahlhein et entering the Level A harassment zones. 1,488 takes. As discussed above, some al. (2015) to be 0.2 individuals/km2. As Take estimates for all stocks are shown of these takes will be eastern DPS Steller noted above the ensonified area is 47 sea lions and some will be western DPS. in Table 6. km2. Thus estimated take is 0.2/km2 We use the estimate from Hastings et al. times 47 km2 times 6 days, or 57 takes. Humpback Whale (2020) that 1.4 percent of the animals in the project area are from the western Due to the size of the Level A Based on local information and DPS to allot 21 of the 1,488 Level B harassment zone associated with Dahlheim et al. (2009) we estimate that takes to the western DPS and 1,467 of drilling, and the stealthy nature of up to eight individuals could be the takes to the eastern DPS. harbor porpoises with no visible blow exposed to underwater noise each day. and a low profile, it is possible harbor While individual humpback whales can Harbor Seal porpoises may enter the Level A generally be identified, due to the size As discussed above, researchers harassment zone undetected. Because of the monitoring zone it is possible this estimate that they are 95 percent they are most commonly observed in won’t be the case in some instances. confident the population size of harbor pairs (Dahlheim et al. 2009), it is Further, it is possible that different seals in the area is not greater than 134 conservatively assumed that one pair of monitors will sight the same whale, individuals. We use that estimate as the harbor porpoises may enter the Level A given the size of the monitoring zones number of animals expected in the harassment zone every other day of pile and the distances humpback whales can Level B harassment zone daily. We driving. Thus we allot the 57 takes move in a day. Thus it is conservatively know from Klinkhart et al. (2008) that above to 6 Level A takes and 51 Level assumed that there could be up to three animals dive and resurface every 4 B takes. interactions with each individual daily. minutes. That translates to potentially Killer Whale Our take estimate is then the product of 15 sightings per hour. We also use the the number of individuals per day times estimate that they spend 50 percent of Based on the information available as the number of interactions per their time hauled out. The project discussed above, it is conservatively individual per day times the 6 days of involved 36 hours of pile driving/ estimated that 2 interactions with the the project, or 144 Level B takes. drilling total. Take is estimated to be average group size of residents (33) and For purposes of estimating effects and 134 seals times 7.5 in-water sightings 2 interactions with the average group ESA takes of the Mexico DPS of per hour times 36 hours of work, or size of transients (5) may be occur humpback whales, we acknowledge that 36,180 Level B takes. during the 6 days of the project. Thus Mexico DPS whales cannot be readily we expect 76 Level B takes of killer distinguished from non-listed Dall’s Porpoise whales. humpback whales in the project area. Density estimates were determined for Minke Whale Based on Wade et al. (2016) we estimate Dall’s porpoises for areas in Southeast that 9 of the 144 takes will be of the Alaska, however densities specific to There are no known occurrences of Mexico DPS. However, the average the Lynn Canal/Favorite Channel area minke whales within the project area, group size in the area during the fall are not available. However, surveys however since their ranges extend into months was two whales (Dahlheim et al. occurred closest to the project area in the project area and they have been 2009) and it is possible that a mother 1991, 1992, and 2007. These surveys observed in southeast Alaska (Dahlheim calf pair of the Mexico DPS, or other found densities (porpoises/100km2) et al., 2009), it is possible minke whales group of two Mexico DPS whales, may during summer months of 18.5, 14.3, could occur near the project. It is occur within the project area each day. and 17.8 (Dahlheim et al., 2009). We estimated up to one minke whale could Thus it is conservatively assumed that used the average of these densities (16.9 be exposed to elevated noise levels from 12 individuals (2 individuals per day) of porpoises/100 km2) to calculate take. As the project. Therefore, 1 Level B take is the threatened Mexico DPS population noted above the ensonified area is 47 proposed to be authorized.

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TABLE 6—PROPOSED AUTHORIZED LEVEL A AND B TAKE AND PERCENT OF MMPA STOCK PROPOSED TO BE TAKEN

Proposed authorized take Species Level B Level A % of stock

Humpback Whale 1 ...... 144 0 1.4 Minke Whale ...... 1 0 N/A Killer Whale ...... 76 0 2.9 Harbor Porpoise ...... 51 6 5.9 Dall’s Porpoise ...... 44 4 N/A Harbor Seal 2 ...... 36,180 0 8.5 Steller Sea Lion (Eastern DPS) 3 ...... 1467 0 3.5 Steller Sea Lion (Western DPS) 3 ...... 21 0 0.04 1 Distribution of proposed take by ESA status is 88 Level B takes for Hawaii DPS and 8 Level B take for Mexico DPS. 2 Percent of stock taken is calculated assuming 804 unique individuals exposed, individuals are likely to be repeatedly counted as takes be- cause of dive times of species. 3 Total estimated take of Steller sea lions was 992. Distribution between the stocks was calculated assuming 1.4% Western DPS and rounding to nearest whole number.

Effects of Specified Activities on no information on take numbers from particular attention to rookeries, mating Subsistence Uses of Marine Mammals 2013–2019 (personal communication grounds, and areas of similar The availability of the affected marine with Lauren Sill, ADF&G). significance, and on the availability of mammal stocks or species for Since there is very little sea lion the species or stock for taking for certain subsistence uses may be impacted by hunting in the Juneau area, short term subsistence uses. NMFS regulations this activity. The subsistence uses that displacement of animals from the require applicants for incidental take may be affected and the potential project area is anticipated to have no authorizations to include information impacts of the activity on those uses are effect on abundance or availability of about the availability and feasibility described below. The information from Steller sea lions to subsistence hunters. (economic and technological) of this section is analyzed to determine Further, due to the project timing, equipment, methods, and manner of whether the necessary findings may be Steller sea lions are typically absent conducting the activity or other means made in the Unmitigable Adverse from the project area and it is possible of effecting the least practicable adverse Impact Analysis and Determination none will be displaced. The Douglas impact upon the affected species or section. Indian Association, Sealaska Heritage stocks and their habitat (50 CFR Subsistence harvest of harbor seals Institute, and the Central Council of the 216.104(a)(11)). and Steller sea lions by Alaska Natives Tlingit and Haida Indian Tribes of In evaluating how mitigation may or is not prohibited by the MMPA. No Alaska (Central Council) were contacted may not be appropriate to ensure the records exist of subsistence harvests of during December 2019 to discuss this least practicable adverse impact on whales and porpoises in Lynn Canal project. The Douglas Indian Association species or stocks and their habitat, as (Haines, 2007). The ADF&G has responded that they did not see any well as subsistence uses where regularly conducted surveys of harbor impacts that may affect their subsistence applicable, we carefully consider two seal and Steller sea lion subsistence use. Chuck Smythe, with the Sealaska primary factors: harvest in Alaska and the number of Heritage Institute, responded indicating Steller sea lions taken for subsistence in that there is known harbor seal hunting (1) The manner in which, and the this immediate area from 1992–2008, in the project area. The other groups degree to which, the successful and 2012 is only two (Wolfe et al. 2013). have not responded. implementation of the measure(s) is Subsequent to the 2012 reporting year Construction activities at the project expected to reduce impacts to marine through 2017, an estimated one to three site would be expected to cause only mammals, marine mammal species or Steller sea lions have been taken short term, non-lethal disturbance of stocks, and their habitat, as well as annually outside Sitka Sound (personal marine mammals. Construction subsistence uses. This considers the communication with Lauren Sill, activities are localized and temporary, nature of the potential adverse impact ADF&G, 83 FR 52394; October 17, mitigation measures will be being mitigated (likelihood, scope, 2018). Based upon data for harbor seal implemented to minimize disturbance range). It further considers the harvests, hunters in Southeast Alaska of marine mammals in the action area, likelihood that the measure will be took from 523 to 719 harbor seals and, the project will not result in effective if implemented (probability of annually in the years 1992–2008. In significant changes to availability of accomplishing the mitigating result if 2012 an estimated 595 harbor seals were subsistence resources. Impacts on the implemented as planned), the taken for subsistence uses (Wolfe et al. abundance or availability of either likelihood of effective implementation 2013). Seals were harvested across the species to subsistence hunters in the (probability implemented as planned), year, with peak harvests in March, May, region are thus not anticipated. and; and October. Most recent reported data (2) the practicability of the measures Proposed Mitigation for the Juneau area indicates that in for applicant implementation, which 2012, an estimated 26 harbor seal were In order to issue an IHA under may consider such things as cost, harvested for food (Wolfe et al. 2013). Section 101(a)(5)(D) of the MMPA, impact on operations, and, in the case From 2013 through 2019, Juneau area NMFS must set forth the permissible of a military readiness activity, harbor seal hunting has continued, with methods of taking pursuant to the personnel safety, practicality of several cultural heritage programs activity, and other means of effecting implementation, and impact on the teaching students how to harvest, cut the least practicable impact on the effectiveness of the military readiness and store seal meat. However, there is species or stock and its habitat, paying activity.

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The following mitigation measures are would only be conducted during at reduced energy, followed by a 30 proposed in the IHA: daylight hours when it is possible to second waiting period, then two • Schedule: Pile driving or removal visually monitor for marine mammals. If subsequent 3-strike sets. If any marine would occur during daylight hours. If a species for which authorization has mammal is sighted within the Level A poor environmental conditions restrict not been granted, or if a species for shutdown zone prior to pile-driving, or visibility (e.g., from excessive wind or which authorization has been granted during the soft start, GCHS will delay fog, high Beaufort state), pile but the authorized takes are met, GCHS pile-driving until the animal is installation would be delayed. No pile would delay or shut-down pile driving confirmed to have moved outside and is driving would occur from March 1 if the marine mammal approaches or is on a path away from the Level A through May 31 to avoid peak marine observed within the Level A and/or B harassment zone or if 15 minutes have mammal abundance periods and critical harassment zones. In the unanticipated elapsed since the last sighting; and foraging periods; event that the specified activity clearly • Other best management practices: • Pile Driving Delay/Shut-Down: For causes the take of a marine mammal in GCHS will drive all piles with a use of in-water heavy machinery/vessel a manner prohibited by the IHA, such vibratory hammer to the maximum (e.g., dredge), GCHS will implement a as serious injury or mortality, the extent possible (i.e., until a desired minimum shutdown zone of 10 m protected species observer (PSO) on depth is achieved or to refusal) prior to radius around the pile/vessel. For watch would immediately call for the using an impact hammer and will use vessels, GCHS must cease operations cessation of the specified activities and and reduce vessel speed to the immediately report the incident to the DTH drilling prior to using an impact minimum required to maintain steerage Chief of the Permits and Conservation hammer. GCHS will also use the and safe working conditions. In Division, Office of Protected Resources, minimum hammer energy needed to addition, if an animal comes within the NMFS, and NMFS Alaska Regional safely install the piles. shutdown zone (see Table 7) of a pile Office; Based on our evaluation of the being driven or removed, GCHS would • Soft-start: For all impact pile applicant’s proposed measures, NMFS shut down. The shutdown zone would driving, a ‘‘soft start’’ technique will be has preliminarily determined that the only be reopened when a marine used at the beginning of each pile proposed mitigation measures provide mammal has not been observed within installation day, or if pile driving has the means effecting the least practicable the shutdown zone for a 30-minute ceased for more than 30 minutes, to impact on the affected species or stocks period. If pile driving is stopped, pile allow any marine mammal that may be and their habitat, paying particular installation would not commence if pile in the immediate area to leave before attention to rookeries, mating grounds, any marine mammals are observed hammering at full energy. The soft start and areas of similar significance, and on anywhere within the Level A requires GCHS to provide an initial set the availability of such species or stock harassment zone. Pile driving activities of three strikes from the impact hammer for subsistence uses.

TABLE 7—SHUTDOWN ZONES FOR EACH ACTIVITY TYPE AND STOCK

Shutdown zone—permitted species Level B harass- ment zone Source Low-frequency Mid-frequency High-frequency cetaceans cetaceans cetaceans Phocids Otariids All species

Vibratory/Drilling ..... 80 m (265 ft) ...... 7 m (25 ft) ...... 120 m (395 ft) ..... 50 m (165 ft) ...... 10 m (35 ft) ...... 12.1 km (7.5 miles). Impact Pile Driving 185 m (605 ft) ..... 10 m (35 ft) ...... 220 m (720 ft) ..... 100 m (325 ft) ..... 10 m (35 ft) ...... 1000 m (3280 ft).

Proposed Monitoring and Reporting understanding of one or more of the cumulative impacts from multiple following: stressors; In order to issue an IHA for an • • Occurrence of marine mammal How anticipated responses to activity, Section 101(a)(5)(D) of the stressors impact either: (1) Long-term MMPA states that NMFS must set forth species or stocks in the area in which take is anticipated (e.g., presence, fitness and survival of individual requirements pertaining to the marine mammals; or (2) populations, monitoring and reporting of such taking. abundance, distribution, density); • species, or stocks; The MMPA implementing regulations at Nature, scope, or context of likely • Effects on marine mammal habitat 50 CFR 216.104 (a)(13) indicate that marine mammal exposure to potential (e.g., marine mammal prey species, requests for authorizations must include stressors/impacts (individual or acoustic habitat, or other important the suggested means of accomplishing cumulative, acute or chronic), through physical components of marine the necessary monitoring and reporting better understanding of: (1) Action or mammal habitat); and that will result in increased knowledge environment (e.g., source • Mitigation and monitoring of the species and of the level of taking characterization, propagation, ambient effectiveness. or impacts on populations of marine noise); (2) affected species (e.g., life mammals that are expected to be history, dive patterns); (3) co-occurrence Visual Monitoring present in the proposed action area. of marine mammal species with the Monitoring would be conducted 30 Effective reporting is critical both to action; or (4) biological or behavioral minutes before, during, and 30 minutes compliance as well as ensuring that the context of exposure (e.g., age, calving or after pile driving activities. In addition, most value is obtained from the required feeding areas); observers shall record all incidents of monitoring. • Individual marine mammal marine mammal occurrence, regardless Monitoring and reporting responses (behavioral or physiological) of distance from activity, and shall requirements prescribed by NMFS to acoustic stressors (acute, chronic, or document any behavioral reactions in should contribute to improved cumulative), other stressors, or concert with distance from piles being

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driven or removed. Pile driving of marine mammals observed; dates and • Detailed information about any activities include the time to install a times when in-water construction implementation of any mitigation single pile or series of piles, as long as activities were conducted; dates and triggered (e.g., shutdowns and delays), a the time elapsed between uses of the times when in-water construction description of specific actions that pile driving equipment is no more than activities were suspended to avoid ensued, and resulting behavior of the thirty minutes. potential incidental injury from animal, if any; A primary PSO would be placed at construction sound of marine mammals • Description of attempts to the project site where pile driving observed within a defined shutdown distinguish between the number of would occur. The primary purpose of zone; and marine mammal behavior; individual animals taken and the this observer is to monitor and and number of incidences of take, such as implement the Level A shutdown zones. (g) Ability to communicate orally, by ability to track groups or individuals; Two additional observers would focus radio or in person, with project and on monitoring large parts of the Level B personnel to provide real-time • Submit all PSO datasheets and/or harassment zone as well as visible parts information on marine mammals raw sighting data (in a separate file from of the Level A shutdown and observed in the area as necessary; and the Final Report referenced immediately harassment zones. The locations are (2) GCHS shall submit observer CVs above). shown in Figure 2 of the monitoring for approval by NMFS. If no comments are received from plan. Since not all of the Level B A draft marine mammal monitoring NMFS within 30 days, the draft final harassment zone will be observable by report would be submitted to NMFS report will constitute the final report. If PSOs, they will calculate take for the within 90 days after the completion of comments are received, a final report project by extrapolating the observable pile driving activities, or 60 days prior addressing NMFS comments must be area to the total size of the Level B to a requested date of issuance of any submitted within 30 days after receipt of harassment zone. PSOs would scan the future IHAs for projects at the same comments. waters using binoculars, and/or spotting location, whichever comes first. It will In the event that personnel involved scopes, and would use a handheld GPS include an overall description of work in the construction activities discover or range-finder device to verify the completed, a narrative regarding marine an injured or dead marine mammal, the distance to each sighting from the mammal sightings, and associated IHA-holder shall report the incident to project site. All PSOs would be trained marine mammal observation data the Office of Protected Resources (OPR) in marine mammal identification and sheets. Specifically, the report must (301–427–8401), NMFS and to the behaviors and are required to have no include: Alaska Regional Stranding Coordinator other project-related tasks while • Dates and times (begin and end) of as soon as feasible. The report must conducting monitoring. The following include the following information: all marine mammal monitoring; • measures also apply to visual • Construction activities occurring Time, date, and location (latitude/ monitoring: during each daily observation period, longitude) of the first discovery (and (1) Monitoring will be conducted by including how many and what type of updated location information if known qualified observers, who will be placed piles were driven or removed and by and applicable); • Species identification (if known) or at the best vantage point(s) practicable what method (i.e., impact or vibratory); to monitor for marine mammals and • description of the animal(s) involved; Weather parameters and water • Condition of the animal(s) implement shutdown/delay procedures conditions during each monitoring when applicable by calling for the (including carcass condition if the period (e.g., wind speed, percent cover, animal is dead); shutdown to the hammer operator. visibility, sea state); Qualified observers are trained • Observed behaviors of the • The number of marine mammals biologists, with the following minimum animal(s), if alive; observed, by species, relative to the pile • qualifications: If available, photographs or video location and if pile driving or removal (a) Visual acuity in both eyes footage of the animal(s); and was occurring at time of sighting; • General circumstances under which (correction is permissible) sufficient for • discernment of moving targets at the Age and sex class, if possible, of all the animal was discovered. marine mammals observed; water’s surface with ability to estimate • Negligible Impact Analysis and target size and distance; use of PSO locations during marine mammal monitoring; Determination binoculars may be necessary to correctly • identify the target; Distances and bearings of each NMFS has defined negligible impact (b) Advanced education in biological marine mammal observed to the pile as an impact resulting from the science or related field (undergraduate being driven or removed for each specified activity that cannot be degree or higher required); sighting (if pile driving or removal was reasonably expected to, and is not (c) Experience and ability to conduct occurring at time of sighting); reasonably likely to, adversely affect the • field observations and collect data Description of any marine mammal species or stock through effects on according to assigned protocols (this behavior patterns during obsevation, annual rates of recruitment or survival may include academic experience); including direction of travel and (50 CFR 216.103). A negligible impact (d) Experience or training in the field estimated time spent within the Level A finding is based on the lack of likely identification of marine mammals, and Level B harassment zones while the adverse effects on annual rates of including the identification of source was active; recruitment or survival (i.e., population- behaviors; • Number of individuals of each level effects). An estimate of the number (e) Sufficient training, orientation, or species (differentiated by month as of takes alone is not enough information experience with the construction appropriate) detected within the on which to base an impact operation to provide for personal safety monitoring zone, and estimates of determination. In addition to during observations; number of marine mammals taken, by considering estimates of the number of (f) Writing skills sufficient to prepare species (a correction factor may be marine mammals that might be ‘‘taken’’ a report of observations including but applied to total take numbers, as through harassment, NMFS considers not limited to the number and species appropriate; other factors, such as the likely nature

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of any responses (e.g., intensity, duration of noise-generating activities Small Numbers duration), the context of any responses per day and that pile driving would As noted above, only small numbers (e.g., critical reproductive time or occur on no more than 4 days, any of incidental take may be authorized location, migration), as well as effects harassment would be temporary. In under Section 101(a)(5)(D) of the MMPA on habitat, and the likely effectiveness addition, GCHS would not conduct pile for specified activities other than of the mitigation. We also assess the driving during the spring eulachon and military readiness activities. The MMPA number, intensity, and context of herring runs, when marine mammals are does not define small numbers and so, estimated takes by evaluating this in greatest abundance and engaging in in practice, where estimated numbers information relative to population concentrated foraging behavior. There are available, NMFS compares the status. Consistent with the 1989 are no other areas or times of known number of individuals taken to the most preamble for NMFS’s implementing biological importance for any of the appropriate estimation of abundance of regulations (54 FR 40338; September 29, affected species. the relevant species or stock in our 1989), the impacts from other past and In addition, although some affected determination of whether an ongoing anthropogenic activities are humpback whales and Steller sea lions authorization is limited to small incorporated into this analysis via their may be from a DPS that is listed under numbers of marine mammals. impacts on the environmental baseline the ESA, it is unlikely that minor noise Additionally, other qualitative factors (e.g., as reflected in the regulatory status effects in a small, localized area of may be considered in the analysis, such of the species, population size and habitat would have any effect on the as the temporal or spatial scale of the growth rate where known, ongoing stocks’ ability to recover. In activities. sources of human-caused mortality, or combination, we believe that these The amount of take NMFS proposes to ambient noise levels). To avoid repetition, the discussion of factors, as well as the available body of authorize is less than one-third of any our analyses applies to all the species evidence from other similar activities, stock’s best population estimate. These listed in Table 6, given that the demonstrate that the potential effects of are all likely conservative estimates anticipated effects of this activity on the specified activities will have only because we assume all takes are of these different marine mammal stocks minor, short-term effects on individuals. different individual animals which is are expected to be similar. There is little The specified activities are not expected likely not the case, especially for harbor information about the nature or severity to impact rates of recruitment or seals which have the largest take. The of the impacts, or the size, status, or survival and will therefore not result in Alaska stock of Dall’s porpoise has no structure of any of these species or population-level impacts. official NMFS abundance estimate as stocks that would lead to a different In summary and as described above, the most recent estimate is greater than analysis for this activity. Pile driving the following factors primarily support eight years old. Nevertheless, the most and drilling activities have the potential our preliminary determination that the recent estimate was 83,400 animals and to disturb or displace marine mammals. impacts resulting from this activity are it is highly unlikely this number has Specifically, the project activities may not expected to adversely affect the drastically declined. Therefore, the 48 result in take, in the form of Level A species or stock through effects on authorized takes of this stock clearly harassment and Level B harassment annual rates of recruitment or survival: represent small numbers of this stock. The Alaska stock of minke whale has no from underwater sounds generated from • No mortality is anticipated or stock-wide abundance estimate. The pile driving and DTH drilling. Potential authorized; stock ranges from the Bering and takes could occur if individuals of these • species are present in the ensonified Authorized Level A harassment Chukchi seas south through the Gulf of zone when these activities are would be very small amounts and of Alaska. Surveys in portions of the range underway. low degree for two cryptic species; have estimated abundances of 2,020 on The takes from Level A and Level B • GCHS would avoid pile driving the eastern Bering Sea shelf and 1,233 harassment would be due to potential during peak periods of marine mammal from the Kenai Fjords in the Gulf of behavioral disturbance, TTS, and PTS. abundance and foraging (i.e., March 1 Alaska to the central Aleutian Islands. No mortality is anticipated given the through May 31 eulachon and herring Thus there appears to be thousands of nature of the activity and measures runs); animals at least in the stock and clearly designed to minimize the possibility of • GCHS would implement mitigation the 1 authorized takes of this stock injury to marine mammals. Level A measures such as vibratory driving piles represent small numbers of this stock. harassment is only authorized for Dall’s to the maximum extent practicable, soft- Based on the analysis contained porpoise and harbor porpoise. The starts, and shut downs; and herein of the proposed activity potential for harassment is minimized • (including the proposed mitigation and through the construction method and Monitoring reports from similar monitoring measures) and the the implementation of the planned work in Alaska have documented little anticipated take of marine mammals, mitigation measures (see Proposed to no effect on individuals of the same NMFS preliminarily finds that small Mitigation section). species impacted by the specified numbers of marine mammals will be Behavioral responses of marine activities. taken relative to the population size of mammals to pile driving at the project Based on the analysis contained the affected species or stocks. site, if any, are expected to be mild and herein of the likely effects of the temporary. Marine mammals within the specified activity on marine mammals Unmitigable Adverse Impact Analysis Level B harassment zone may not show and their habitat, and taking into and Determination any visual cues they are disturbed by consideration the implementation of the In order to issue an IHA, NMFS must activities (as noted during modification proposed monitoring and mitigation find that the specified activity will not to the Kodiak Ferry Dock) or could measures, NMFS preliminarily finds have an ‘‘unmitigable adverse impact’’ become alert, avoid the area, leave the that the total marine mammal take from on the subsistence uses of the affected area, or display other mild responses the proposed activity will have a marine mammal species or stocks by that are not observable such as changes negligible impact on all affected marine Alaskan Natives. NMFS has defined in vocalization patterns. Given the short mammal species or stocks. ‘‘unmitigable adverse impact’’ in 50 CFR

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216.103 as an impact resulting from the consultation prior to reaching a (2) A preliminary monitoring report specified activity: (1) That is likely to determination regarding the proposed showing the results of the required reduce the availability of the species to issuance of the authorization. monitoring to date and an explanation a level insufficient for a harvest to meet showing that the monitoring results do Proposed Authorization subsistence needs by: (i) Causing the not indicate impacts of a scale or nature marine mammals to abandon or avoid As a result of these preliminary not previously analyzed or authorized. hunting areas; (ii) Directly displacing determinations, NMFS proposes to issue • Upon review of the request for subsistence users; or (iii) Placing an IHA to GCHS for conducting the Renewal, the status of the affected physical barriers between the marine Sentinel Island Moorage Float project species or stocks, and any other mammals and the subsistence hunters; near Juneau, Alaska between July 20, pertinent information, NMFS and (2) That cannot be sufficiently 2020 and July 19, 2021, provided the determines that there are no more than mitigated by other measures to increase previously mentioned mitigation, minor changes in the activities, the the availability of marine mammals to monitoring, and reporting requirements mitigation and monitoring measures allow subsistence needs to be met. are incorporated. A draft of the will remain the same and appropriate, As discussed above in the subsistence proposed IHA can be found at https:// and the findings in the initial IHA uses section, subsistence harvest of www.fisheries.noaa.gov/permit/ remain valid. harbor seals and other marine mammals incidental-take-authorizations-under- Dated: March 27, 2020. is rare in the area and local subsistence marine-mammal-protection-act. Donna S. Wieting, users have not expressed concern about Request for Public Comments this project. All project activities will Director, Office of Protected Resources, take place within the Favorite Channel We request comment on our analyses, National Marine Fisheries Service. area where subsistence activities do not the proposed authorization, and any [FR Doc. 2020–06787 Filed 3–31–20; 8:45 am] generally occur. The project also will other aspect of this Notice of Proposed BILLING CODE 3510–22–P not have an adverse impact on the IHA for the proposed Sentinel Island availability of marine mammals for Moorage Float project. We also request subsistence use at locations farther at this time comment on the potential DEPARTMENT OF COMMERCE away, where these construction renewal of this proposed IHA as National Oceanic and Atmospheric activities are not expected to take place. described in the paragraph below. Administration Some minor, short-term harassment of Please include with your comments any the harbor seals and Steller sea lions supporting data or literature citations to [RTID 0648–XA097] could occur, but any effects on help inform decisions on the request for subsistence harvest activities in the this IHA or a subsequent Renewal IHA. South Atlantic Fishery Management region will be minimal, and not have an On a case-by-case basis, NMFS may Council; Public Meetings issue a one-year Renewal IHA following adverse impact. AGENCY: National Marine Fisheries notice to the public providing an Based on the effects and location of Service (NMFS), National Oceanic and additional 15 days for public comments the specified activity, and the mitigation Atmospheric Administration (NOAA), and monitoring measures, NMFS has when (1) up to another year of identical, Commerce. preliminarily determined that there will or nearly identical, activities as not be an unmitigable adverse impact on described in the Detailed Description of ACTION: Notice of public meetings. subsistence uses from GCHS’s planned Specific Activity section of this notice is SUMMARY: The South Atlantic Fishery activities. planned or (2) the activities as described Management Council (Council) will in the Detailed Description of Specific Endangered Species Act (ESA) hold a meeting of its Habitat Protection Activity section of this notice would not and Ecosystem-Based Management Section 7(a)(2) of the Endangered be completed by the time the IHA Advisory Panel (AP). Species Act of 1973 (ESA: 16 U.S.C. expires and a Renewal would allow for DATES: The AP meeting will be 1531 et seq.) requires that each Federal completion of the activities beyond that conducted via webinar on Wednesday, agency insure that any action it described in the Dates and Duration April 22, 2020, from 9 a.m. to 11 p.m. authorizes, funds, or carries out is not section of this notice, provided all of the and from 1 p.m. to 3 p.m. likely to jeopardize the continued following conditions are met: existence of any endangered or • A request for renewal is received no ADDRESSES: threatened species or result in the later than 60 days prior to the needed Meeting address: The meeting will be destruction or adverse modification of Renewal IHA effective date (recognizing held via webinar. designated critical habitat. To ensure that Renewal IHA expiration date Council address: South Atlantic ESA compliance for the issuance of cannot extend beyond one year from Fishery Management Council, 4055 IHAs, NMFS consults internally, in this expiration of the initial IHA). Faber Place Drive, Suite 201, N case with the Alaska Region Protected • The request for renewal must Charleston, SC 29405. Resources Division Office, whenever we include the following: FOR FURTHER INFORMATION CONTACT: Kim propose to authorize take for (1) An explanation that the activities Iverson, Public Information Officer, endangered or threatened species. to be conducted under the requested SAFMC; phone: (843) 571–4366 or toll NMFS is proposing to authorize take Renewal IHA are identical to the free (866) SAFMC–10; fax: (843) 769– of Western DPS Steller sea lion activities analyzed under the initial 4520; email: [email protected]. (Eumetopias jubatus) and Mexico DPS IHA, are a subset of the activities, or SUPPLEMENTARY INFORMATION: The of humpback whales (Megaptera include changes so minor (e.g., Habitat AP meeting is open to the public novaeangliae), which are listed under reduction in pile size) that the changes and will be available via webinar as it the ESA. The Permits and Conservation do not affect the previous analyses, occurs. Registration is required. Division has requested initiation of mitigation and monitoring Webinar registration information and Section 7 consultation with the Alaska requirements, or take estimates (with other meeting materials will be posted Region for the issuance of this IHA. the exception of reducing the type or to the Council’s website at: http:// NMFS will conclude the ESA amount of take). safmc.net/safmc-meetings/current-

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advisory-panel-meetings/ as it becomes BUREAU OF CONSUMER FINANCIAL time. You can make an appointment to available. PROTECTION inspect the documents by telephoning 202–435–7275. The Habitat AP meeting agenda [Docket No. CFPB–2020–0013] includes the following: All submissions in response to this request for information, including Updates on NOAA Fisheries Request For Information To Assist the Taskforce on Federal Consumer attachments and other supporting Ecosystem-Based Fishery Management Financial Law materials, will become part of the public Activities for the South Atlantic Region record and subject to public disclosure. including the development of a South AGENCY: Bureau of Consumer Financial Sensitive personal information, such as Atlantic Ecosystem Status Report and a Protection. account numbers or Social Security South Atlantic Climate Vulnerability ACTION: Notice and request for numbers, or names of other individuals, Analysis; NOAA Mapping and information. should not be included. Submissions Characterization of South Atlantic Deep will not be edited to remove any Water Ecosystems. SUMMARY: The Bureau of Consumer identifying or contact information. Financial Protection (Bureau) is seeking AP members will also receive a status FOR FURTHER INFORMATION CONTACT: Nat comments and information from report on the Council action to Weber, Chief of Staff, or Matt Cameron, interested parties to assist the Taskforce Staff Director, Taskforce on Federal designate Bullet and Frigate Mackerel as on Federal Consumer Financial Law Ecosystem Component Species to the Consumer Financial Law, at 202–435– (Taskforce). The Taskforce is an 7700. If you require this document in an Dolphin Wahoo Fishery Management independent body within the Bureau Plan and a report from Council/NOAA alternative electronic format, please and reports to the Bureau’s Director. contact [email protected]. Fisheries Essential Fish Habitat The Taskforce is charged with SUPPLEMENTARY INFORMATION: Consultation and Regional Innovations developing recommendations on Workshop. The AP will receive updates harmonizing, modernizing, and I. Background on the following: The South Atlantic updating the Federal consumer financial The Director of the Bureau established Ecopath with Ecosim Model and laws, as well as identifying gaps in the Taskforce pursuant to the executive Scientific and Statistical Committee knowledge that should be addressed and administrative powers conferred on (SSC) Workgroup Review and through research, ways to improve the Bureau by sections 1013(a) and Development of Ecospace; the Kitty consumer understanding of markets and 1021(c) of the Dodd-Frank Wall Street Hawk Wind Project; Southeast Coastal products, and potential conflicts or Reform and Consumer Protection Act Ocean Observing Regional Association inconsistencies in existing regulations (Dodd-Frank Act). The Taskforce is (SECOORA) Products associated with and guidance. charged with (1) examining the existing extreme events and 2021 IOOS DATES: Comments must be received by legal and regulatory environment facing (Integrated Ocean Observing System) June 1, 2020. consumers and providers of consumer proposal: And Fishery Independent ADDRESSES: You may submit responsive financial products and services; and (2) Research in the South Atlantic Region information and other comments, reporting its recommendations for ways through the Southeast Reef Fish Survey identified by Docket No. CFPB–2020– to improve and strengthen Federal (SERFS). 0013, by any of the following methods: consumer financial laws, including • The AP will develop Federal eRulemaking Portal: http:// recommendations for resolving recommendations as necessary for www.regulations.gov. Follow the conflicting requirements or consideration by the Council’s Habitat instructions for submitting comments. inconsistencies, reducing unwarranted • Email: 2020-RFI-Taskforce@ regulatory burdens in light of market or Protection and Ecosystem-Based cfpb.gov. Include Docket No. CFPB– technological developments, improving Management Committee. 2020–0013 in the subject line of the consumer understanding of markets and Special Accommodations message. products and services, and identifying • Hand Delivery/Courier/Mail: gaps in knowledge that the Bureau The meeting is physically accessible Comment Intake, Bureau of Consumer should address through future research. to people with disabilities. Requests for Financial Protection, 1700 G Street NW, Where possible and within time auxiliary aids should be directed to the Washington, DC 20552. constraints, the Taskforce’s report may Council office (see ADDRESSES) 3 days Instructions: The Bureau encourages include recommendations relating to the prior to the meeting. the early submission of comments. All 18 enumerated consumer laws and titles Note: The times and sequence specified in submissions must include the document X and XIV of the Dodd-Frank Act, this agenda are subject to change. title and docket number. Please note the including those provisions relating to number of the question on which you unfair, deceptive, or abusive acts or Authority: 16 U.S.C. 1801 et seq. are commenting at the top of each practices. The Taskforce’s response (you do not need to answer all recommendations may include actions Dated: March 27, 2020. questions). Because paper mail in the that the Bureau could carry out using its Tracey L. Thompson, Washington, DC area and at the Bureau current authorities and actions that Acting Deputy Director, Office of Sustainable is subject to delay, commenters are would require legislation to implement. Fisheries, National Marine Fisheries Service. encouraged to submit comments The Taskforce is inspired in part by [FR Doc. 2020–06801 Filed 3–31–20; 8:45 am] electronically. In general, all comments an earlier commission established in BILLING CODE 3510–22–P received will be posted without change 1968 by the Consumer Credit Protection to http://www.regulations.gov. In Act (Act). In addition to various changes addition, comments will be available for to consumer law generally, the Act public inspection and copying at 1700 established a national commission to G St. NW, Washington, DC 20552, on conduct original research and provide official business days between the hours Congress with recommendations of 10 a.m. and 5 p.m. eastern standard relating to the regulation of consumer

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credit. The commission’s report • Deposit accounts (checking or promote greater access to banking contained original empirical data, savings) services and, if so, how? Are information, and analyses—all of which • Electronic payments alternatives to deposit accounts, such as undergird the report’s final • Money transfers prepaid cards and peer-to-peer • recommendations. The data, findings, Mortgage origination and servicing electronic payments, sufficient when • Prepaid cards and recommendations from the • compared to traditional banking commission were all made public and Small-dollar loans (installment, products? What is the evidence the report led to significant legislative payday, vehicle title loans) regarding consumers’ understanding of, • Student loans and student loan and regulatory developments in and experience and satisfaction with, servicing consumer finance. these products? As articulated more specifically in the 2. One important reason for access to II. Requests for Information questions below, the Taskforce is a bank account is to facilitate The Taskforce is considering what interested in information about how transactions. To what extent is it well financial markets are functioning recommendations might promote the necessary to tie transaction services to for consumers. Efficient markets offer welfare of consumers in connection the banking system? To what extent consumers a wide selection of products with the market for consumer financial could transaction services and the and services that meet their financial products and services. The Taskforce banking system exist independently, needs at competitive prices. Consumers seeks input from the public at this time and would independent existence raise can capture those benefits when they to help identify areas of consumer new consumer protection risks that have truthful information about the protection on which it should focus its regulators should consider? Would prices and features of the products and research and analysis during the balance reducing clearance times impact the services they seek. By contrast, markets of its one-year appointment. This demand for alternative products, such that perform poorly are less likely to Request for Information will be one of as check cashing, small-dollar loans, deliver products and services or offer multiple opportunities for the public to and overdraft protection? If so, to what them at prices commensurate with cost, provide feedback directly to the extent? risk, and other relevant considerations. Taskforce and thus to help inform its 3. What steps could be taken to Unfair, deceptive, and abusive acts and recommendations. promote greater competition among practices deprive consumers of the Congress created the Bureau to ensure providers of services such as payments, benefits that transparent and efficient that ‘‘all consumers have access to financial advisory services, and savings markets can deliver. The Bureau, markets for consumer financial products accounts? How do third-party through its enforcement of laws and and services and that markets for applications, sometimes referred to as regulations prohibiting such behavior, consumer financial products and ‘‘open banking,’’ affect the competition? strives to rid markets of these services are fair, transparent, and To what extent do third-party impediments. It is important, therefore, competitive.’’ 1 In general, consumers applications raise new consumer that the policies, laws, and rules benefit from markets characterized by protection risks that regulators should effectively target the problems they are robust competition, which can offer consider? intended to address. attractive choices and fair prices. In 4. There is consumer demand for Every statutory or regulatory change addition, the terms of the services must short-term, small-dollar credit. What creates at least some cost—and often be clear, so that consumers can make impediments exist for expanding access considerable cost—as both consumers informed choices, and must be free of to short-term, small-dollar loans and and industry adjust to new rules and unfair, deceptive, and abusive acts and ensuring that this market is fair, bear the cost of change. For that reason, practices. transparent, and competitive? What has the Taskforce is most interested in The Taskforce is seeking information been the impact of State and Federal learning where changes would be most from interested parties on which areas efforts to regulate such credit? Is the worth the cost. In other words, the of the consumer financial services annual percentage rate a meaningful Taskforce hopes to hear from interested markets are functioning well—that is, measure for a very short-term loan? If parties about the markets or services which areas are fair, transparent, and not, what other measures might be more where a change in the rules would competitive—and which might benefit useful to help consumers in provide the greatest marginal benefits from regulatory changes that could understanding and assessing the cost of relative to the marginal costs.2 facilitate competition and materially short-term credit? 5. Some creditors are supplementing increase consumer welfare. To that end, A. Expanding Access or replacing traditional methods of this Request for Information asks a These questions explore potential underwriting (which often use income, series of questions about the market for obstacles to financial inclusion. debts, credit history, and stability consumer financial products and 1. Millions of U.S. households lack a factors) by employing ‘‘alternative services, with a special interest in the 3 bank account. Should the Bureau data.’’ Some types of alternative data below markets (though respondents clearly expand the sources of financial should feel free to suggest others): 2 To the extent that a commenter’s response to information, such as payment histories • Automobile financing (credit or any of the questions below overlaps with its lease) responses to the Bureau’s Call for Evidence, the for rent, utilities, and other consumer • Credit cards commenter may wish to incorporate by reference or obligations, and other types of • Credit repair elaborate on its prior submissions. See Bureau of alternative data appear to have little in • Consumer Fin. Prot., Call for Evidence (Apr. 17, common with traditional underwriting Consumer reporting 2018), https://www.consumerfinance.gov/policy- • Debt collection by third parties compliance/notice-opportunities-comment/archive- information. What role should the (collection agencies) closed/call-for-evidence/. Bureau play in regulating the • Debt collection by creditors (in- 3 Bd. of Governors of the Fed. Reserve Sys., furnishing, reporting, and use of house collections) Report on the Economic Well-Being of U.S. alternative data, and what should the • Households in 2018–May 2019 (June 5, 2019), Debt settlement https://www.federalreserve.gov/publications/2019- Bureau consider in developing policy in economic-well-being-of-us-households-in-2018- this area? How should the Bureau 1 12 U.S.C. 5511(a). banking-and-credit.htm. consider alternative factors which

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creditors find helpful in predicting risk, products and services, but this can raise reasonable written policies and but which may lack an obvious concerns about consumers’ ability to procedures concerning the accuracy of relationship with creditworthiness or protect privacy and control the use of the data they furnish). Which approach have differential impacts on some their data. With respect to consumer is preferable, and does this depend on consumers or groups of consumers? data, how best can the Bureau or the industry, the statute, or other 6. Should the Bureau clarify its Congress balance between facilitating considerations? Please explain. position on disparate impact theory FinTech innovations that increase D. Federal and State Coordination under the Equal Credit Opportunity consumer choice and ensuring Act? If so, what should be the Bureau’s consumer protection? Do any existing The Bureau is one of many Federal position? technologies or practices, such as zero- agencies with supervision or enforcement responsibilities with B. Consumer Data knowledge proofs, raise fewer consumer protection concerns or have the respect to financial institutions. Having These questions explore current and potential to help regulators resolve the more than one agency can increase the future-looking topics regarding the balance between consumer choice and resources devoted to supervision and protection and use of consumer data. consumer protection? enforcement, but it can also increase the 7. Both the Fair Credit Reporting Act burden on the company (and costs to its (FCRA) and its implementing C. The Regulations customers) and may result in conflicting Regulation V and the Gramm-Leach- These questions focus on the positions among governmental agencies. Bliley Act and its implementing regulations the Bureau writes and These questions focus on the costs and Regulation P contain important enforces. Commenters are encouraged to benefits of this overlap. protections of consumers’ personal include specific examples in their 15. With respect to institutions and information. Are these protections responses. laws currently within the Bureau’s sufficient? Why or why not? If not 11. Are there gaps in consumer jurisdiction, the Bureau’s supervision or sufficient, what further protections financial protections that should be enforcement authority may be exclusive should the Bureau or Congress filled by strengthening the Bureau’s or shared with other regulators, consider? Are there obligations in these regulations? What type of protections depending on the institution or law in regulations or statutes that impose a are needed (e.g., additional disclosures, question. Have the agencies been burden not justified by the substantive requirements)? How should cooperating appropriately in areas of corresponding consumer benefit? the costs and benefits of the proposed shared jurisdiction, and are there ways 8. The FCRA requires consumer changes be evaluated? in which their cooperation could be reporting agencies to ‘‘follow reasonable 12. Uncertainty can increase improved? Is more clarity needed about procedures to assure the maximum compliance costs and litigation risk how the agencies are cooperating in possible accuracy’’; requires these without benefitting consumers. Are areas of shared jurisdiction? Do the agencies to disclose to a consumer the there areas of significant ambiguity or Bureau and other agencies act jointly in contents of the consumer’s file; contains inconsistency in the regulations? Where appropriate circumstances? procedures for consumers to dispute the would regulations benefit significantly 16. Are changes to the shared- accuracy of information in these from increased clarity or jurisdiction framework desirable (e.g., agencies’ files; and requires harmonization—both with respect to the by legislation)? In what way? For notifications when information from Bureau’s regulations and with respect to instance, would it be beneficial to assign these agencies’ files has contributed to overlap, duplication, or inconsistency to one agency sole (or primary) a user’s adverse action. In addition, the with regulations issued by other Federal responsibility for supervising or FCRA’s implementing Regulation V agencies? Please explain the lack of enforcing some or all the consumer requires that data furnishers implement clarity and how the regulations should financial protection laws? Would having and maintain reasonable written be clarified. a single source of authority enhance or policies and procedures concerning the 13. Where have regulations failed to detract from competition and consumer accuracy of the data they furnish. Are keep up with rapid changes in welfare? What are the costs and benefits these provisions designed to ensure consumer financial services markets? of overlapping enforcement jurisdiction accuracy sufficient? Why or why not? If Are regulatory changes needed to for nonbank creditors? not, what further protections should the address new products and services and 17. State financial regulators typically Bureau or Congress consider? Are there the way consumers obtain them? Are examine a financial institution’s obligations in these laws that impose a there regulations that have outlived compliance with State law, but they can burden not justified by the their usefulness? Are there new also bring cases under certain Federal commensurate consumer benefit? regulations that might be needed? Are consumer financial protection laws. For 9. Most States have enacted laws that there regulatory areas or specific example, a State may initiate its own afford consumers certain protections in regulations now sufficiently so action to enforce the Dodd-Frank Act the event of a data breach. There is overlapping as to be redundant? and certain enumerated consumer laws. considerable variation among these 14. Some stakeholders favor In addition, once the Bureau has laws, including the triggering events for regulations with specific requirements, decided to bring an enforcement action, coverage by the law and the which draw bright lines for a company’s the Bureau may invite States to join in requirements and remedies relating to a compliance obligations but can apply a the action. What are the costs and breach. Would Federal legislation, one-size-fit-all approach. Others favor benefits to consumers and financial regulation, or guidance addressing data ‘‘principle-based’’ regulations, which institutions of overlapping enforcement breaches be desirable? Why or why not? can provide a company with flexibility powers? Would it be desirable to have a uniform but can create compliance uncertainty. 18. Given the jurisdictional overlap national standard for data breach Federal regulations currently employ between State and Federal regulators on obligations? Why or why not? both approaches (e.g., Regulation Z’s consumer financial markets, are there 10. Financial technology, or FinTech, highly specific disclosure rules, and quantifiable examples of whether this companies often use consumer data to Regulation V’s requirement that data overlap has led to disproportionate provide new or enhanced financial furnishers implement and maintain compliance costs for small financial

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institutions, such as community banks impacts associated with modifying the area. The no action alternative will also or credit unions? conditions under which indirect live- be evaluated in the EIS, under which fire weapons training can be conducted the Army would continue to train with E. Improving Consumer Protection at Joint Base Elmendorf-Richardson the existing seasonal restrictions and These questions address overall (JBER), in order to meet Army training which would require JBER home station performance of consumer protection. standards at home station. However, as units to deploy to other Army- 19. Which markets for consumer a direct result of the National controlled training lands to conduct financial products or services are Emergency declared by the President on required training. The USAF is the functioning well—that is, which Friday, March 13, 2020, in response to National Environmental Policy Act markets are fair, transparent, and the coronavirus (COVID–19) pandemic (NEPA) lead agency and the U.S. Army competitive? Which markets might in the United States and the Center for is a cooperating agency for this EIS benefit from regulatory changes that Disease Control’s recommendations for process. A Notice of Intent for a similar could facilitate competition and social distancing and avoiding large action was issued in 2007; however, this materially increase consumer welfare? public gatherings, the Air Force is now Notice of Intent supersedes the Notice of 20. What types of disclosures canceling the two public scoping Intent that was issued in 2007. regarding consumer financial products meetings between April 13, 2020 and Additional review and consultation or services are effective and what types April 14, 2020. In lieu of the public which will be incorporated into the are not? Could the content, timing, or scoping meetings, the Air Force will use preparation of the Draft EIS will other aspects of disclosures be improved the alternative means set forth below to include, but are not necessarily limited and, if so, how? inform the public and stakeholders and to consultation under Section 7 of the 21. How should the Bureau determine to obtain input for scoping the proposed Endangered Species Act and an appropriate remedy for a law action. consultation under Section 106 of the violation, considering the need to ADDRESSES: In lieu of scoping meetings, National Historic Preservation Act. correct and deter violations without information on the proposal will be creating adverse effects on competition The proposed actions at JBER have available on the project website at: and other unintended consequences? the potential to be located in a https://JBER-PMART-EIS.com. For those 22. What is the optimal mix of floodplain and/or wetland. Consistent who do not have ready access to a regulation, enforcement, supervision, with the requirements and objectives of computer or the internet, the scoping- and consumer financial education for Executive Order (E.O.) 11990, related materials posted to the website achieving the Bureau’s consumer ‘‘Protection of Wetlands,’’ and E.O. will be made available upon request by protection goals? 11988, ‘‘Floodplain Management,’’ state 23. How can we best assess the mail. Inquiries, requests for scoping- and federal regulatory agencies with efficacy of the Federal consumer related materials, and comments special expertise in wetlands and financial protections in achieving their regarding the Proposed Mortar and floodplains will be contacted to request goals? Artillery Training at Richardson comment. Consistent with E.O. 11988 Training Area Environmental Impact and E.O. 11990, this Notice of Intent Dated: March 27, 2020. Statement (EIS) at Joint Base Elmendorf- initiates early public review of the Kathleen L. Kraninger, Richardson (JBER), AK may be proposed actions and alternatives, Director, Bureau of Consumer Financial submitted by mail to JBER Public which have the potential to be located Protection. Affairs, [email protected], (907) in a floodplain and/or wetland. [FR Doc. 2020–06749 Filed 3–31–20; 8:45 am] 552–8151; (US Post Office) JBER Public Scoping and Agency Coordination: To BILLING CODE 4810–AM–P Affairs c/o Matthew Beattie, 10480 Sijan define the full range of issues to be Ave., Suite 123, Joint Base Elmendorf- evaluated in the EIS, the USAF will Richardson, AK 99506. determine the scope of the analysis by DEPARTMENT OF DEFENSE Written scoping comments will be soliciting comments from interested accepted at any time during the local, state, and federal elected officials Department of the Air Force environmental impact analysis process and agencies, Alaska Native up until the public release of the Draft Notice of Intent To Prepare an organizations, as well as interested EIS. However, to ensure the USAF has members of the public and others. This Environmental Impact Statement and sufficient time to consider public input Noise of Cancellation of Scoping is being done by providing a website in the preparation of the Draft EIS, where the public can submit comments Meetings for Proposed Mortar and scoping comments should be submitted Artillery Training at Richardson and/or by having comments mailed to to the website or the address listed the mailing address provided above. Training Area, Joint Base Elmendorf- above by no later than May 11, 2020. Richardson, AK SUPPLEMENTARY INFORMATION: The EIS Adriane Paris, Acting Air Force Federal Register Liaison AGENCY: Department of the Air Force, will evaluate the potential impacts Officer. Department of Defense. associated with the proposed action, [FR Doc. 2020–06741 Filed 3–31–20; 8:45 am] ACTION: Amended Notice of Intent. which includes indirect live-fire training during all-seasons at Eagle BILLING CODE 5001–10–P SUMMARY: The U.S. Air Force (USAF) River Flats (ERF) Impact Area on JBER, and the U.S. Army, acting as a a military base in Alaska, in order to Cooperating Agency, are issuing this meet Army training standards. The DEPARTMENT OF DEFENSE proposed action also includes Amended Notice of Intent, updating the Department of the Air Force original notice published on March 16, expansion of ERF impact area by 2020 (Federal Register, Vol. 85., No. 51, approximately 585 acres. In addition, Notice of Availability of Software and 14928) of their continuing intent to the EIS will evaluate an action Documentation for Licensing prepare an Environmental Impact alternative that would marginally meet Statement (EIS) to assess the potential Army training standards, and would not AGENCY: Department of the Air Force, social, economic, and environmental include expansion of the ERF impact Department of Defense.

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ACTION: Notice of availability. ACTION: Notice of intent. SUPPLEMENTARY INFORMATION: a. Proposed Action: USACE is SUMMARY: The U.S. Army Corps of SUMMARY: The U.S. Air Force is issuing preparing a Supplemental Engineers (USACE), Sacramento this notice of availability of Environmental Impact Statement (SEIS)/ TM District, and the Central Valley Flood HINDSIGHT software and related Supplemental Environmental Impact Protection Board is preparing a Draft documentation for enabling event-based Report (SEIR) to analyze environmental Supplemental Environmental Impact tagging, multi-source audio archiving, impacts of the authorized Sacramento Statement/Environmental Impact Report POV video capturing, and user interface Weir Widening component of the larger (Draft Supplemental EIS/EIR) for the utilization tracking by supporting on- ARCF 2016 levee improvement project. Sacramento Weir widening component demand, mobile mission recording, and The Proposed Action includes a passive of the American River Watershed debriefing capability. weir with a sill elevation of 26 feet Common Features (ARCF) Levee ADDRESSES: For information on above the North American Vertical Improvement Project authorized by the licensing, contact the Office of Research Datum of 1988 (NAVD88). Water Resources Development Act of and Technology Applications, 711 b. Alternatives. In addition to the HPW/XPO, 2610 Seventh Street, Wright 2016. This Draft Supplemental EIS/EIR supplements the ARCF General Proposed Action, the supplemental EIS Patterson AFB, OH 45433; Facsimile: will address two alternatives. One (937) 656–7959. For further information Reevaluation Report (GRR) Final EIS/ EIR. The Proposed Action includes alternative would affix horizontal stop contact Dr. James D. Kearns at 937–255– logs to the top of the passive weir sill, 3765. constructing a 1,500-foot-long passive weir, with associated levee, roadway, with a top elevation of 29.2 feet SUPPLEMENTARY INFORMATION: The rail bridge, and fish passage NAVD88, similar to the elevation of the TM HINDSIGHT software suite includes improvements adjacent to the existing top of the gates of the existing Android source code, external comms Sacramento Weir at the junction of the Sacramento Weir. The other alternative diagram, and documentation. The Sacramento River and Sacramento is the required No Action Alternative. TM HINDSIGHT application is built on Bypass. Conceptual components of the c. Scoping Process. an extensible software framework to Proposed Action were analyzed in the 1. USACE will seek comments on the facilitate ease of integration with new ARCF GRR Final EIS/EIR but some draft SEIS/SEIR from concerned wireless audio/video capturing elements of the Proposed Action individuals and local, State, and Federal peripherals and associated wearable (passive weir design and fish passage agencies. A public scoping meeting will TM devices. HINDSIGHT has the unique structure) were not analyzed in the be held in the form of a teleconference attribute of being designed, ab initio, ARCF GRR Final EIS/EIR because final and/or webinar in April 2020. Exact with the idea of enabling a single designs are still in progress. USACE has date, time, registration details, operator to capture in real-time now developed two alternative project additional information, and any customizable inputs sources to archive designs in sufficient detail to analyze schedule changes will be announced mission execution. Organizations their environmental effects: A passive online at: http:// involved with on-the-move data weir structure with a crest elevation at www.sacleveeupgrades.com. gathering operations, development, 26 feet on the North American Vertical 2. Significant topics analyzed in the testing, and training could benefit from Datum of 1988 (NAVD88) (the Proposed TM. SEIS include anticipated project effects the use of HINDSIGHT Action), and a passive weir structure on visual resources, air quality, TM The HINDSIGHT software suite has with a crest elevation at 26 feet vegetation and wildlife, special-status been utilized in thousands of hours of NAVD88, with stop logs to raise the plants and terrestrial wildlife species, live dismounted missions across a crest elevation to 29.8 feet NAVD88 (the fisheries, climate change, cultural variety of Air Force, Army, Navy, and Higher Weir Elevation Alternative). resources, geological resources, Marines activities ranging from close air Both design alternatives would reduce hazardous wastes and materials, support to medical training objectives. the flood risk in and around the cities hydrology and hydraulics, water quality Adriane Paris, of Sacramento and West Sacramento by and groundwater resources, noise, Acting Air Force Federal Register Liaison conveying additional Sacramento River recreation, transportation and Officer. flow during flood events into the circulation, and public utilities and [FR Doc. 2020–06735 Filed 3–31–20; 8:45 am] Sacramento and Yolo Bypasses. service systems; and cumulative effects BILLING CODE 5001–10–P DATES: Written comments regarding the of related projects in the study area. scope of the environmental analysis 3. USACE is consulting with the State should be received by April 20, 2020. Historic Preservation Officer to comply DEPARTMENT OF DEFENSE ADDRESSES: Please send written with the National Historic Preservation comments concerning the Draft Act, and the National Marine Fisheries Department of the Army, Corps of Supplemental EIS/EIR to Mr. Robert Service and the U.S. Fish and Wildlife Engineers Chase, U.S. Army Corps of Engineers, Service to comply with the Endangered Sacramento District, Attn: Planning Species Act. Notice of Intent To Prepare a Draft Division (CESPK–PDR), 1325 J Street, 4. After publication of the draft SEIS Supplemental Environmental Impact Sacramento, CA 95814. Requests to be a 45-day public review period will be Statement/Environmental Impact added to the mailing list should also be provided for individuals and agencies to Report for the Sacramento Weir sent to this address. review and comment on the draft Component (Yolo County, California) document. Interested parties are of the American River Watershed FOR FURTHER INFORMATION CONTACT: encouraged to respond to this notice Common Features Project, as Questions about the Proposed Action and provide a current address if they Authorized Under the Water Resources and EIS/EIR should be addressed to wish to be notified of the draft SEIS Development Act of 2016 Robert Chase at (916) 557–7630, [email protected], or by circulation. AGENCY: Department of the Army, U.S. mail (1325 J Street, Sacramento, CA d. Availability. The draft SEIS/SEIR is Army Corps of Engineers, DoD. 95814). scheduled to be available for public

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review and comment by approximately construction of a new Dike 3, use of Lake would lower risk. This measure May 12, 2020. onsite borrow and multiple disposal also maintains flood protection by locations including MIAD West and leaving the existing Dike 3 in place Kimberly M. Colloton, South and potential off-site locations, while the new Dike 3 is constructed. Brigadier General, U.S. Army, Commanding. use of a rock crushing plant at MIAD Borrow and Disposal: Some of the [FR Doc. 2020–06812 Filed 3–31–20; 8:45 am] East, use of on-site concrete batch plants material for raising Dikes 1 through 6 BILLING CODE 3720–58–P for the Right Wing Dam and Left Wing and MIAD would come from onsite Dam, and a detailed comprehensive sources at MIAD West and South and plan for mitigation and restoration upon other possible locations. Disposal DEPARTMENT OF DEFENSE completion of construction. The flood materials from construction would be risk management components of the deposited onsite at MIAD West and Department of the Army, Army Corps South and other possible locations once of Engineers Project will enhance the utilization of the existing surcharge flood storage borrow is complete. The remainder of Notice of Intent To Prepare a Draft space (temporary water storage space the borrow materials would come from, Supplemental Joint Environmental utilized during low-frequency flood and any additional disposal would be Impact Statement/Environmental events), and will increase the surcharge hauled to, commercial sites up to 30 Impact Report for the 2007 Folsom flood storage capacity of the reservoir. miles away. Rock Crushing Plant at MIAD East: Dam Safety and Flood Damage DATES: Written comments regarding the Placing a rock crushing plant at MIAD Reduction Environmental Impact scope of the environmental analysis East to utilize the existing riprap Statement/Environmental Impact should be received by May 8, 2020. stockpile will allow for the crushed Report ADDRESSES: Written comments and material to be used for various portions suggestions concerning this Project and AGENCY: Department of the Army, U.S. of the 3.5 foot raise of Dikes 1 through requests to be included on the Project 6, the Left and Right Wing Dams, and Army Corps of Engineers; DOD. mailing list may be submitted to Bert ACTION: Notice of intent. MIAD. Skillen, U.S. Army Corps of Engineers, Onsite Concrete Batch Plants for the SUMMARY: The U.S. Army Corps of Sacramento District, Attn: Right and Left Wing Dam Raises: Engineers, Sacramento District (USACE) Environmental Analysis Section Producing concrete onsite will reduced intends to prepare a Draft Supplemental (CESPK–PDR–A), 1325 J Street, costs and other impacts for hauling the Joint Environmental Impact Statement/ Sacramento, CA 95814. large quantities of concrete. This will Environmental Impact Report (EIS/EIR) FOR FURTHER INFORMATION CONTACT: Bert also aid constructability given the for the 2007 Folsom Dam Safety and Skillen via telephone at (916) 557–7330, limited on-site access for equipment and _ Flood Damage Reduction EIS/EIR (2007 email at Folsom-Dam Raise@ materials. EIS/EIR) and the 2017 Folsom Dam usace.army.mil, or mail at (see Plan for Mitigation and Restoration: Raise Project Final Supplemental ADDRESSES). Study information will also Including a comprehensive plan for Environmental Impact Statement/ be posted periodically on the internet at: mitigation and restoration of sites Environmental Impact Report (2017 https://www.spk.usace.army.mil/ affected by the Folsom Dam Raise in SEIS/EIR). USACE will serve as lead Missions/Civil-Works/Folsom-Dam- this SEIS/EIR will alleviate the need for National Environmental Policy Act Raise/. an additional SEIS/EIR in the future. (NEPA) agency and the Central Valley SUPPLEMENTARY INFORMATION: Although some information concerning Flood Protection Board (CVFPB) will 1. Proposed Action. The Corps is mitigation and restoration was included serve as lead agency for compliance preparing a Draft Supplemental Joint in the 2017 Folsom Dam Raise Final with the California Environmental EIS/EIR to analyze a single Project SEIS/EIR, that document cited the need Quality Act (CEQA). The Folsom Dam alternative with multiple measures to for additional planning once the design Safety and Flood Damage Reduction improve flood risk management along of the Folsom Dam Raise was closer to Project (hereafter referred to as the the American River. The no-action completion. Project) was originally authorized in the alternative would be to follow the 3. Scoping Process. 2004 Energy and Water Development actions outlined in the 2017 Folsom a. A public scoping meeting will be Appropriations Act (EWDAA) and was Dam Raise Final SEIS/EIR. The held in the form of a teleconference later reauthorized in the 2007 Water measures of the single alternative and/or webinar to present an overview Resources Development Act (WRDA). proposed include constructing a new of the Folsom Dam Raise, the proposed The Project is authorized for four Dike 3 approximately 80 feet closer to alternative, and the EIS/EIR process, components: the lake than the existing Dike 3, onsite and to afford all interested parties an (1) Emergency spillway gate borrow and disposal at MIAD West and opportunity to comment on the scope of modifications. South, a rock crushing plant at MIAD analysis and potential alternatives. The (2) Raising the right and left wings of East, concrete batch plants for the Right public scoping webinar will be held in the main dam, Mormon Island Auxiliary Wing Dam and Left Wing Dam, and a April, 2020. Exact date, time, Dam (MIAD), and the reservoir Dikes 1 comprehensive plan for mitigation and registration details, additional through 8 by 3.5 feet. restoration upon completion of information, and any schedule changes (3) Temperature control shutter construction. The Project would will be announced online at: https:// automation and reconfiguration. improve flood risk management while www.spk.usace.army.mil/Missions/ (4) Downstream ecosystem restoration also addressing certain dam safety Civil-Works/Folsom-Dam-Raise/. of Bushy Lake and Woodlake. issues associated with passing the b. Potentially significant issues to be This Draft Supplemental Joint EIS/EIR probable maximum flood. analyzed in depth in the Draft will address components of the 2. Measures. The following measures Supplemental Joint EIS/EIR will authorized Project not previously may be considered as part of the include: impacts to water quality, air addressed in the 2017 Folsom Dam alternatives analysis: quality, climate change, special status Raise Project Final SEIS/EIR. Dike 3 Raise: Constructing a new Dike species, terrestrial vegetation and Specifically, these components include 3 approximately 80 feet closer to Folsom wildlife, recreation, traffic and

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circulation, noise, aesthetic and visual activities, please contact Sarah require SEAs to submit the information resources, and cultural resources. The Martinez, 202–260–1334. collected to the Department, with the document will also evaluate cumulative SUPPLEMENTARY INFORMATION: The exception of the provisions under 34 effects. Department of Education (ED), in CFR 200.89(b). c. USACE will consult with the U.S. accordance with the Paperwork Fish and Wildlife Service to comply There is one additional MEP Reduction Act of 1995 (PRA) (44 U.S.C. regulatory section, 34 CFR 200.85, with the Endangered Species Act and 3506(c)(2)(A)), provides the general the Fish and Wildlife Coordination Act. which contains information collection public and Federal agencies with an requirements. Those information USACE will also consult with the State opportunity to comment on proposed, Historic Preservation Officer and Native collection requirements, which pertain revised, and continuing collections of to the Migrant Student Information American Tribes to comply with the information. This helps the Department Exchange (MSIX), are covered by OMB National Historic Preservation Act. assess the impact of its information d. A 45-day public review period will No. 1810–0683. collection requirements and minimize be provided for individuals, interested the public’s reporting burden. It also Dated: March 27, 2020. parties, and agencies to review and helps the public understand the comment on the Draft Supplemental Kate Mullan, Department’s information collection Joint EIS/EIR. All interested parties are PRA Coordinator, Strategic Collections and requirements and provide the requested encouraged to respond to this notice Clearance, Governance and Strategy Division, data in the desired format. ED is and provide a current address if they Office of Chief Data Officer. soliciting comments on the proposed wish to be notified of the Draft [FR Doc. 2020–06778 Filed 3–31–20; 8:45 am] information collection request (ICR) that Supplemental Joint EIS/EIR circulation. BILLING CODE 4000–01–P 4. Availability. The Draft is described below. The Department of Supplemental Joint EIS/EIR is Education is especially interested in scheduled to be available for public public comment addressing the review and comment in summer 2020. following issues: (1) Is this collection DEPARTMENT OF ENERGY necessary to the proper functions of the Kimberly M. Colloton, Department; (2) will this information be National Nuclear Security Brigadier General, U.S. Army, Commanding processed and used in a timely manner; Administration . (3) is the estimate of burden accurate; [FR Doc. 2020–06811 Filed 3–31–20; 8:45 am] (4) how might the Department enhance Defense Programs Advisory BILLING CODE 3720–58–P the quality, utility, and clarity of the Committee information to be collected; and (5) how might the Department minimize the AGENCY: Office of Defense Programs, DEPARTMENT OF EDUCATION burden of this collection on the National Nuclear Security respondents, including through the use [Docket No. ED–2020–SCC–0008] Administration, Department of Energy. of information technology. Please note ACTION: Notice of closed meeting: Agency Information Collection that written comments received in Activities; Submission to the Office of response to this notice will be Cancellation. Management and Budget for Review considered public records. and Approval; Comment Request; Title of Collection: Migrant Education SUMMARY: On February 19, 2020, the Migrant Education Program Program Regulations and Certificate of Department of Energy published a Regulations and Certificate of Eligibility. notice of closed meeting announcing a Eligibility OMB Control Number: 1810–0662. meeting on April 23, 2020 of the Type of Review: An extension of an Defense Programs Advisory Committee. AGENCY: Office of Elementary and existing information collection. This notice announces the cancellation Secondary Education (OESE), Respondents/Affected Public: State, of this meeting. Department of Education (ED). Local, and Tribal Governments; ACTION: Notice. Individuals or Households. DATES: The meeting scheduled for April Total Estimated Number of Annual 23, 2020, announced in the February 19, SUMMARY: In accordance with the Responses: 121,658. 2020, issue of the Federal Register (FR Paperwork Reduction Act of 1995, ED is Total Estimated Number of Annual Doc. 2020–03228, 85 FR 9465), is proposing an extension of an existing cancelled. information collection. Burden Hours: 228,135. Abstract: This collection of DATES: FOR FURTHER INFORMATION CONTACT: Interested persons are invited to information is necessary to collect submit comments on or before May 1, information under the Title I, Part C Rachel Barnhill, Office of RDT&E (NA– 2020. Migrant Education Program (MEP). The 11), National Nuclear Security ADDRESSES: Written comments and MEP is authorized under sections 1301– Administration, U.S. Department of recommendations for proposed 1309 of Part C of Title I of the Energy, 1000 Independence Avenue information collection requests should Elementary and Secondary Education SW, Washington, DC 20585; Phone: be sent within 30 days of publication of Act of 1965, as amended (ESEA). (202) 586–7183. this notice to www.reginfo.gov/public/ Regulations for the MEP are found at 34 Signed in Washington, DC on March 26, do/PRAMain. Find this particular CFR 200.81–200.89. This information 2020. information collection request by collection covers regulations with LaTanya Butler, selecting ‘‘Department of Education’’ information collection requirements that under ‘‘Currently Under Review,’’ then State educational agencies (SEAs) must Deputy Committee Management Officer. check ‘‘Only Show ICR for Public collect in order to properly administer [FR Doc. 2020–06746 Filed 3–31–20; 8:45 am] Comment’’ checkbox. the MEP. Specifically, the regulations in BILLING CODE 6450–01–P FOR FURTHER INFORMATION CONTACT: For 34 CFR 200.83, 200.84, 200.88, and specific questions related to collection 200.89(b)–(d). Most provisions do not

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DEPARTMENT OF ENERGY this docket on February 18, 2020, you (3) You will be asked to select the will need to file those comments in type of filing you are making; a Federal Energy Regulatory Docket No. CP20–53–000 to ensure they comment on a particular project is Commission are considered as part of this considered a Comment on a Filing; or [Docket No. CP20–53–000] proceeding. (4) You can file a paper copy of your This notice is being sent to the comments by mailing them to the National Fuel Gas Supply Corporation; Commission’s current environmental following address. Be sure to reference Notice of Intent To Prepare an mailing list for this project. State and the project docket number (CP20–53– Environmental Assessment for the local government representatives should 000) with your submission: Kimberly D. Amendment to West Side Expansion notify their constituents of this Bose, Secretary, Federal Energy and Modernization Project and proposed project and encourage them to Regulatory Commission, 888 First Street Request for Comments on comment on their areas of concern. NE, Room 1A, Washington, DC 20426. Environmental Issues National Fuel provided landowners with a fact sheet prepared by the FERC Summary of the Proposed Project The staff of the Federal Energy entitled An Interstate Natural Gas Regulatory Commission (FERC or National Fuel is requesting the Commission) will prepare an Facility On My Land? What Do I Need To Know? This fact sheet addresses a Certificate for the West Side Expansion environmental assessment (EA) that will Modernization (WSEM) Project issued discuss the environmental impacts of number of typically asked questions, including the use of eminent domain on March 2, 2015, in Docket No. CP14– the Amendment to West Side Expansion 70–000 be amended. As part of the West and Modernization Project (Project). The and how to participate in the Commission’s proceedings. It is also Side Expansion Modernization (WSEM) EA will discuss facilities that would be Project, National Fuel received operated by National Fuel Gas Supply available for viewing on the FERC website (www.ferc.gov) at https:// authorization to designate 1,775 horse Corporation (National Fuel) located in power (HP) of compression out of 7,100 Mercer County, Pennsylvania. The www.ferc.gov/resources/guides/gas/ gas.pdf. HP at the Mercer Compressor Station Commission will use this EA in its (CS) as spare compression to ensure decision-making process to determine Public Participation National Fuel’s ability to meet system whether the project is in the public The Commission offers a free service pressure requirements and to perform convenience and necessity. routine and other maintenance when This notice announces the opening of called eSubscription which makes it easy to stay informed of all issuances the system is operating at a high load the scoping process the Commission factor. In its Certificate Order, the will use to gather input from the public and submittals regarding the dockets/ projects to which you subscribe. These Commission conditioned the and interested agencies about issues authorization of the ‘‘spare’’ regarding the project. The National instant email notifications are the fastest way to receive notification and provide compression stating that ‘‘National Fuel Environmental Policy Act (NEPA) cannot, without grant of additional requires the Commission to take into a link to the document files which can reduce the amount of time you spend certificate authorization, use any of the account the environmental impacts that spare compression to satisfy could result from its action whenever it researching proceedings. To sign up go to www.ferc.gov/docs-filing/ intermittent demand for interruptible or considers the issuance of a Certificate of secondary firm service or requests for Public Convenience and Necessity esubscription.asp. For your convenience, there are three short-term firm service during (Certificate). NEPA also requires the scheduled maintenance intervals.’’ Commission to discover concerns the methods you can use to submit your public may have about proposals. This comments to the Commission. The National Fuel is now seeking process is referred to as scoping. The Commission encourages electronic filing authorization to remove the spare main goal of the scoping process is to of comments and has staff available to designation from the 1,775 HP of focus the analysis in the EA on the assist you at (866) 208–3676 or compression at its Mercer CS to important environmental issues. By this [email protected]. Please accommodate a subscribing shipper’s notice, the Commission requests public carefully follow these instructions so request to direct a portion of its firm comments on the scope of the issues to that your comments are properly transportation capacity to a different address in the EA. To ensure that your recorded. primary delivery point. comments are timely and properly (1) You can file your comments The general location of the Mercer CS recorded, please submit your comments electronically using the eComment is shown in appendix 1.1 so that the Commission receives them in feature, which is located on the Washington, DC on or before 5:00 p.m. Commission’s website (www.ferc.gov) Land Requirements for Construction Eastern Time on April 27, 2020. under the link to Documents and Filings. Using eComment is an easy The reclassification of the Mercer CS You can make a difference by spare compression would not require submitting your specific comments or method for submitting brief, text-only comments on a project; the use of any new lands. No concerns regarding the project. Your construction would be required and no (2) You can file your comments comments should focus on the potential areas outside the compressor building electronically by using the eFiling environmental effects, reasonable would be disturbed. alternatives, and measures to avoid or feature, which is located on the lessen environmental impacts. Your Commission’s website (www.ferc.gov) 1 The appendices referenced in this notice will input will help the Commission staff under the link to Documents and not appear in the Federal Register. Copies of determine what issues they need to Filings. With eFiling, you can provide appendices were sent to all those receiving this evaluate in the EA. Commission staff comments in a variety of formats by notice in the mail and are available at www.ferc.gov will consider all filed comments during attaching them as a file with your using the link called eLibrary or from the Commission’s Public Reference Room, 888 First the preparation of the EA. submission. New eFiling users must first Street NE, Washington, DC 20426, or call (202) 502– If you sent comments on this project create an account by clicking on 8371. For instructions on connecting to eLibrary, to the Commission before the opening of eRegister. refer to the last page of this notice.

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The EA Process The EA for this project will document documents issued by the Commission, As stated above, the reclassification of findings on the impacts on historic such as orders, notices, and the spare HP at the Mercer CS would properties and summarize the status of rulemakings. occur within the existing compressor consultations under section 106. Public sessions or site visits will be posted on the Commission’s calendar building and would not involve any Currently Identified Environmental located at www.ferc.gov/EventCalendar/ land disturbance. The EA will discuss Issues impacts that could occur as a result of EventsList.aspx along with other related the construction and operation of the Commission staff has not identified information. proposed project. any environmental concerns with the Dated: March 26, 2020. proposal at this time but will use your Commission staff will also evaluate Nathaniel J. Davis, Sr., reasonable alternatives to the proposed comments to determine if any exist. This will inform our analysis in the EA. Deputy Secretary. project or portions of the project and [FR Doc. 2020–06763 Filed 3–31–20; 8:45 am] make recommendations on how to Environmental Mailing List BILLING CODE 6717–01–P lessen or avoid impacts on the various resource areas. The environmental mailing list includes federal, state, and local The EA will present Commission DEPARTMENT OF ENERGY staffs’ independent analysis of the government representatives and agencies; elected officials; issues. The EA will be available in Federal Energy Regulatory environmental and public interest electronic format in the public record Commission through eLibrary 2 and the groups; Native American Tribes; other Commission’s website (https:// interested parties; and local libraries [Docket No. ER20–1385–000] and newspapers. This list also includes www.ferc.gov/industries/gas/enviro/ Bluestone Farm Solar, LLC; eis.asp). If eSubscribed, you will receive all affected landowners (as defined in the Commission’s regulations) who are Supplemental Notice That Initial instant email notification when the EA Market-Based Rate Filing Includes is issued. The EA may be issued for an potential right-of-way grantors, and anyone who submits comments on the Request for Blanket Section 204 allotted public comment period. Authorization Commission staff will consider all project. Commission staff will update comments on the EA before making the environmental mailing list as the This is a supplemental notice in the recommendations to the Commission. analysis proceeds to ensure that above-referenced proceeding of To ensure Commission staff have the Commission notices related to this Bluestone Farm Solar, LLC’s application opportunity to address your comments, environmental review are sent to all for market-based rate authority, with an please carefully follow the instructions individuals, organizations, and accompanying rate tariff, noting that in the Public Participation section, government entities interested in and/or such application includes a request for beginning on page 2. potentially affected by the planned blanket authorization, under 18 CFR With this notice, the Commission is project. part 34, of future issuances of securities asking agencies with jurisdiction by law If the Commission issues the EA for and assumptions of liability. and/or special expertise with respect to an allotted public comment period, a Any person desiring to intervene or to the environmental issues of this project Notice of Availability of the EA will be protest should file with the Federal to formally cooperate in the preparation sent to the environmental mailing list Energy Regulatory Commission, 888 of the EA.3 Agencies that would like to and will provide instructions to access First Street NE, Washington, DC 20426, request cooperating agency status the electronic document on the FERC’s in accordance with Rules 211 and 214 should follow the instructions for filing website (www.ferc.gov). If you need to of the Commission’s Rules of Practice comments provided under the Public make changes to your name/address, or and Procedure (18 CFR 385.211 and Participation section of this notice. if you would like to remove your name 385.214). Anyone filing a motion to from the mailing list, please return the intervene or protest must serve a copy Consultation Under Section 106 of the attached ‘‘Mailing List Update Form’’ National Historic Preservation Act of that document on the Applicant. (appendix 2). Notice is hereby given that the In accordance with the Advisory Additional Information deadline for filing protests with regard Council on Historic Preservation’s to the applicant’s request for blanket Additional information about the implementing regulations for section authorization, under 18 CFR part 34, of project is available from the 106 of the National Historic future issuances of securities and Commission’s Office of External Affairs, Preservation Act, the Commission is assumptions of liability, is April 15, at (866) 208–FERC, or on the FERC using this notice to initiate consultation 2020. website at www.ferc.gov using the with the Pennsylvania State Historic The Commission encourages eLibrary link. Click on the eLibrary link, Preservation Office, and to solicit their electronic submission of protests and click on General Search and enter the views and those of other government interventions in lieu of paper, using the docket number in the Docket Number agencies, interested Indian tribes, and FERC Online links at http:// field, excluding the last three digits (i.e., the public on the project’s potential www.ferc.gov. To facilitate electronic 4 CP20–53). Be sure you have selected an effects on historic properties. service, persons with internet access appropriate date range. For assistance, who will eFile a document and/or be 2 please contact FERC Online Support at For instructions on connecting to eLibrary, refer listed as a contact for an intervenor to the last page of this notice. [email protected] or (866) must create and validate an 3 The Council on Environmental Quality 208–3676, or for TTY, contact (202) eRegistration account using the regulations addressing cooperating agency 502–8659. The eLibrary link also responsibilities are at Title 40, Code of Federal eRegistration link. Select the eFiling provides access to the texts of all formal Regulations, Part 1501.6. link to log on and submit the 4 The Advisory Council on Historic Preservation’s regulations are at Title 36, Code of Federal district, site, building, structure, or object included intervention or protests. Regulations, part 800. Those regulations define in or eligible for inclusion in the National Register Persons unable to file electronically historic properties as any prehistoric or historic of Historic Places. should submit an original and 5 copies

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of the intervention or protest to the DEPARTMENT OF ENERGY Description: Compliance filing CC Federal Energy Regulatory Commission, Cheyenne Connector (CP18–102) 888 First Street NE, Washington, DC Federal Energy Regulatory Implementation, Baseline, and 20426. Commission Negotiated Rates to be effective 5/25/ The filings in the above-referenced 2020. Combined Notice of Filings Filed Date: 3/25/20. proceeding are accessible in the Accession Number: 20200325–5118. Commission’s eLibrary system by Take notice that the Commission has Comments Due: 5 p.m. ET 4/6/20. clicking on the appropriate link in the received the following Natural Gas above list. They are also available for Pipeline Rate and Refund Report filings: Docket Numbers: RP20–682–000. Applicants: Rockies Express Pipeline electronic review in the Commission’s Docket Number: CP20–121–000. LLC. Public Reference Room in Washington, Applicants: Transcontinental Gas Pipe Line Company, LLC. Description: Compliance filing REX DC. There is an eSubscription link on Cheyenne Hub Enhancement (CP18– the website that enables subscribers to Description: Abbreviated Application for Abandonment of Firm 103) Implementation and Negotiated receive email notification when a Transportation Service Provided for Rates to be effective 5/25/2020. document is added to a subscribed Various Customers of Transcontinental Filed Date: 3/25/20. docket(s). For assistance with any FERC Gas Pipe Line Company, LLC. Accession Number: 20200325–5145. Online service, please email Filed Date: 3/23/2020. Comments Due: 5 p.m. ET 4/6/20. [email protected]. or call Accession Number: 20200323–5153. The filings are accessible in the (866) 208–3676 (toll free). For TTY, call Comments/Protests Due: 5 p.m. Commission’s eLibrary system by (202) 502–8659. ET 4/13/2020. clicking on the links or querying the Dated: March 26, 2020. Docket Number: CP20–122–000. docket number. Nathaniel J. Davis, Sr., Applicants: Transcontinental Gas Any person desiring to intervene or Pipe Line Company, LLC. Deputy Secretary. protest in any of the above proceedings Description: Abbreviated Application [FR Doc. 2020–06758 Filed 3–31–20; 8:45 am] must file in accordance with Rules 211 for Abandonment of Firm and 214 of the Commission’s BILLING CODE 6717–01–P Transportation Service of Regulations (18 CFR 385.211 and Transcontinental Gas Pipe Line 385.214) on or before 5:00 p.m. Eastern Company, LLC. DEPARTMENT OF ENERGY time on the specified date(s). Protests Filed Date: 3/23/2020. may be considered, but intervention is Accession Number: 20200323–5162. necessary to become a party to the Federal Energy Regulatory Comments/Protests Due: 5 p.m. Commission proceeding. ET 4/13/2020. eFiling is encouraged. More detailed Docket Number: PR20–46–000. information relating to filing [Project No. 7189–014] Applicants: AMP Intrastate Pipeline, requirements, interventions, protests, LLC. service, and qualifying facilities filings Green Lake Water Power Company; Description: Tariff filing per can be found at: http://www.ferc.gov/ Notice of Cancellation of Dispute 284.123(b), (e)/: AMP Intrastate docs-filing/efiling/filing-req.pdf. For Resolution Panel Meeting and Pipeline, LLC. Baseline SOC Filing to be other information, call (866) 208–3676 Technical Conference effective 2/24/2020. (toll free). For TTY, call (202) 502–8659. Filed Date: 3/23/2020. The technical conference scheduled Accession Number: 202003235057. Dated: March 26, 2020. to occur via teleconference on Monday, Comments/Protests Due: 5 p.m. Nathaniel J. Davis, Sr., March 30, 2020, regarding the dispute ET 4/13/2020. Deputy Secretary. resolution panel for the Green Lake Docket Number: PR20–34–001. [FR Doc. 2020–06757 Filed 3–31–20; 8:45 am] Hydroelectric Project (project) is Applicants: Interstate Power and BILLING CODE 6717–01–P cancelled. On March 26, 2020, the Light Company. National Marine Fisheries Service filed Description: Tariff filing per a letter withdrawing its study dispute 284.123(b), (e)/: Amendment to IPL DEPARTMENT OF ENERGY Revised Statement of Operating that was filed on February 25, 2020. The Federal Energy Regulatory Conditions to be effective 2/7/2020. technical conference is therefore being Commission cancelled due to the withdrawal of the Filed Date: 3/24/2020. study dispute. The three-person dispute Accession Number: 202003245145. Combined Notice of Filings #1 resolution panel formed pursuant to 18 Comments/Protests Due: 5 p.m. ET 4/14/2020. CFR 5.14(d) on March 9, 2020, by Take notice that the Commission Commission staff, in response to the Docket Numbers: RP20–680–000. received the following electric rate filings: filing of a notice of study dispute is Applicants: WBI Energy Transmission, Inc. Docket Numbers: ER20–1167–001. hereby disbanded. Description: § 4(d) Rate Filing: 2020 Applicants: Midcontinent Dated: March 26, 2020. Non-conforming & Negotiated Service Independent System Operator, Inc., Nathaniel J. Davis, Sr., Agreement—Kentex to be effective 4/1/ Republic Transmission, LLC. Deputy Secretary. 2020. Description: Tariff Amendment: _ [FR Doc. 2020–06764 Filed 3–31–20; 8:45 am] Filed Date: 3/25/20. 2020–03–26 Republic Transmission Accession Number: 20200325–5044. Amendment Filing to be effective 12/31/ BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 4/6/20. 9998. Docket Numbers: RP20–681–000. Filed Date: 3/26/20. Applicants: Cheyenne Connector, Accession Number: 20200326–5134. LLC. Comments Due: 5 p.m. ET 4/16/20.

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Docket Numbers: ER20–1383–000. Comments Due: 5 p.m. ET 4/15/20. Applicants: Rumford ESS, LLC. Applicants: PECO Energy Company, Docket Numbers: ER20–1391–000. Description: Baseline eTariff Filing: PJM Interconnection, L.L.C. Applicants: Tri-State Generation and Rumford ESS, LLC to be effective 5/25/ Description: § 205(d) Rate Filing: Transmission Association, Inc. 2020. PECO submits Revisions to Att. H–7A Description: Tariff Cancellation: Filed Date: 3/26/20. re: Depreciation and Amortization Rates Notice of Cancellation of Rate Schedules Accession Number: 20200326–5196. to be effective 5/29/2020. FERC No. 160, No. 161 and No. 162 to Comments Due: 5 p.m. ET 4/16/20. Filed Date: 3/25/20. be effective 1/31/2020. Take notice that the Commission Accession Number: 20200325–5152. Filed Date: 3/25/20. received the following electric Comments Due: 5 p.m. ET 4/15/20. Accession Number: 20200325–5202. reliability filings. Docket Numbers: ER20–1384–000. Comments Due: 5 p.m. ET 4/15/20. Docket Numbers: RD20–7–000. Applicants: Florida Power & Light Docket Numbers: ER20–1393–000. Applicants: North American Electric Company. Applicants: Niagara Mohawk Power Reliability Corporation. Description: Compliance filing: FPL Corporation, New York Independent Description: Petition of the North Order No. 845 & 845–A Further System Operator, Inc. American Electric Reliability Compliance Filing to be effective 5/22/ Description: Tariff Cancellation: Corporation for Approval of Proposed 2019. Notice of cancellation for IA between Reliability Standard PRC–024–3. Filed Date: 3/25/20. NMPC and Covanta Niagara LLC to be Filed Date: 3/20/20. Accession Number: 20200325–5154. effective 5/26/2020. Accession Number: 20200320–5322. Comments Due: 5 p.m. ET 4/15/20. Filed Date: 3/26/20. Comments Due: 5 p.m. ET 4/20/20. Docket Numbers: ER20–1385–000. Accession Number: 20200326–5086. The filings are accessible in the Applicants: Bluestone Farm Solar, Comments Due: 5 p.m. ET 4/16/20. Commission’s eLibrary system by LLC. Docket Numbers: ER20–1394–000. clicking on the links or querying the Description: Baseline eTariff Filing: Applicants: Alliant Energy Corporate docket number. Application for Market-Based Rate Services, Inc. Any person desiring to intervene or Authorization, Request for Related Description: § 205(d) Rate Filing: protest in any of the above proceedings Waivers to be effective 5/25/2020. AECS Schedule 2 Update to be effective must file in accordance with Rules 211 Filed Date: 3/25/20. 5/31/2020. and 214 of the Commission’s Accession Number: 20200325–5156. Filed Date: 3/26/20. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 4/15/20. Accession Number: 20200326–5122. 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Docket Numbers: ER20–1387–000. Comments Due: 5 p.m. ET 4/16/20. Protests may be considered, but Applicants: Silver Run Electric, LLC, Docket Numbers: ER20–1395–000. intervention is necessary to become a PJM Interconnection, L.L.C. Applicants: ND OTM LLC. party to the proceeding. Description: § 205(d) Rate Filing: Description: Baseline eTariff Filing: eFiling is encouraged. More detailed Silver Run Electric, LLC submits Application For Market Based Rate information relating to filing Revisions to OATT, Att. H–27A and H– Authority to be effective 5/25/2020. requirements, interventions, protests, 27B to be effective 5/25/2020. Filed Date: 3/26/20. service, and qualifying facilities filings Filed Date: 3/25/20. Accession Number: 20200326–5128. can be found at: http://www.ferc.gov/ Accession Number: 20200325–5176. Comments Due: 5 p.m. ET 4/16/20. docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 4/15/20. Docket Numbers: ER20–1396–000. other information, call (866) 208–3676 Docket Numbers: ER20–1388–000. Applicants: VETCO. (toll free). For TTY, call (202) 502–8659. Applicants: Tri-State Generation and Description: Baseline eTariff Filing: Transmission Association, Inc. Order No. 864 Compliance Filing to be Dated: March 26, 2020. Description: § 205(d) Rate Filing: Rate effective 3/26/2020. Nathaniel J. Davis, Sr., Schedule FERC No. 267 between Tri- Filed Date: 3/26/20. Deputy Secretary. State and LPEA to be effective 1/31/ Accession Number: 20200326–5148. [FR Doc. 2020–06760 Filed 3–31–20; 8:45 am] 2020. Comments Due: 5 p.m. ET 4/16/20. BILLING CODE 6717–01–P Filed Date: 3/25/20. Docket Numbers: ER20–1397–000. Accession Number: 20200325–5187. Applicants: American Transmission Comments Due: 5 p.m. ET 4/15/20. Systems, Incorporated, PJM DEPARTMENT OF ENERGY Interconnection, L.L.C. Docket Numbers: ER20–1389–000. Federal Energy Regulatory Description: § 205(d) Rate Filing: Applicants: Tri-State Generation and Commission Transmission Association, Inc. Delmarva submits Interconnection Description: Tariff Cancellation: Agreement SA No. 5544 to be effective [Docket No. CP18–90–000] Notice of Cancellation of Rate Schedule 4/28/2020. FERC No. 82 to be effective 1/31/2020. Filed Date: 3/26/20. Transcontinental Gas Pipe Line Filed Date: 3/25/20. Accession Number: 20200326–5182. Company, LLC; Notice of Extension of Accession Number: 20200325–5194. Comments Due: 5 p.m. ET 4/16/20. Time Request Comments Due: 5 p.m. ET 4/15/20. Docket Numbers: ER20–1398–000. Take notice that on March 23, 2020, Docket Numbers: ER20–1390–000. Applicants: Ocean State BTM, LLC. Transcontinental Gas Pipe Line Applicants: Tri-State Generation and Description: Baseline eTariff Filing: Company, LLC (Transco) requested that Transmission Association, Inc. Ocean State BTM, LLC MBR Tariff the Federal Energy Regulatory Description: Tariff Cancellation: Filing to be effective 5/25/2020. Commission (Commission) grant an Notice of Cancellation of Rate Schedule Filed Date: 3/26/20. extension of time, until September 30, FERC No. 132 to be effective 1/31/2020. Accession Number: 20200326–5189. 2021, to complete the abandonment in Filed Date: 3/25/20. Comments Due: 5 p.m. ET 4/16/20. place of approximately 26.55 miles of Accession Number: 20200325–5198. Docket Numbers: ER20–1399–000. 20-inch-diameter gathering pipeline and

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appurtenances in offshore waters of properly found the project to be in the Science Advisory Board (SAB) and four Texas (Project), as authorized in the public convenience or necessity and SAB standing committees described in April 17, 2018 Order Amending whether the Commission’s this notice. Appointments will be Abandonment Authorization 1 (April 17 environmental analysis for the announced by the Administrator and are Order). The April 17 Order required certificate complied with the National anticipated to be filled by the start of Transco to complete the authorized Environmental Policy Act.4 At the time Fiscal Year 2021 (October 2020). abandonment within two years of the a pipeline requests an extension of time, DATES: Nominations should be Order date. orders on certificates of public submitted in time to arrive no later than Transco states that the offshore convenience and/or necessity are final May 1, 2020. construction window generally runs and the Commission will not re-litigate SUPPLEMENTARY INFORMATION: from May 1st through September 30th of their issuance. The OEP Director, or his Background: The SAB is a chartered each year allowing for a very limited or her designee, will act on all of those Federal Advisory Committee, window to safely complete activities extension requests that are uncontested. established in 1978, under the authority offshore. Transco asserts that it The extension request is available for of the Environmental Research, identified and addressed integrity issues review at the Commission in the Public Development and Demonstration downstream of the Project in 2018. Reference Room or may be viewed on Authorization Act (ERDDAA), codified Transco affirms that it started the the Commission’s website web at http:// at 42 U.S.C. 4365, to provide abandonment work in 2019 but did not www.ferc.gov using the ‘‘eLibrary’’ link. independent scientific and technical complete all the required work before Enter the docket number excluding the peer review, consultation, advice and the 2019 offshore construction window last three digits in the docket number recommendations to the EPA closed. Transco proposes to finish the field to access the document. For remaining work required to abandon the Administrator. Members of the SAB assistance, contact FERC at constitute distinguished bodies of non- Project facilities, including the cutting [email protected] or call and removing of the tube turn at the EPA scientists, engineers, and toll-free, (886) 208–3676 or TYY, (202) economists who are nationally and base of the riser on the Brazos Area 133 502–8659. A platform, during the 2020 offshore internationally recognized experts in The Commission strongly encourages their respective fields. Members are construction window. electronic filings of comments, protests This notice establishes a 15-calendar appointed by the EPA Administrator for and interventions in lieu of paper using a three-year term and serve as Special day intervention and comment period the ‘‘eFiling’’ link at http:// deadline. Any person wishing to Government Employees who provide www.ferc.gov. Persons unable to file independent expert advice to the comment on the extension motion may electronically should submit an original do so. No reply comments or answers agency. Additional information about and three copies of the protest or the SAB is available at http:// will be considered. If you wish to obtain intervention to the Federal Energy legal status by becoming a party to the www.epa.gov/sab. regulatory Commission, 888 First Street Expertise Sought for the SAB: The proceedings for this request, you NE, Washington, DC 20426. should, on or before the comment date chartered SAB provides scientific Comment Date: 5:00 p.m. Eastern advice to the EPA Administrator on a stated below, file a motion to intervene Time on April 9, 2020. in accordance with the requirements of variety of EPA science and research. All the Commission’s Rules of Practice and Dated: March 25, 2020. the work of SAB standing committees Procedure (18 CFR 385.214 or 385.211) Nathaniel J. Davis, Sr., and ad-hoc panels is conducted under and the Regulations under the Natural Deputy Secretary. the auspices of the chartered SAB. The Gas Act (18 CFR 157.10). However, only [FR Doc. 2020–06817 Filed 3–31–20; 8:45 am] chartered SAB reviews all SAB standing motions to intervene from entities that BILLING CODE 6717–01–P committee and ad-hoc panel draft were party to the underlying proceeding reports and determines whether each is will be accepted. of a high enough quality to deliver to As a matter of practice, the ENVIRONMENTAL PROTECTION the EPA Administrator. The SAB Staff Commission itself generally acts on AGENCY Office invites nominations to serve on requests for extensions of time to the chartered SAB in the following complete construction for NGA facilities [FRL–10007–25–OA] scientific disciplines as they relate to when such requests are contested before human health and the environment: Request for Nominations of order issuance. For those extension Analytical chemistry; benefit-cost Candidates to the EPA’s Science requests that are contested,2 the analysis; causal inference; complex Commission acting as a whole will aim Advisory Board (SAB) and SAB systems; ecological sciences and to issue an order acting on the request Standing Committees ecological assessment; economics; within 45 days.3 The Commission will AGENCY: Environmental Protection engineering; forestry; geochemistry; address all arguments relating to Agency (EPA). health sciences; hydrology; whether the applicant has demonstrated ACTION: Notice. hydrogeology; medicine; microbiology; there is good cause to grant the modeling; pediatrics; public health; risk extension. The Commission will not SUMMARY: The U.S. Environmental assessment; social, behavioral and consider arguments that re-litigate the Protection Agency (EPA) invites decision sciences; statistics; toxicology; issuance of the abandonment order, nominations of scientific experts from a epidemiology; and uncertainty analysis. including whether the Commission diverse range of disciplines to be The SAB Staff Office is especially considered for appointment to the EPA interested in scientists in the disciplines 1 Transcontinental Gas Pipe Line Company, LLC, described above who have knowledge 163 FERC ¶ 62,046 (2018). 4 Similarly, the Commission will not re-litigate and experience in air quality; 2 Contested proceedings are those where an the issuance of an NGA section 3 authorization, agricultural sciences; atmospheric intervenor disputes any material issue of the filing. including whether a proposed project is not 18 CFR 385.2201(c)(1) (2019). inconsistent with the public interest and whether sciences; benefit-cost analysis; complex 3 Algonquin Gas Transmission, LLC, 170 FERC the Commission’s environmental analysis for the systems; drinking water; energy and the ¶ 61,144, at P 40 (2020). permit order complied with NEPA. environment; epidemiology; dose-

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response, exposure, and physiologically EPA’s national drinking water program. self-nominate. Nominations should be based pharmacokinetic (PBPK) The SAB Staff Office is seeking submitted in electronic format modeling; water quality; water quantity nominations of experts with experience (preferred) using the online nomination and reuse; ecosystem services; on drinking water issues. Members form under the ‘‘Nomination of Experts’’ community environmental health; should have expertise in one or more of category at the bottom of the SAB home sustainability; and waste management. the following disciplines: page at http://www.epa.gov/sab. To be For further information about the Environmental engineering; considered, all nominations should chartered SAB membership epidemiology; microbiology; public include the information requested appointment process and schedule, health; toxicology, including new and below. EPA values and welcomes please contact Dr. Thomas Armitage, emerging contaminants; uncertainty diversity. All qualified candidates are DFO, by telephone at (202) 564–2155 or analysis; and risk assessment. For encouraged to apply regardless of by email at [email protected]. further information about the DWC gender, race, disability or ethnicity. The SAB Staff Office is also seeking membership appointment process and Nominators are asked to identify the nominations of experts for possible schedule, please contact Dr. Bryan specific committee for which nominee vacancies on four SAB standing Bloomer, DFO, by telephone at (202) is to be considered. The following committees: The Agricultural Science 564–4222 or by email at bloomer.bryan@ information should be provided on the Committee, the Chemical Assessment epa.gov. nomination form: Contact information Advisory Committee; the Drinking (4) The Radiation Advisory for the person making the nomination; Water Committee; and the Radiation Committee (RAC) provides advice on contact information for the nominee; the Advisory Committee. radiation protection, radiation science, disciplinary and specific areas of (1) The SAB Agricultural Science and radiation risk assessment. The SAB expertise of the nominee; the nominee’s Committee (ASC) provides advice to the Staff Office invites the nomination of curriculum vitae; and a biographical chartered SAB on matters that have experts to serve on the RAC with sketch of the nominee indicating current been determined to have a significant demonstrated expertise in the following position, educational background; direct impact on farming and disciplines: Radiation carcinogenesis; research activities; sources of research agriculture-related industries. The SAB radiochemistry; radiation dosimetry; funding for the last two years; and Staff Office invites the nomination of radiation epidemiology; radiation recent service on other national scientists with expertise in one or more exposure; radiation health and safety; advisory committees or national of the following disciplines: radiological risk assessment; professional organizations. To help the Agricultural science; agricultural uncertainty analysis; and radionuclide agency evaluate the effectiveness of its economics, including the valuation of fate and transport. For further outreach efforts, please indicate how ecosystem goods and services; information about the RAC membership you learned of this nomination agricultural chemistry; agricultural appointment process and schedule, opportunity. Persons having questions engineering; agronomy and soil science; please contact Dr. Diana Wong, DFO, by about the nomination process or the animal science; aquaculture science; telephone at (202) 564–2049 or by email public comment process described biofuel engineering; biotechnology; crop at [email protected]. below, or who are unable to submit science and phytopathology; Selection Criteria for the SAB and the nominations through the SAB website, environmental chemistry; forestry; and SAB Standing Committees includes: should contact the DFO for the hydrology. For further information about committee, as identified above. The the ASC membership appointment —Demonstrated scientific credentials DFO will acknowledge receipt of process and schedule, please contact Dr. and disciplinary expertise in relevant nominations and in that Shaunta Hill-Hammond, DFO, by fields; acknowledgement, will invite the telephone at (202) 564–3343 or by email —Willingness to commit time to the nominee to provide any additional at [email protected]. committee and demonstrated ability information that the nominee feels (2) The SAB Chemical Assessment to work constructively and effectively would be useful in considering the Advisory Committee (CAAC) provides on committees; nomination, such as availability to advice through the chartered SAB —Background and experiences that participate as a member of the regarding selected toxicological reviews would help members contribute to the committee; how the nominee’s of environmental chemicals. The SAB diversity of perspectives on the background, skills and experience Staff Office invites the nomination of committee, e.g., geographical, social, would contribute to the diversity of the scientists with experience in chemical cultural, educational backgrounds, committee; and any questions the assessments and expertise in one or professional affiliations; and other nominee has regarding membership. more of the following disciplines: considerations; and The names and biosketches of qualified Toxicology, including, developmental/ —For the committee as a whole, the nominees identified by respondents to reproductive toxicology, and inhalation collective breadth and depth of this Federal Register notice, and any toxicology; carcinogenesis; dose- scientific expertise is considered. additional experts identified by the SAB response, exposure, and physiologically As the SAB and its standing Staff Office, will be posted in a List of based pharmacokinetic (PBPK) committees and ad-hoc panels Candidates on the SAB website at modeling; biostatistics; uncertainty undertake specific advisory activities, http://www.epa.gov/sab. Public analysis; epidemiology and risk the SAB Staff Office will consider two comments on each List of Candidates assessment. For further information additional criteria for each new activity: will be accepted for 21 days from the about the CAAC membership Absence of financial conflicts of interest date the list is posted. The public will appointment process and schedule, and absence of an appearance of a loss be requested to provide relevant please contact Dr. Suhair Shallal, DFO, of impartiality. information or other documentation on by telephone at (202) 564–2057 or by How to Submit Nominations: Any nominees that the SAB Staff Office email at [email protected]. interested person or organization may should consider in evaluating (3) The SAB Drinking Water nominate qualified persons to be candidates. Committee (DWC) provides advice on considered for appointment to these Candidates invited to serve will be the scientific and technical aspects of advisory committees. Individuals may asked to submit the ‘‘Confidential

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Financial Disclosure Form for Special their applications. Pursuant to conservative credit values established Government Employees Serving on applicable regulations, EPA is making by EPA for a wide range of technologies, Federal Advisory Committees at the these off-cycle credit calculation with minimal data submittal or testing U.S. Environmental Protection Agency’’ methodologies available for public requirements, if the technologies meet (EPA Form 3110–48). This confidential comment. EPA regulatory definitions. In cases form allows EPA to determine whether DATES: Comments must be received on where the off-cycle technology is not on there is a statutory conflict between that or before May 1, 2020. the menu but additional laboratory testing can demonstrate emission person’s public responsibilities as a ADDRESSES: Submit your comments, benefits, a second pathway allows Special Government Employee and identified by Docket ID No. EPA–HQ– manufacturers to use a broader array of private interests and activities, or the OAR–2019–0333, to the Federal emission tests (known as ‘‘5-cycle’’ appearance of a loss of impartiality, as eRulemaking Portal: http:// defined by Federal regulation. The form www.regulations.gov. Follow the online testing because the methodology uses may be viewed and downloaded instructions for submitting comments. five different testing procedures) to through the ‘‘Ethics Requirements for demonstrate and justify off-cycle CO2 Once submitted, comments cannot be 2 Advisors’’ link on the SAB home page edited or withdrawn. The EPA may credits. The additional emission tests at http://www.epa.gov/sab. This form publish any comment received to its allow emission benefits to be should not be submitted as part of a public docket. Do not submit demonstrated over some elements of nomination. electronically any information you real-world driving not adequately consider to be Confidential Business captured by the GHG compliance tests, V. Khanna Johnston, including high speeds, hard Deputy Director, EPA Science Advisory Board Information (CBI) or other information whose disclosure is restricted by statute. accelerations, and cold temperatures. Staff Office. These first two methodologies were [FR Doc. 2020–06660 Filed 3–31–20; 8:45 am] Multimedia submissions (audio, video, etc.) must be accompanied by a written completely defined through notice and BILLING CODE 6560–50–P comment. The written comment is comment rulemaking and therefore no considered the official comment and additional process is necessary for should include discussion of all points manufacturers to use these methods. ENVIRONMENTAL PROTECTION The third and last pathway allows AGENCY you wish to make. The EPA will generally not consider comments or manufacturers to seek EPA approval to [EPA–HQ– OAR–2019–0333; FRL–10007– comment contents located outside of the use an alternative methodology for 3 19–OAR] primary submission (i.e. on the web, determining the off-cycle CO2 credits. This option is only available if the Alternative Methods for Calculating cloud, or other file sharing system). For additional submission methods, the full benefit of the technology cannot be Off-Cycle Credits Under the Light-Duty adequately demonstrated using the Vehicle Greenhouse Gas Emissions EPA public comment policy, information about CBI or multimedia 5-cycle methodology. Manufacturers Program: Applications From Toyota may also use this option to demonstrate Motor North America submissions, and general guidance on making effective comments, please visit reductions that exceed those available AGENCY: Environmental Protection https://www2.epa.gov/dockets/ via use of the predetermined list. Agency (EPA). commenting-epa-dockets. Under the regulations, a manufacturer seeking to demonstrate off-cycle credits FOR FURTHER INFORMATION CONTACT: Linc ACTION: Notice. with an alternative methodology (i.e., Wehrly, Director, Light Duty Vehicle under the third pathway described SUMMARY: The Environmental Protection Center, Compliance Division, Office of above) must describe a methodology Agency (EPA) is requesting comment on Transportation and Air Quality, U.S. applications from Toyota Motor North that meets the following criteria: Environmental Protection Agency, 2000 • Use modeling, on-road testing, on- America (‘‘Toyota’’) for off-cycle carbon Traverwood Drive, Ann Arbor, MI road data collection, or other approved dioxide (CO ) credits under EPA’s light- 2 48105. Telephone: (734) 214–4286. Fax: analytical or engineering methods; duty vehicle greenhouse gas emissions (734) 214–4053. Email address: • Be robust, verifiable, and capable of standards. ‘‘Off-cycle’’ emission [email protected]. demonstrating the real-world emissions reductions can be achieved by SUPPLEMENTARY INFORMATION: benefit with strong statistical employing technologies that result in I. Background significance; real-world benefits, but where that • Result in a demonstration of benefit is not adequately captured on EPA’s light-duty vehicle greenhouse baseline and controlled emissions over the test procedures used by gas (GHG) program provides three a wide range of driving conditions and manufacturers to demonstrate pathways by which a manufacturer may number of vehicles such that issues of compliance with emission standards. accrue off-cycle carbon dioxide (CO2) data uncertainty are minimized; EPA’s light-duty vehicle greenhouse gas credits for those technologies that • Result in data on a model type basis program acknowledges these benefits by achieve CO2 reductions in the real unless the manufacturer demonstrates giving automobile manufacturers several world but where those reductions are that another basis is appropriate and options for generating ‘‘off-cycle’’ CO2 not adequately captured on the test used adequate. credits. Under the regulations, a to determine compliance with the CO2 Further, the regulations specify the manufacturer may apply for CO2 credits standards, and which are not otherwise following requirements regarding an for off-cycle technologies that result in reflected in the standards’ stringency. application for off-cycle CO2 credits: off-cycle benefits. In these cases, a The first pathway is a predetermined • A manufacturer requesting off-cycle manufacturer must provide EPA with a list of credit values for specific off-cycle credits must develop a methodology for proposed methodology for determining technologies that may be used beginning demonstrating and determining the the real-world off-cycle benefit. Toyota in model year 2014.1 This pathway benefit of the off-cycle technology and has submitted applications that describe allows manufacturers to use methodologies for determining off-cycle 2 See 40 CFR 86.1869–12(c). credits from technologies described in 1 See 40 CFR 86.1869–12(b). 3 See 40 CFR 86.1869–12(d).

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carry out any necessary testing and the technology resulting from the and comment as required by the analysis required to support that reduced mechanical losses in the regulations. The off-cycle credit methodology. compressor. The SAE J2766 standard applications submitted by the • A manufacturer requesting off-cycle (using the GREEN MAC Life Cycle manufacturers (with confidential credits must conduct testing and/or Climate Performance Model) was used business information redacted) have prepare engineering analyses that to calculate the normalized grams CO2 been placed in the public docket (see demonstrate the in-use durability of the per mile improvement of the technology ADDRESSES section above) and on EPA’s technology for the full useful life of the for the U.S. market. The CO2 grams per website at https://www.epa.gov/vehicle- vehicle. mile improvement was derived from the and-engine-certification/compliance- • The application must contain a bench test results. information-light-duty-greenhouse-gas- detailed description of the off-cycle Toyota is applying for a credit of 1.9 ghg-standards. technology and how it functions to grams/mile for 2016 and later model EPA is providing a 30-day comment reduce CO2 emissions under conditions years for vehicles sold in the U.S. and period on the applications for off-cycle not represented on the compliance tests. equipped with the Denso ESB air credits described in this document, as • The application must contain a list conditioning compressor. EPA considers specified by the regulations. The of the vehicle model(s) which will be this compressor technology to be a manufacturers may submit a written equipped with the technology. technology that, if approved, will be rebuttal of comments for EPA’s • The application must contain a subject to the maximum limits for an consideration, or may revise an detailed description of the test vehicles A/C system of 5.0 g/mi for passenger application in response to comments. selected and an engineering analysis automobiles and 7.2 g/mi for light After reviewing any public comments that supports the selection of those trucks specified in the regulations.6 and any rebuttal of comments submitted vehicles for testing. Details of the testing and analysis can be by manufacturers, EPA will make a final • The application must contain all found in the manufacturer’s decision regarding the credit requests. testing and/or simulation data required applications. EPA will make its decision available to the public by placing a decision under the regulations, plus any other B. Dual Layer HVAC Technology data the manufacturer has considered in document (or multiple decision the analysis. Toyota is applying for off-cycle GHG documents) in the docket and on EPA’s Finally, the alternative methodology credits for the use of a dual layer (or 2- website at the same manufacturer- must be approved by EPA prior to the layer) HVAC technology. Ventilation specific pages shown above. While the manufacturer using it to generate and heat transfer losses between the broad methodologies used by these credits. As part of the review process cabin and outside ambient are the key manufacturers could potentially be used defined by regulation, the alternative HVAC thermal losses during warmup. for other vehicles and by other methodology submitted to EPA for Ventilation losses can be reduced by manufacturers, the vehicle specific data consideration must be made available recirculating the cabin air, but this has needed to demonstrate the off-cycle for public comment.4 EPA will consider the adverse effect of building up cabin emissions reductions would likely be public comments as part of its final humidity, which can then become a different. In such cases, a new decision to approve or deny the request safety hazard due to increased application would be required, for off-cycle credits. windshield fogging. Dual layer HVAC including an opportunity for public uses two separate ‘‘layers’’ of airflow comment. II. Off-Cycle Credit Applications within the vehicle and a two-stage fan Dated: March 25, 2020. that can recirculate air through the A. Denso Electric Scroll Air Byron J. Bunker, lower outlets while flowing fresh, low Conditioning Compressor Director, Compliance Division, Office of humidity air through the upper ducts Toyota is applying for off-cycle GHG Transportation and Air Quality, Office of Air (includes the windshield defroster). The and Radiation. credits for the use of the Denso Electric module has a door that selects full fresh, [FR Doc. 2020–06709 Filed 3–31–20; 8:45 am] Scroll Air Conditioning Compressor full recirculate, or dual layer mode BILLING CODE 6560–50–P Variation B (ESB) with pressure based on logic parameters. Low adjusting valve technology. This humidity air is needed to better defog technology improves the efficiency of the windshield and recirculated air the electric scroll compressor using a ENVIRONMENTAL PROTECTION improves warm up performance. With AGENCY pressure adjusting valve to optimize the use of recirculated air less engine back pressure on the fixed scroll and heat is needed to warm the cabin, and [EPA–HQ–OAR–2007–0478; FRL–10007–18– reduce mechanical losses. This is both the cabin and the engine warm up OAR] similar to the off cycle alternative faster. Faster engine warmup improves Proposed Information Collection method technology for the belt driven vehicle efficiency. Denso SES/SAS compressor, for which Request; Comment Request; Toyota is applying for a credit of 0.6 Regulation of Fuels and Fuel credits were granted to Toyota in June grams/mile for 2016 and later model 5 Additives: Gasoline Volatility 2018. The requested credit amount was years for vehicles sold in the U.S. and confirmed by Toyota through bench equipped with the dual layer HVAC AGENCY: Environmental Protection testing, following the method in the technology. Details of the testing and Agency (EPA). Society of Automotive Engineers (SAE) analysis can be found in the ACTION: Notice. procedure J2765, to confirm air manufacturer’s applications. conditioning system power reduction of SUMMARY: The Environmental Protection III. EPA Decision Process Agency (EPA) is planning to submit an 4 See 40 CFR 86.1869–12(d)(2). EPA has reviewed the applications for information collection request (ICR), 5 ‘‘EPA Decision Document: Off-cycle Credits for completeness and is now making the Regulation of Fuels and Fuel Additives: General Motors and Toyota Motor Corporation.’’ Compliance Division, Office of Transportation and applications available for public review Gasoline Volatility (EPA ICR No. Air Quality, U.S. Environmental Protection Agency. 1367.13, OMB control No. 2060–0178), EPA–420–R–18–014, June 2018. 6 See 40 CFR 86.1868–12 (b). to the Office of Management and Budget

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(OMB) for review and approval in information, including the validity of containing ethanol, or who wish to accordance with the Paperwork the methodology and assumptions used; obtain a testing exemption. Reduction Act (PRA). Before doing so, (iii) enhance the quality, utility, and Respondent’s obligation to respond: EPA is soliciting public comments on clarity of the information to be Mandatory per 40 CFR 80.27(d) and (e). specific aspects of the proposed collected; and (iv) minimize the burden Estimated number of respondents: information collection as described of the collection of information on those 2,200. below. This is a proposed extension of who are to respond, including through Frequency of response: On occasion. the ICR, which is currently approved the use of appropriate automated Total estimated burden: 1,410 hours through December 31, 2020. An Agency electronic, mechanical, or other per year. Burden is defined at 5 CFR may not conduct or sponsor and a technological collection techniques or 1320.03(b). person is not required to respond to a other forms of information technology, Total estimated cost: $154,030, collection of information unless it e.g., permitting electronic submission of includes $10 annualized capital or displays a currently valid OMB control responses. EPA will consider the operation & maintenance costs. number. comments received and amend the ICR Changes in Estimates: With just about DATES: Comments must be submitted on as appropriate. The final ICR package all PTDs now computer-generated, the or before June 1, 2020. will then be submitted to OMB for average time to include the regulatory ADDRESSES: Submit your comments, review and approval. At that time, EPA language on each PTD has decreased referencing Docket ID No. EPA–HQ– will issue another Federal Register from one second to 0.1 second. The total OAR–2007–0478, online using document to announce the submission annual burden has decreased from www.regulations.gov (our preferred of the ICR to OMB and the opportunity 12.330 hours per year to 1,410 hours per method), by email to a-and-r-docket@ to submit additional comments to OMB. year. epa.gov, or by mail to: EPA Docket Abstract: Gasoline volatility, as Dated: March 25, 2020. Center, Environmental Protection measured by Reid Vapor Pressure (RVP) Byron J. Bunker, in pounds per square inch (psi), is Agency, Mail Code 28221T, 1200 Director, Compliance Division, Office of Pennsylvania Ave. NW, Washington, DC controlled during the summer ozone Transportation and Air Quality, Office of Air 20460. season (June 1 to September 15) in order and Radiation. The EPA’s policy is that all comments to minimize evaporative hydrocarbon [FR Doc. 2020–06708 Filed 3–31–20; 8:45 am] received will be included in the public emissions from motor vehicles. RVP is BILLING CODE 6560–50–P docket without change including any subject to a federal standard of 7.8 psi personal information provided, unless or 9.0 psi, depending on location. The the comment includes profanity, threats, addition of ethanol to gasoline increases FEDERAL COMMUNICATIONS information claimed to be Confidential the RVP by about 1 psi. Gasoline that COMMISSION Business Information (CBI) or other contains between nine and 15 volume information whose disclosure is percent ethanol is provided a 1.0 psi [IB Docket No. 16–185; DA 20–300] restricted by statute. waiver such that the RVP may be up to FOR FURTHER INFORMATION CONTACT: 8.8 psi or 10.0 psi for a federal standard Announcement of Re-Chartering for James W. Caldwell, Compliance of 7.8 psi or 9.0 psi respectively. As an the Advisory Committee for the World Division, Office of Transportation and aid to industry compliance and EPA Radio Conference Air Quality, Mail Code 6405A, enforcement, the product transfer AGENCY: Federal Communications Environmental Protection Agency, 1200 document (PTD), which is prepared by Commission. Pennsylvania Ave. NW, Washington, DC the gasoline producer or importer and ACTION: Notice. 20460; telephone number: (202) 343– which accompanies a shipment of 9303; fax number: (202) 343–2802; gasoline containing ethanol, is required SUMMARY: In accordance with the email address: [email protected]. by regulation to contain a legible and Federal Advisory Committee Act, the SUPPLEMENTARY INFORMATION: conspicuous statement that the gasoline Federal Communications Commission Supporting documents which explain in contains ethanol and the percentage announces that the charter for the detail the information that the EPA will concentration of ethanol. This is Advisory Committee for the World be collecting are available in the public intended to deter the mixing within the Radio Conference (WRC Advisory docket for this ICR. The docket can be distribution system, particularly in Committee) has been renewed by the viewed online at www.regulations.gov retail storage tanks, of gasoline General Services Administration (GSA) or in person at the EPA Docket Center, containing between nine and 15 volume for a two-year period. The WRC WJC West Building, Room 3334, 1301 percent ethanol with gasoline which Advisory Committee is a federal Constitution Ave. NW, Washington, DC. does not contain ethanol in that range. advisory committee under the Federal The telephone number for the Docket Such mixing would likely result in a Advisory Committee Act. gasoline which is in violation of its RVP Center is 202–566–1744. For additional DATES: Renewed for two years, starting standard. Also, a party seeking a testing information about EPA’s public docket, April 2, 2020. visit http://www.epa.gov/dockets. exemption for research on gasoline that Pursuant to section 3506(c)(2)(A) of is not in compliance with the applicable ADDRESSES: Federal Communications the PRA, EPA specifically solicits volatility standard must submit certain Commission, 445 12th Street SW, Room comments and information to enable it information to EPA. EPA has additional TW–C305, Washington, DC 20554. to: (i) Evaluate whether the proposed PTD requirements for gasoline FOR FURTHER INFORMATION CONTACT: collection of information is necessary containing ethanol at 40 CFR 80.1503. Dante Ibarra, Designated Federal Officer for the proper performance of the Those requirements are covered in a (DFO), WRC Advisory Committee, FCC functions of the Agency, including separate ICR. International Bureau, Global Strategy whether the information will have Form Numbers: None. and Negotiations Division, at (202) 418– practical utility; (ii) evaluate the Respondents/affected entities: Entities 0610. Email: [email protected]. accuracy of the Agency’s estimate of the potentially affected by this action are SUPPLEMENTARY INFORMATION: In burden of the proposed collection of those who produce or import gasoline accordance with the Federal Advisory

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Committee Act, Public Law 92–463, as Location: https://www2.fmc.gov/ Final Approval Under OMB Delegated amended, this notice advises interested FMC.Agreements.Web/Public/ Authority of the Extension for Three persons that the GSA renewed the AgreementHistory/21328. Years, With Revision of the Following charter of the WRC Advisory Committee Dated: March 27, 2020. Information Collection for two years, commencing April 2, Rachel E. Dickon, Report Title: Financial Statements for 2020. Its scope of activities is to address Secretary. Holding Companies. issues contained in the agenda for the [FR Doc. 2020–06806 Filed 3–31–20; 8:45 am] Agency form number: FR Y–9C, FR Y– 2023 World Radio Conference (WRC– 9LP, FR Y–9SP, FR Y–9ES, and FR Y– BILLING CODE 6730–02–P 23). The WRC–23 Advisory Committee 9CS. will continue to provide to the FCC OMB control number: 7100–0128. advice, data, and technical analyses, Effective Date: March 31, 2020, June and will formulate recommendations FEDERAL RESERVE SYSTEM 30, 2020, March 31, 2021. Frequency: Quarterly, semiannually, relating to the preparation of U.S. Agency Information Collection proposals and positions for WRC–23. and annually. Activities: Announcement of Board Respondents: Bank holding Federal Communications Commission. Approval Under Delegated Authority companies, savings and loan holding Troy Tanner, and Submission to OMB companies,1 securities holding Deputy Chief, International Bureau. AGENCY: Board of Governors of the companies, and U.S. intermediate [FR Doc. 2020–06808 Filed 3–31–20; 8:45 am] Federal Reserve System. holding companies (collectively, HCs). BILLING CODE 6712–01–P SUMMARY: The Board of Governors of the Estimated number of respondents: FR Federal Reserve System (Board) is Y–9C (non-advanced approaches HCs adopting a proposal to extend for three CBLR) with less than $5 billion in total years, with revision, the Financial assets): 71; FR Y–9C (non-advanced FEDERAL MARITIME COMMISSION Statements for Holding Companies (FR approaches HCs CBLR) with $5 billion or more in total assets): 35; FR Y–9C Notice of Agreements Filed Y–9 reports; OMB No. 7100–0128). The revisions are applicable as of March 31, (non-advanced approaches HCs non- The Commission hereby gives notice 2020, June 30, 2020, and March 31, CBLR) with less than $5 billion in total of the filing of the following agreements 2021. assets): 84; FR Y–9C (non-advanced under the Shipping Act of 1984. approaches HCs non-CBLR) with $5 FOR FURTHER INFORMATION CONTACT: billion or more in total assets): 154; FR Interested parties may submit Federal Reserve Board Clearance comments, relevant information, or Y–9C (advanced approaches HCs): 19; Officer—Nuha Elmaghrabi—Office of FR Y–9LP: 434; FR Y–9SP: 3,960; FR Y– documents regarding the agreements to the Chief Data Officer, Board of the Secretary by email at Secretary@ 9ES: 83; FR Y–9CS: 236. Governors of the Federal Reserve Estimated average hours per response: fmc.gov, or by mail, Federal Maritime System, Washington, DC 20551, (202) Commission, Washington, DC 20573. 452–3829. Office of Management and Reporting Comments will be most helpful to the Budget (OMB) Desk Officer—Alex FR Y–9C (non-advanced approaches Commission if received within 12 days Goodenough—Office of Information and HCs CBLR) with less than $5 billion in of the date this notice appears in the Regulatory Affairs, Office of total assets): 29.14 hours; FR Y–9C (non- Federal Register. Copies of agreements Management and Budget, New advanced approaches HCs CBLR) with are available through the Commission’s Executive Office Building, Room 10235, $5 billion or more in total assets): 35.11 website (www.fmc.gov) or by contacting 725 17th Street NW, Washington, DC hours; FR Y–9C (non-advanced the Office of Agreements at (202)–523– 20503, or by fax to (202) 395–6974. A approaches HCs non-CBLR) with less 5793 or [email protected]. copy of the Paperwork Reduction Act than $5 billion in total assets): 40.98 Agreement No.: 201288–003. (PRA) OMB submission, including the hours; FR Y–9C (non-advanced Agreement Name: Digital Container reporting form and instructions, approaches HCs non-CBLR) with $5 Shipping Association Agreement. supporting statement, and other billion or more in total assets): 46.95 Parties: CMA CGM S.A.; Evergreen documentation will be placed into hours; FR Y–9C (advanced approaches Marine Corporation; Hapag-Lloyd AG; OMB’s public docket files. These HCs): 48.59 hours; FR Y–9LP: 5.27 Hyundai Merchant Marine Co., Ltd.; documents also are available on the hours; FR Y–9SP: 5.40 hours; FR Y–9ES: Maersk A/S; Mediterranean Shipping Federal Reserve Board’s public website 0.50 hours; FR Y–9CS: 0.50 hours. Company S.A.; Ocean Network Express at https://www.federalreserve.gov/apps/ Recordkeeping Pte. Ltd.; Yang Ming Marine Transport reportforms/review.aspx or may be Corporation; and Zim Integrated requested from the agency clearance FR Y–9C (non-advanced approaches Shipping Services Ltd. officer, whose name appears above. HCs with less than $5 billion in total Filing Party: Wayne Rohde; Cozen SUPPLEMENTARY INFORMATION: On June assets), FR Y–9C (non-advanced O’Connor. 15, 1984, OMB delegated to the Board approaches HCs with $5 billion or more Synopsis: The amendment revises authority under the PRA to approve and in total assets), FR Y–9C (advanced Article 6.2 and Appendices B, C, E and assign OMB control numbers to approaches HCs), and FR Y–9LP: 1.00 F to revise the procedure for electing the collections of information conducted or hour; FR Y–9SP, FR Y–9ES, and FR Y– Chair and Vice Chair of the Supervisory sponsored by the Board. Board- 9CS: 0.50 hours. Board, the composition of the approved collections of information are Supervisory Board, and how certain incorporated into the official OMB 1 An SLHC must file one or more of the FR Y– 9 series of reports unless it is: (1) A grandfathered financial obligations will be handled in inventory of currently approved unitary SLHC with primarily commercial assets and the event of the resignation or voluntary collections of information. Copies of the thrifts that make up less than 5 percent of its suspension of a member. It also changes PRA Submission, supporting consolidated assets; or (2) a SLHC that primarily the name of the Maersk entity that is holds insurance-related assets and does not statements, and approved collection of otherwise submit financial reports with the SEC party to the Agreement. information instrument(s) are placed pursuant to section 13 or 15(d) of the Securities Proposed Effective Date: 5/9/2020. into OMB’s public docket files. Exchange Act of 1934.

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Estimated annual burden hours: of Changes in Net Assets Available for sponsored agencies,’’ and Schedule HC– Benefits, a Statement of Net Assets P’s item 7(b) ‘‘Representation and Reporting Available for Benefits, Memoranda, and warranty reserves for 1–4 family FR Y–9C (non-advanced approaches Notes to the Financial Statements. residential mortgage loans sold to other HCs CBLR) with less than $5 billion in The FR Y–9CS is a free-form parties’’ are considered confidential total assets): 8,276 hours; FR Y–9C (non- supplemental report that the Board may commercial and financial information. advanced approaches HCs CBLR) with utilize to collect critical additional data Such treatment is appropriate under $5 billion or more in total assets): 4,915 deemed to be needed in an expedited exemption 4 of the Freedom of hours; (non-advanced approaches HCs manner from HCs. The data are used to Information Act (‘‘FOIA’’), (5 U.S.C. non-CBLR) with less than $5 billion in assess and monitor emerging issues 552(b)(4)), because these data items total assets): 13,769 hours; FR Y–9C related to HCs, and the report is reflect commercial and financial (non-advanced approaches HCs non- intended to supplement the other FR Y– information that is both customarily and CBLR) with $5 billion or more in total 9 reports. The data items included on actually treated as private by the assets): 28,921 hours; FR Y–9C the FR Y–9CS may change as needed. submitter, and which the Board has (advanced approaches HCs): 3,693 Legal authorization and previously assured submitters will be hours; FR Y–9LP: 9,149 hours; FR Y– confidentiality: The Board has the treated as confidential. It also appears 9SP: 42,768 hours; FR Y–9ES: 42 hours; authority to impose the reporting and that disclosing these data items may FR Y–9CS: 472 hours. recordkeeping requirements associated reveal confidential examination and with the Y–9 family of reports on bank supervisory information, and in such Recordkeeping holding companies (‘‘BHCs’’) pursuant instances, this information would also FR Y–9C: 1,452 hours; FR Y–9LP: to section 5 of the Bank Holding be withheld pursuant to exemption 8 of 1,736 hours; FR Y–9SP: 3,960 hours; FR Company Act (‘‘BHC Act’’), (12 U.S.C. the FOIA, (5 U.S.C. 552(b)(8)), which Y–9ES: 42 hours; FR Y–9CS: 472 hours. 1844); on savings and loan holding protects information related to the General description of report: companies pursuant to section 10(b)(2) supervision or examination of a The FR Y–9C consists of standardized and (3) of the Home Owners’ Loan Act, regulated financial institution. financial statements similar to the Call (12 U.S.C. 1467a(b)(2) and (3)), as In addition, for both the FR Y–9C Reports filed by commercial banks.2 The amended by sections 369(8) and report and the FR Y–9SP report, FR Y–9C collects consolidated data from 604(h)(2) of the Dodd-Frank Wall Street Schedule HC’s memorandum item 2.b., HCs and is filed quarterly by top-tier Reform and Consumer Protection Act the name and email address of the HCs with total consolidated assets of $3 (‘‘Dodd-Frank Act’’); on U.S. external auditing firm’s engagement billion or more.3 intermediate holding companies (‘‘U.S. partner, is considered confidential The FR Y–9LP, which collects parent IHCs’’) pursuant to section 5 of the BHC commercial information and protected company only financial data, must be Act, (12 U.S.C. 1844), as well as by exemption 4 of the FOIA, (5 U.S.C. submitted by each HC that files the FR pursuant to sections 102(a)(1) and 165 552(b)(4)), if the identity of the Y–9C, as well as by each of its of the Dodd-Frank Act, (12 U.S.C. engagement partner is treated as private subsidiary HCs.4 The report consists of 511(a)(1) and 5365); 5 and on securities information by HCs. standardized financial statements. holding companies pursuant to section Aside from the data items described The FR Y–9SP is a parent company 618 of the Dodd-Frank Act, (12 U.S.C. above, the remaining data items on the only financial statement filed 1850a(c)(1)(A)). The obligation to FR Y–9C report and the FR Y–9SP semiannually by HCs with total submit the FR Y–9 series of reports, and report are generally not accorded consolidated assets of less than $3 the recordkeeping requirements set forth confidential treatment. The data items billion. In a banking organization with in the respective instructions to each collected on FR Y–9LP, FR Y–9ES, and total consolidated assets of less than $3 report, are mandatory. FR Y–9CS 6 reports, are also generally billion that has tiered HCs, each HC in With respect to the FR Y–9C report, not accorded confidential treatment. As the organization must submit, or have Schedule HI’s item 7(g) ‘‘FDIC deposit provided in the Board’s Rules Regarding the top-tier HC submit on its behalf, a insurance assessments,’’ Schedule HC– Availability of Information (12 CFR part separate FR Y–9SP. This report is P’s item 7(a) ‘‘Representation and 261), however, a respondent may designed to obtain basic balance sheet warranty reserves for 1–4 family request confidential treatment for any and income data for the parent residential mortgage loans sold to U.S. data items the respondent believes company, and data on its intangible government agencies and government should be withheld pursuant to a FOIA assets and intercompany transactions. exemption. The Board will review any The FR Y–9ES is filed annually by 5 Section 165(b)(2) of Title I of the Dodd-Frank such request to determine if confidential each employee stock ownership plan Act, (12 U.S.C. 5365(b)(2)), refers to ‘‘foreign-based treatment is appropriate, and will bank holding company.’’ Section 102(a)(1) of the inform the respondent if the request for (ESOP) that is also an HC. The report Dodd-Frank Act, (12 U.S.C. 5311(a)(1)), defines collects financial data on the ESOP’s ‘‘bank holding company’’ for purposes of Title I of confidential treatment has been denied. benefit plan activities. The FR Y–9ES the Dodd-Frank Act to include foreign banking To the extent that the instructions, to consists of four schedules: A Statement organizations that are treated as bank holding the FR Y–9C, FR Y–9LP, FR Y–9SP, and companies under section 8(a) of the International FR Y–9ES reports, each respectively Banking Act, (12 U.S.C. 3106(a)). The Board has 2 The Call Reports consist of the Consolidated required, pursuant to section 165(b)(1)(B)(iv) of the direct a financial institution to retain Reports of Condition and Income for a Bank with Dodd-Frank Act, (12 U.S.C. 5365(b)(1)(B)(iv)), the workpapers and related materials Domestic Offices Only and Total Assets Less Than certain foreign banking organizations subject to $5 Billion (FFIEC 051), the Consolidated Reports of section 165 of the Dodd-Frank Act to form U.S. 6 The FR Y–9CS is a supplemental report that may Condition and Income for a Bank with Domestic intermediate holding companies. Accordingly, the be utilized by the Board to collect additional Offices Only (FFIEC 041) and the Consolidated parent foreign-based organization of a U.S. IHC is information that is needed in an expedited manner Reports of Condition and Income for a Bank with treated as a BHC for purposes of the BHC Act and from HCs. The information collected on this Domestic and Foreign Offices (FFIEC 031). section 165 of the Dodd-Frank Act. Because Section supplemental report is subject to change as needed. 3 Under certain circumstances described in the FR 5(c) of the BHC Act authorizes the Board to require Generally, the FR Y–9CS report is treated as public. Y–9C’s General Instructions, HCs with assets under reports from subsidiaries of BHCs, section 5(c) However, where appropriate, data items on the FR $3 billion may be required to file the FR Y–9C. provides additional authority to require U.S. IHCs Y–9CS report may be withheld under exemptions 4 A top-tier HC may submit a separate FR Y–9LP to report the information contained in the FR Y– 4 and/or 8 of the Freedom of Information Act, (5 on behalf of each of its lower-tier HCs. 9 series of reports. U.S.C. 552(b)(4) and (8)).

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used in preparation of each report, such are addressed in the following sections advanced approaches HCs have the material would only be obtained by the of this notice. option to implement the simplifications Board as part of the examination or After considering the comments rule on the revised effective date of supervision of the financial institution. received on the December 2019 notice, January 1, 2020, or wait until the quarter Accordingly, such information may be as well as the comments on the recent beginning April 1, 2020. The Board considered confidential pursuant to proposed changes to the Call Report, the proposed revisions to Schedule HC–R, exemption 8 of the FOIA (5 U.S.C. Board is adopting the reporting changes Regulatory Capital, to implement the 552(b)(8)). In addition, the financial proposed in the December 2019 notice associated changes to the capital rule institution’s workpapers and related with modifications discussed in the effective as of the March 31, 2020, materials may also be protected by following sections of this notice. report date, consistent with the exemption 4 of the FOIA, to the extent The Board has adopted final rules for simplifications rule’s optional effective such financial information is treated as all of the regulatory capital rulemakings date. confidential by the respondent (5 U.S.C. addressed in the December 2019 notice. The Board proposed a number of 552(b)(4)). The capital-related reporting changes revisions that would have simplified the discussed in the December 2019 notice capital calculations on Schedule HC–R, Current Actions will be effective in the same quarters as Part I and Part II, and thereby reduced Overview the effective dates of the various final burden. As previously mentioned, the capital rules. proposed FR Y–9C would have included On December 27, 2019, the Board Proposed Revisions to the FR Y–9C two sets of calculations (one that published an initial notice in the incorporates the effects of the Federal Register (84 FR 71414) Simplifications Rule simplifications rule and another that requesting public comment for 60 days The Board proposed to revise the FR does not); therefore, a holding company on the extension for three years, with Y–9C to implement the Board’s final would have been required to complete revision, of the FR Y–9 reports. The rule to simplify certain aspects of the only the column for the set of comment period for this notice expired capital rule (simplifications rule), which calculations applicable to that holding on February 25, 2020. The Board made a number of changes to the company. For the March 31, 2020, proposed revisions to the FR Y–9 calculation of common equity tier 1 report date, non-advanced approaches reports that would have implemented, (CET1) capital, additional tier 1 capital, HCs that elect to adopt the for regulatory reporting purposes, and tier 2 capital for non-advanced simplifications rule on January 1, 2020, various recent changes to the Board’s approaches holding companies that do would have been required to complete regulatory capital rule.7 The changes to not apply to advanced approaches the column for the set of calculations the Board’s regulatory capital rule institutions.910 The simplifications rule that incorporates the effects of the included in the December 2019 notice results in different calculations for these simplifications rule. Non-advanced related to the capital simplifications tiers of regulatory capital for non- approaches HCs that elect to wait to rule, the community bank leverage ratio advanced approaches holding adopt the simplifications rule on April (CBLR) rule, the standardized approach companies and advanced approaches 1, 2020, and all advanced approaches for counterparty credit risk (SA–CCR) HCs. To reflect the effects of the holding companies would have been on derivative contracts, and the high simplifications rule for non-advanced required to complete the column for the volatility commercial real estate approaches HCs, the Board proposed to set of calculations that does not reflect (HVCRE) land development rule, all adjust the existing regulatory capital the effects of this rule (i.e., that reflects discussed further below. calculations reported on Schedule HC– the capital calculation in effect for all The Board also proposed, in the R, Part I. Although the proposed report holding companies before this revision). December 2019 notice, instructional would have included two sets of Beginning with the June 30, 2020, report revisions for the reporting of operating calculations (for non-advanced date, all non-advanced approaches lease liabilities and home equity lines of approaches HCs and advanced holding companies would have been credit (HELOCs) that convert from approaches HCs), a HC would have been required to complete the column for the revolving to non-revolving status. required to complete only the set set of calculations that incorporates the effects of the simplifications. The The Board received one comment, applicable to that holding company. The simplifications rule provides for advanced approaches holding from a bankers’ association, on the certain amendments to the capital rule, companies would have been required to proposed extension, with revision, of associated with the proposed reporting complete the column that does not the FR Y–9 reports. revisions to the FR Y–9C, with an reflect the effects of the simplifications In connection with the December effective date of April 1, 2020. On rule. 2019 notice, the Board also considered October 29, 2019, the Board issued a Currently, the regulatory capital comments submitted regarding a final rule that permits non-advanced calculations in FR Y–9C Schedule HC– proposal to make similar revisions to approaches banking organizations to R provide that a holding company’s the Call Reports 8 in order to promote implement the simplifications rule on capital cannot include mortgage consistency between the Call Reports January 1, 2020.11 As a result, non- servicing assets (MSAs), certain and the FR Y–9 reports. The Board, temporary difference deferred tax assets Federal Deposit Insurance Corporation 9 84 FR 35234 (July 22, 2019). (DTAs), and significant investments in (FDIC), and Office of the Comptroller of 10 In general, an advanced approaches HC, as the common stock of unconsolidated the Currency (OCC) (the agencies) defined in the Board’s Regulation Q, has financial institutions in an amount consolidated total assets of $250 billion or more, received comments on the proposed has consolidated total on-balance sheet foreign greater than 10 percent of CET1 capital, Call Report changes from four entities: exposure of $10 billion or more, has a subsidiary on an individual basis, and that those Three bankers’ associations and one depository institution that uses the advanced three data items combined cannot savings association. These comments approaches to calculate its total risk-weighted comprise more than 15 percent of CET1 assets, or elects to use the advanced approaches to calculate its total risk-weighted assets. See 12 CFR capital. Under the simplifications rule, 7 12 CFR part 217. 217.100. the Board increased the threshold for 8 85 FR 4780 (January 27, 2020) 11 84 FR 61804 (November 13, 2019). MSAs, DTAs that could not be realized

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through net operating loss carrybacks approaches banking organizations, the as items 13.b, column B through item (temporary difference DTAs),12 and simplifications rule eliminates the 15.b, column B to reflect continued use investments in the capital of exclusion of significant investments in of the existing calculation methodology. unconsolidated financial institutions for the capital of unconsolidated financial With respect to the revisions related non-advanced approaches HCs. The institutions in the form of common to the capital calculation for minority Board proposed to revise Schedule HC– stock from being eligible for a 100 interests, the Board proposed to modify R to permit non-advanced approaches percent risk weight.15 The application of the FR Y–9C instructions to reflect the HCs to include as capital MSAs and the 100 percent risk weight (i) requires ability of non-advanced approaches HCs temporary difference DTAs up to 25 a banking organization to follow an to use the revised method under the percent of CET1 capital, on an enumerated process for calculating the simplifications rule to calculate individual basis. In addition, the 15 adjusted carrying value, and (ii) minority interest in existing items 4, 22, percent aggregate limit would have been mandates the inclusion of equity and 39 (CET1, additional tier 1, and tier be removed, and, the Board would have exposures to determine whether the 2 minority interest, respectively). revised the capital calculation for threshold has been reached. Equity In addition, as a result of certain minority interest included in the exposures that do not qualify for a changes made by the capital various capital categories for non- preferential risk weight will generally simplifications rule, the Board proposal advanced approaches HCs and the receive risk weights of either 300 would have clarified when a holding calculation of the capital conservation percent or 400 percent, depending on company must report the amount of buffer. whether the equity exposures are distributions and discretionary bonus 16 The simplifications rule also publicly traded. The Board proposed payments in Schedule HC–R, Part I, combined the current three categories of to revise the FR Y–9C to implement this item 48 (which would have been investments in financial institutions change, as discussed below. renumbered as item 52). The Board (non-significant investments in the In order to implement these would have clarified the instructions for regulatory capital changes, a number of capital of unconsolidated financial renumbered item 52 to explain that an revisions were proposed to Schedule institutions, significant investments in institution must report the amount of HC–R, Part I, for non-advanced the capital of unconsolidated financial distributions and discretionary bonus approaches HCs. Specifically, the Board institutions that are in the form of payments made during the calendar proposed to create two columns for common stock, and significant quarter ending on the report date, if the existing items 11 through 19 on the FR investments in the capital of amount of its capital conservation buffer Y–9C. Column A would have been unconsolidated financial institutions that it reported for the previous calendar reported by non-advanced approaches that are not in the form of common quarter-end report date was less than its HCs that elect to adopt the stock) into a single category: applicable required buffer percentage on simplifications rule on January 1, 2020, Investments in the capital of that previous calendar quarter-end unconsolidated financial institutions. in the March 31, 2020, FR Y–9C report and by all non-advanced approaches report date. This change would have The simplifications rule will apply a enhanced the Board’s ability to monitor limit of 25 percent of CET1 capital on HCs beginning in the June 30, 2020, FR Y–9C report using the definitions under compliance with the limitations on the amount of these investments that distributions and discretionary bonus can be included in capital. Any the simplifications rule. Column A would not have included items 11 or 16, payments. Holding companies would investments in excess of the 25 percent have been required to comply with this limit would be deducted from capital and items 13 through 15 would have been designated as items 13.a, column instructional clarification beginning using the corresponding deduction with the March 31, 2020, report date. approach.13 The Board proposed to A through item 15.a, column A to reflect the new calculation methodology. The Board received no comments revise the FR Y–9C to implement this regarding the proposed revisions to the change. Column B would have been reported by advanced approaches HCs and by non- FR Y–9C related to the capital Consistent with the current capital simplifications rule, and the comments rule, a holding company must risk advanced approaches HCs that elect to wait to adopt the simplifications rule on received on the Call Reports were not weight MSAs, temporary difference applicable to these proposed revisions. DTAs, and investments in the capital of April 1, 2020, in the March 31, 2020, FR Y–9C report and only by advanced The Board has adopted the proposed unconsolidated financial institutions revisions to the FR Y–9C related to the that are not deducted. As a result of the approaches HCs beginning in the June 30, 2020, FR Y–9C report using the simplifications rule without simplifications rule, non-advanced modification. approaches banking organizations will existing definitions. Existing items 13 not be required to differentiate among through 15 would have been designated Community Bank Leverage Ratio categories of investments in the capital rule excludes equity exposures that are assigned a The Board proposed to revise the FR of unconsolidated financial institutions. risk weight of zero percent or 20 percent and Y–9C to implement a simplified The risk weight for such equity community development equity exposures and the alternative measure of capital adequacy, exposures generally will be 100 percent, effective portion of hedge pairs, both of which are assigned a 100 percent risk weight. In addition, the the community bank leverage ratio provided the exposures qualify for this (CBLR), for qualifying HCs with less 14 10 percent non-significant bucket excludes equity risk weight. For non-advanced exposures to an investment firm that would not than $10 billion in total consolidated meet the definition of traditional securitization assets. The proposed revisions would 12 The Board notes that the Tax Cuts and Jobs Act, were it not for the application of criterion 8 of the Public Law 115–97, 131 Stat. 2054 (2017), definition of traditional securitization, and has have aligned the FR Y–9C with the 17 eliminated the concept of net operating loss greater than immaterial leverage. CBLR final rule, which implemented carrybacks for U.S. federal income tax purposes, 15 Equity exposures that exceed, in the aggregate, section 201 of the Economic Growth, although the concept may still exist in particular 10 percent of a non-advanced approaches banking Regulatory Relief, and Consumer jurisdictions for state or foreign income tax organization’s total capital would then be assigned Protection Act (EGRRCPA).18 The purposes. a risk weight based upon the approaches available 13 See 84 FR 35234 (July 22, 2019). in sections 217.52 and 217.53 of the capital rule. 14 Note that for purposes of calculating the 10 12 CFR 217.52 and .53. 17 84 FR 61776 (November 13, 2019). percent nonsignificant equity bucket, the capital 16 See 84 FR 35234 (July 22, 2019). 18 See Public Law 115–174, 132 Stat. 1296 (2018).

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proposed revisions to the FR Y–9C to use the grace period and would Qualifying Criteria for Using the CBLR would have become effective for the immediately become subject to the Framework March 31, 2020, report date, the first generally applicable capital A HC will need to satisfy certain 21 report date in respect of which a HC requirements. qualifying criteria to be eligible to opt could elect to opt into the framework The Board proposed to incorporate into the CBLR framework. The proposed established by the community leverage revisions related to the CBLR framework items below would have collected the bank ratio final rule (CBLR framework). into Schedule HC–R, Part I. As provided information necessary to ensure that an Under the CBLR final rule, HCs that in the CBLR final rule, the numerator of HC continuously meets the qualifying have less than $10 billion in total criteria for using the CBLR framework. consolidated assets, meet risk-based the community bank leverage ratio will Specifically, a qualifying HC must not qualifying criteria, and have a leverage be tier 1 capital, which is currently be an advanced approaches HC and ratio of greater than 9 percent would be reported on Schedule HC–R, Part I, item 26. Therefore, the Board did not propose must meet the following criteria: eligible to opt into the CBLR framework. • A leverage ratio of greater than 9 A HC that opts into the CBLR any changes related to the numerator of the CBLR. percent; framework, maintains a leverage ratio of • Total consolidated assets of less greater than 9 percent, and continues to As provided in the planned CBLR than $10 billion; meet the other qualifying criteria will be final rule, the denominator of the • Total trading assets and trading considered to have satisfied the community bank leverage ratio will be liabilities of 5 percent or less of total generally applicable risk-based and average total consolidated assets. consolidated assets; and leverage capital requirements and any Specifically, average total consolidated • Total off-balance sheet exposures other capital or leverage requirements to assets would be calculated in (excluding derivatives other than sold 19 which it is subject. accordance with the existing reporting credit derivatives and unconditionally Under the CBLR final rule, a holding instructions for Schedule HC–R, Part I, cancelable commitments) of 25 percent company that opts into the CBLR items 36 through 39. The Board did not or less of total consolidated assets.22 framework (CBLR HC) may opt out of propose any substantive changes related Accordingly, the Board proposed to the CBLR framework at any time, to the denominator of the community collect the items described below from without restriction, by reverting to the bank leverage ratio. However, the Board CBLR HCs only: generally applicable capital proposed to move existing items 36 • In proposed item 32 of Schedule requirements in the Board’s capital rule through 39 of Schedule HC–R, Part I, HC–R, Part I, a CBLR HC would have and reporting its regulatory capital and renumber them as items 27 through reported total assets, as reported in information in the FR Y–9C Schedule 30 of Schedule HC–R, Part I, to Schedule HC, item 12. HC–R, ‘‘Regulatory Capital,’’ Parts I and consolidate all of the CBLR-related • In proposed item 33, a CBLR HC II, at the time of opting out. capital items earlier in Schedule HC–R, would have reported the sum of trading As described in the CBLR final rule, Part I. assets from Schedule HC, item 5, and a CBLR HC that no longer meets the trading liabilities from Schedule HC, qualifying criteria for the CBLR As provided in the CBLR final rule, an item 15, in Column A. The HC would framework will be required within two HC will calculate its community bank also have reported that sum divided by consecutive calendar quarters (grace leverage ratio by dividing tier 1 capital total assets from Schedule HC, item 12, period) either to satisfy once again the by average total consolidated assets (as and expressed as a percentage in qualifying criteria or demonstrate adjusted), and the community bank Column B. As provided in the CBLR compliance with the generally leverage ratio would be reported as a final rule, trading assets and trading applicable capital requirements. During percentage, rounded to four decimal liabilities would have been added the grace period, the HC would continue places. Since this calculation is together, not netted, for purposes of this to be treated as a CBLR HC and would essentially identical to the existing calculation. Also as discussed in the be required to report its leverage ratio calculation of the tier 1 leverage ratio in CBLR final rule, a HC would not meet and related components in FR Y–9C Schedule HC–R, Part I, item 44, the the definition of a qualifying Schedule HC–R, Part I.20 A CBLR HC Board did not propose a separate item community banking organization for that ceases to meet the qualifying for the community bank leverage ratio purposes of the CBLR framework if the criteria as a result of a business in Schedule HC–R, Part I. Instead, the percentage reported in Column B were combination (such as a merger) will Board proposed to move the tier 1 greater than 5 percent. receive no grace period, and will leverage ratio from item 44 of Part I and • In proposed items 34.a through immediately become subject to the renumber it as item 31, and rename the 34.d, a CBLR HC would have reported generally applicable capital item to the Leverage Ratio, as this ratio information related to commitments, requirements. Similarly, a CBLR HC that would apply to all HCs (as the other off-balance sheet exposures, and fails to maintain a leverage ratio greater community bank leverage ratio for sold credit derivatives. than 8 percent would not be permitted qualifying HCs or the tier 1 Leverage Ratio for all other HCs). —In proposed item 34.a, a CBLR HC 19 would have reported the unused 84 FR 61776 (November 13, 2019). As provided in the CBLR final rule, a 20 portion of conditionally cancellable For example, if the CBLR HC no longer meets CBLR bank will need to satisfy certain one of the qualifying criteria as of February 15, and commitments. This amount would still does not meet the criteria as of the end of that qualifying criteria in order to be eligible have been the amount of all unused quarter, the grace period for such an HC will begin to opt into the CBLR framework. The commitments less the amount of as of the end of the quarter ending March 31. The proposed items identified below would banking organization may continue to use the CBLR framework as of June 30, but will need to comply have collected information necessary to 22 As provided in the CBLR final rule, the Board fully with the generally applicable rule (including ensure that a HC continuously meets the would reserve the authority to disallow the use of the associated reporting requirements) as of qualifying criteria for using the CBLR the CBLR framework by an HC based on the risk September 30, unless the HC once again meets all framework. profile of the HC. This authority derives from the qualifying criteria of the CBLR framework, general reservation of authority included in the including a leverage ratio of greater than 9 percent, Board’s Regulation Q, in which the CBLR by that date. 21 84 FR 61776 (November 13, 2019). framework is codified. See 12 CFR 217.1(d).

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unconditionally cancellable • In proposed item 36, a CBLR HC have been required to report all data commitments, as discussed in the would have reported the amount of items in Schedule HC–R, Part I, except CBLR final rule and defined in the investments in the capital instruments for items 32 through 36. agencies’ capital rule.23 This item of an unconsolidated financial Comments Received and Final CBLR would have been calculated institution that would qualify as tier 2 Rule Reporting Revisions consistent with the sum of Schedule capital. Since the CBLR framework does HC–R, Part II, items 18.a and 18.b, not have a total capital requirement, a The Board did not receive any Column A. CBLR HC is neither required to calculate comments on the FR Y–9C report —In proposed item 34.b, a CBLR HC tier 2 capital nor make any deductions related to the CBLR changes. However, would have reported total securities that would be taken from tier 2 capital. the Board considered comments lent and borrowed, which would have Therefore, if a CBLR HC has received on the Call Report proposal, been the sum of Schedule HC–L, investments in the capital instruments and adopted changes on the FR Y–9C to items 6.a and 6.b. of an unconsolidated financial maintain consistency with the Call —In proposed item 34.c, a CBLR HC institution that would qualify as tier 2 Report. Several comments were received would have reported the sum of capital of the CBLR HC under the on the Call Report proposal related to certain other off-balance sheet generally applicable capital the CBLR proposed changes. One exposures and sold credit derivatives. requirements (tier 2 qualifying commenter supported the proposed line Specifically, a CBLR HC would have instruments), and the CBLR HC’s total item additions to Schedule RC–R, Part reported the sum of self-liquidating, investments in the capital of I, to support changes to the leverage trade-related contingent items that unconsolidated financial institutions ratio, but another commenter arise from the movement of goods; exceed 25 percent of its CET1 capital, recommended removing proposed items transaction-related contingent items the CBLR HC is not required to deduct 35 through 38.c (items 37 through 38.c (performance bonds, bid bonds, the tier 2 qualifying instruments. A are not applicable to the FR Y–9C) of warranties, and performance standby CBLR HC is required to make a Part I because the data to be reported are letters of credit); sold credit deduction from CET1 capital or T1 not qualifying criteria under the CBLR protection in the form of guarantees capital only if the sum of its framework. Two commenters did not and credit derivatives; credit- investments in the capital of an favor the proposal to move existing enhancing representations and unconsolidated financial institution is items 36 through 39 of Schedule RC–R, warranties; financial standby letters of in a form that would qualify as CET1 Part I, which are used to measure total credit; forward agreements that are capital or T1 capital instruments of the assets for the leverage ratio, and existing not derivative contracts; and off- CBLR HC and the sum exceeds the 25 item 44, ‘‘Tier 1 leverage ratio,’’ from balance sheet securitizations. A CBLR percent CET1 threshold. However, the their present locations in Part I of the HC would not have included Board believes it is important to schedule to an earlier position in Part I derivatives that are not sold credit continue collecting information on the where all of the CBLR-related items derivatives, such as foreign exchange amount of investments in these capital would have been reported, with these swaps and interest rate swaps, in instruments in order to identify any five items renumbered as items 27 proposed item 34.c. instances where such activity through 31. One of the commenters —In proposed item 34.d, a CBLR HC potentially creates an unsafe or unsound stated that, although this proposed would have reported the sum of practice or condition. change in the presentation of Part I of proposed items 34.a through 34.c in Because a CBLR HC would not be Schedule RC–R would not affect the Column A. The HC would also have subject to the generally applicable results of individual items in Part I, the reported that sum divided by total capital requirements, a CBLR HC would proposed new presentation could be assets from Schedule HC, item 12, and not have been required to complete any confusing to end users of the schedule. expressed as a percentage in Column of the items in Schedule HC–R, Part I, The second commenter expressed B. As discussed in the CBLR final after proposed item 36, nor would the concern about inserting the data items rule, a HC would not have been holding company have been required to for the CBLR framework within existing eligible to opt into the CBLR complete Schedule HC–R, Part II, Risk- Schedule RC–R, Part I, rather than in a framework if this percentage is greater Weighted Assets. separate version of the schedule, as had than 25 percent. In connection with moving the been originally proposed in April 2019, • In proposed item 35, a CBLR HC leverage ratio calculations and inserting because the insertion of these data items would have reported the total of items for the CBLR qualifying criteria in would be confusing and could lead to unconditionally cancellable Schedule HC–R, Part I, existing items 27 reporting errors. Thus, this commenter commitments, which would have been through 35 of Schedule HC–R, Part I, suggested a break-up of the proposed calculated consistent with the would have been renumbered as items revised structure of Part I of Schedule instructions for existing Schedule HC– 37 through 45. Existing items 40 RC–R into three separate parts, with R, Part II, item 19. This item would not through 43 would have been existing Part II of Schedule RC–R have been used specifically to calculate renumbered as items 46 through 49, becoming the fourth part of the a HC’s eligibility for the CBLR while existing items 46 through 48 schedule. In addition, this commenter framework. However, the Board would have been renumbered as items noted that an institution that is eligible proposed to collect this information in 50 through 52. For advanced approaches to opt into the CBLR framework may opt order to monitor balance sheet HCs, existing item 45 for total leverage into and out of the framework at any exposures that are not reflected in the exposure and the supplementary time, and that there is a grace period for CBLR framework and to identify any leverage ratio, would have been an institution that no longer meets the CBLR HCs with elevated concentrations renumbered as item 53. qualifying criteria for the CBLR in unconditionally cancellable A CBLR HC would have indicated framework. commitments. that it has elected to apply the CBLR The Board has considered these framework by completing Schedule HC– comments on the Call Report and will 23 See definition of ‘‘unconditionally cancellable’’ R, Part I, items 32 through 36. HCs not retain proposed FR Y–9C items 35 in 12 CFR 217.2. subject to the CBLR framework would through 36 for reporting by CBLR

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holding companies in Schedule HC–R, similar to the comment suggesting that approach for counterparty credit risk, or Part I, as proposed for the reasons cited Part I be split into Parts 1, 2, and 3 with ‘‘SA–CCR’’) that were implemented by in the December 2019 notice. While existing Part II then renumbered as Part final rule (the ‘‘SA–CCR final rule’’).24 these items are not used specifically to 4. The SA–CCR final rule amends the calculate a holding company’s eligibility In addition, the Board acknowledges capital rule by replacing the current for the CBLR framework, the Board that, under the CBLR final rule, a exposure methodology (CEM) with SA– considers collecting information on holding company that is eligible to opt CCR for advanced approaches HCs. The unconditionally cancellable into the CBLR framework may choose to final rule requires holding companies commitments or investments in the tier opt into or out of this framework at any subject to Category I and II standards 2 capital instruments important for time and for any reason. Accordingly, (Category I and II holding companies) identifying instances where such the Board agrees with the commenter’s under the Board’s tailoring final rule 25 activity potentially creates an unsafe or recommendation that an institution to use SA–CCR to calculate their unsound practice or condition. should report its status as of the report standardized total risk-weighted assets The Board will also retain the date regarding the use of the CBLR and permits non-advanced approaches proposed movement of the data items framework. Therefore, the Board will banking organizations the option of related to the leverage ratio to a position add a ‘‘yes/no’’ item 31.a to Schedule using SA–CCR in place of CEM to immediately after the calculation of tier HC–R, Part I, after item 31, ‘‘Leverage calculate the exposure amount of their 1 capital (designated items 27 through ratio,’’ in which each holding company noncleared and cleared derivative 31 of Schedule HC–R, Part I, as it would would report whether it has a CBLR contracts. be revised) as well as the placement of framework election in effect as of the Category I and II banking the proposed data items to be completed quarter-end report date. An institution organizations will have to choose either only by CBLR holding companies, would answer ‘‘yes’’ if it qualifies for SA–CCR or the internal models including those within the grace period the CBLR framework (even if it is within methodology (IMM) to calculate the (designated items 32 through 36 of the grace period) and has elected to exposure amount of their noncleared Schedule HC–R, Part I, as it would be adopt the framework as of that report and cleared derivative contracts in revised). Because all holding companies date. Otherwise, the institution would connection with calculating their risk- are subject to a leverage ratio answer ‘‘no.’’ Captioning after the ‘‘yes/ based capital under the advanced requirement, all institutions must no’’ response to item 31.a would approaches. The SA–CCR final rule calculate and report the ratio’s indicate which of the subsequent data provides for the eventual elimination of numerator, which is tier 1 capital, and items in Schedule HC–R should be the current methods for Category I and its denominator, which is based on completed based on the response to II banking organizations to determine average total assets. As a consequence, item 31.a. This ‘‘yes/no’’ response the risk-weighted asset amount for their items 1 through 31 of Part I would be should assist a holding company in default fund contributions to a central applicable to and completed by all understanding which specific data items counterparty (CCP) or a qualifying institutions. Moving the leverage ratio it should complete in the rest of central counterparty (QCCP) and data items as proposed would allow Schedule HC–R. The response also implements a new and simpler method CBLR holding companies to avoid should assist users of Schedule HC–R in that would be based on the banking completing the remainder of Schedule understanding the regulatory capital organization’s pro rata share of the HC–R after item 36 of Part I. The Board regime an institution is following as of CCP’s and QCCP’s default fund. considers this option less confusing for the report date. The Board is not However, the final rule allows banking CBLR holding companies than having to adopting a commenter’s organizations that elect to use SA–CCR complete the leverage ratio items in recommendation to add additional data to continue to use method 1 and method their current location, which is after items relating to use of the CBLR, for 2 under CEM to calculate the risk- numerous items that will not be example by differentiating between weighted asset amount for default fund applicable to CBLR holding companies. holding companies that currently meet contributions until January 1, 2022. Furthermore, the Board will modify the CBLR qualifying criteria and those Under the SA–CCR final rule, a non- the formatting of Schedule HC–R, Part I, that are within the grace period, as the advanced approaches HC will be able to to better distinguish the data items that Board does not need this additional use either CEM or SA–CCR to calculate should be completed only by CBLR level of detail in the FR Y–9C report. the exposure amount of any noncleared holding companies and those that The Board is adopting modifications and cleared derivative contracts and to should be completed only by those to the format and structure of Part I of determine the risk-weighted asset institutions applying the generally Schedule HC–R to limit the burden on amount of any default fund applicable capital requirements. This reporting institutions and lessen contributions under the standardized will be accomplished by improving the possible confusion for both qualifying approach. A HC that meets the criteria captioning before Schedule HC–R, Part community institutions that elect to for a banking organization subject to I, item 32, which is the first data item adopt the CBLR framework and other Category III standards 26 will also use to be completed only by CBLR holding data users. companies, and between items 36, Aside from these changes, the Board 24 85 FR 4362 (January 24, 2020). which is the final data item only for has adopted the proposed revisions to 25 84 FR 59230 (November 1, 2019). CBLR holding companies banks, and the FR Y–9C related to the CBLR. 26 The Board’s final tailoring rule, approved on item 37, which is the first data item October 10, 2019, describes a Category III banking applicable only to other institutions Standardized Approach for organization generally as a banking organization subject to the generally applicable Counterparty Credit Risk on with $250 billion or more in total consolidated Derivatives assets that is not a global systemically important capital requirements. The portion of bank (GSIB) nor has significant international Schedule HC–R, Part I, applicable only The Board proposed to revise the FR activity, or a banking organization with total to CBLR holding companies also will be Y–9C instructions to implement changes consolidated assets of $100 billion or more, but less than $250 billion, that meets or exceeds other marked by bordering. These to the capital rule regarding how to specified risk-based indicators. See ‘‘Prudential modifications to the formatting of Part I calculate the exposure amount of Standards for Large Bank Holding Companies, should functionally achieve an outcome derivative contracts (the standardized Savings and Loan Holding Companies, and Foreign

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SA–CCR for calculating its amounts in Schedule HC–R by purpose for collecting this information supplementary leverage ratio if it institutions that use SA–CCR. The while the other recommended no longer chooses to use SA–CCR to calculate its commenter recommended that the collecting this information. The data derivative and default fund exposures. notional amounts for institutions that items for reporting the fair value of Accordingly, the Board proposed to use SA–CCR should be based on the collateral are applicable to institutions revise the instructions for HC–R Part II, contractual notional amount, i.e., the with total assets of $10 billion or more. consistent with the SA–CCR final rule. notional amount as defined in U.S. In general, the Board uses this Generally, the proposed revisions to the generally accepted accounting information collected on the FR Y–9C in reporting of derivatives elements in principles, consistent with current its oversight and supervision of holding Schedule HC–R, Part II, were driven by practice in Schedule HC–R. Institutions companies engaging in OTC derivative differences in the methodology for report the notional amounts of over-the- activities. The breakdown of the fair determining the exposure amount of a counter and centrally cleared derivative value of collateral posted for OTC derivative contract under SA–CCR contracts by remaining maturity in derivative exposures in Schedule HC–L, relative to CEM. The General Schedule HC–R, Part II, Memorandum item 15.b provides the Board with Instructions for Schedule RC–R, Part II, items 2 and 3. After considering this important insights into the extent to and the instructions for Schedule RC–R, comment, the Board will clarify the which collateral is used as part of the Part II, items 20, 21, and Memorandum instructions for Schedule HC–R, Part II, credit risk management practices items 1 through 3 would have been Memorandum items 2 and 3, to indicate associated with derivative credit revised. These proposed revisions that all institutions, including those that exposures to different types of would have been effective for the June use SA–CCR to calculate exposure counterparties and changes over time in 30, 2020, report date, the same quarter amounts, should report contractual the nature and extent of the collateral as the effective date of the SA–CCR final notional amounts. The Board also protection. rule, with a mandatory compliance date clarified the reporting instructions to Aside from the changes discussed of January 1, 2022. Schedule HC–L that all notional above, the Board has adopted the amounts should be based on U.S. GAAP Comments Received and Instructions proposed revisions to the FR Y–9C contractual notional amounts. for Reporting Derivatives relating to SA–CCR. The commenter recommended that The Board received a comment from the Board revise the FR Y–9C High Volatility Commercial Real Estate a bankers’ association requesting instructions on reporting of notional (HVCRE) additional clarification to the FR Y–9C amounts in Schedule HC–L, Derivatives The Board proposed to revise the FR instructions that conform to changes on and Off-Balance Sheet Items, and Y–9C instructions to implement changes the Call Report related to certain Schedule HC–R, Part II, Risk-Weighted to the HVCRE exposure definition in derivatives reporting issues. The Call Assets, for derivatives that have section 2 of the capital rule 27 to Report commenters sought clarification matured, but have associated unsettled conform to the statutory definition of an as to whether, for purposes of reporting receivables or payables that are reported HVCRE Acquisition, Development, or derivatives referred to as settled-to- as assets or liabilities, respectively, on Construction (ADC) loan (HVCRE final market contracts in Memorandum item the balance sheet as of the quarter-end rule).28 The revisions align the capital 3, the remaining maturity of such report date. In seeking clarification of rule with section 214 of the EGRRCPA derivatives should be the remaining the reporting requirements for such to exclude from the definition of HVCRE maturity used to determine the situations, the commenter exposure credit facilities that finance conversion factor for the calculation of recommended not reporting the notional the acquisition, development, or the potential future exposures (PFE) of amounts for derivatives that have construction of one- to four-family these contracts or the contractual matured. The Board agrees and has residential properties.29 remaining maturity of these contracts. clarified the FR Y–9C, Schedule HC–L The HVCRE final rule also clarifies The derivatives information reported in and Schedule HC–R, instructions to the definition of HVCRE exposure in the Memorandum items 1 through 3 of exclude reporting of the notional capital rule by adding a new paragraph Schedule HC–R, Part II, is collected to amounts of derivatives that have that provides that the exclusion for one- assist the Board in understanding, and matured. The Board considered another assessing the reasonableness of, the comment received on the Call Report 27 12 CFR part 217.2. credit equivalent amounts of the over- regarding clarification on whether the 28 84 FR 68019 (December 13, 2019). the-counter derivatives and the centrally client facing leg of a derivative cleared 29 Section 214 became effective upon enactment cleared derivatives reported in Schedule through a central counterparty or a of the EGRRCPA. Accordingly, on July 6, 2018, the qualified central counterparty should be Board, along with the Office of the Comptroller of HC–R, Part II, items 20 and 21, column the Currency (OCC) and the Federal Deposit B. Accordingly, when reporting settled- reported as an OTC or centrally cleared Insurance Corporation (FDIC), issued a statement to-market centrally cleared derivative derivative. The Board has clarified the advising institutions that, when determining which contracts in Memorandum item 3, the FR Y–9C instructions for HC–R, Part II, loans should be subject to a heightened risk weight, items 20 and 21 to clarify that such they may choose to continue to apply the current remaining maturity used to determine regulatory definition of HVCRE exposure, or they the applicable conversion factor should derivatives should be reported in HC–R, may choose to apply the heightened risk weight be the basis for reporting. The Board Part II, item 20, as an over-the-counter only to those loans they reasonably believe meet the revised the instructions for Schedule derivative. definition of ‘‘HVCRE ADC loan’’ set forth in HC–R, Part II, Memorandum item 3, to Two Call Report commenters section 214 of the EGRRCPA. See Board, FDIC, and addressed the reporting of the fair value OCC, Interagency statement regarding the impact of clarify the reporting of settled-to-market the Economic Growth, Regulatory Relief, and centrally cleared derivative contracts. of collateral held against over-the- Consumer Protection Act (EGRRCPA). https:// The commenter on the Call Report counter (OTC) derivative exposures by www.federalreserve.gov/newsevents/pressreleases/ proposal also expressed concerns type of collateral and type of derivative files/bcreg20180706a1.pdf. counterparty in Schedule RC–L, item The Board temporarily implemented this revision related to the reporting of notional to the FR Y–9C through an emergency PRA 16.b, and questioned whether this clearance that permitted, but did not require, a HC Banking Organizations,’’ 84 FR 59032 (November 1, information is meaningful. One to use the definition of HVCRE ADC loan in place 2019). commenter requested clarification of the of the existing definition of HVCRE loan.

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to four-family residential properties the new standard is permitted for all loans secured by 1–4 family residential would not include credit facilities that HCs. properties are reported in Schedule HC– solely finance land development The Board proposed to revise the FR C, item 1.c.(2)(a) or (b), depending on activities, such as the laying of sewers, Y–9C instructions to implement changes whether the loan is a first or a junior water pipes, and similar improvements for operating leases to be reported as lien.31 to land, without any construction of other liabilities instead of other A HELOC is a line of credit secured one- to four-family residential borrowings for regulatory reporting by a lien on a 1–4 family residential structures. In order for a loan to be purposes. The proposed changes would property that generally provides a draw eligible for this exclusion, the credit have better aligned the reporting of the period followed by a repayment period. facility is required to include financing single noninterest expense item for During the draw period, a borrower has for construction of one- to four-family operating leases in the income statement revolving access to unused amounts residential structures. (which is the presentation required by under a specified line of credit. During The Board proposed to make ASC Topic 842) with their balance sheet the repayment period, the borrower can conforming revisions to the instructions classification. no longer draw on the line of credit, and for Schedule HC–R, Part II, items 4.b The FR Y–9C Report Supplemental the outstanding principal is either due 30 and 5.b in order to implement the Instructions for March 2019 stated immediately in a balloon payment or HVCRE final rule for all reporting HCs. that a lessee should report lease repaid over the remaining loan term The Board received no comments on liabilities for operating leases and through monthly payments. The FR Y– these proposed revisions for HVCRE and finance leases, including lease liabilities 9C instructions previously did not will implement them as proposed. recorded upon adoption of the ASU, in address the reporting treatment for a Schedule HC–M, item 14, ‘‘Other home equity line of credit when it Operating Lease Liabilities borrowings,’’ which is consistent with reaches its end-of-draw period and In February 2016, the FASB issued the current FR Y–9C instructions for converts from revolving to nonrevolving ASU No. 2016–02, ‘‘Leases,’’ which reporting a lessee’s obligations under status. This led to inconsistency in how added Topic 842, Leases, to the capital leases under ASC Topic 840. In these credits were reported in Schedule Accounting Standards Codification response to this instructional guidance, HC–C, items 1.c.(1), 1.c.(2)(a), and (ASC). Once ASU 2016–02 is effective the Board received questions from HCs 1.c.(2)(b), and in other holding company for a holding company, the ASU’s concerning the reporting of a bank items that use the definitions of these accounting requirements, as amended lessee’s lease liabilities for operating three loan categories. To address this absence of by certain subsequent ASUs, supersede leases. These HCs indicated that instructional guidance and promote ASC Topic 840, Leases. reporting operating lease liabilities as other liabilities instead of other consistency in reporting, the Board The most significant change that ASC proposed to clarify the instructions for Topic 842 makes to the previous lease borrowings would better align the reporting of the single noninterest reporting loans secured by 1–4 family accounting requirements is to lessee residential properties by specifying that accounting. Under the lease accounting expense item for operating leases in the income statement (which is the after a revolving open-end line of credit standards in ASC Topic 840, lessees has converted to non-revolving closed- recognize lease assets and lease presentation required by ASC Topic 842) with their balance sheet end status, the loan should be reported liabilities on the balance sheet for as closed-end in Schedule HC–C, item capital leases, but do not recognize classification and would be consistent with how these HCs report operating 1.c.(2)(a) or (b), as appropriate. operating leases on the balance sheet. The Board believes that it is important The lessee accounting model under lease liabilities internally. The Board agrees with the views to collect accurate data on loans secured Topic 842 retains the distinction expressed by these HCs and proposed to by 1–4 family residential properties in between operating leases and capital require that operating lease liabilities be the FR Y–9C report. Consistent leases, which the new standard labels reported on the FR Y–9C balance sheet classification of HELOCs based on the finance leases. However, the new in Schedule HC, item 20, ‘‘Other status of the draw period is particularly standard requires lessees to record a liabilities.’’ In Schedule HC–G, Other important for the Board’s safety and right-of-use (ROU) asset and a lease Liabilities, operating lease liabilities soundness monitoring. Due to the liability on the balance sheet for would be reported in item 4, ‘‘Other’’ structure of HELOCs discussed above, operating leases. (For finance leases, a effective March 31, 2020. The Board borrowers generally are not required to lessee’s lease asset also is designated an received no comments on these make principal repayments during the ROU asset.) In general, the new standard proposed revisions for operating lease draw period, which may create a permits a lessee to make an accounting liabilities and will implement them as financial shock for borrowers when they policy election to exempt leases with a proposed. must make a balloon payment or begin term of one year or less at their regular monthly repayments after the commencement date from on-balance Reporting Home Equity Lines of Credit draw period. Some HCs have reported sheet recognition. That Convert From Revolving to Non- HELOCs past the draw period as For HCs that are public business Revolving Status revolving, and this practice increases entities, as defined under U.S. GAAP, Holding companies report the amount the amounts outstanding, charge-offs, ASU 2016–02 is effective for fiscal years outstanding under revolving, open-end recoveries, past dues, and nonaccruals beginning after December 15, 2018, lines of credit secured by 1–4 family reported in the open-end category including interim reporting periods residential properties (commonly relative to the amounts reported by HCs within those fiscal years. For HCs that known as home equity lines of credit or that treat HELOCs past the draw period are not public business entities, at HELOCs) in item 1.c.(1) of Schedule present, the new standard is effective for HC–C, Loans and Lease Financing 31 Holding companies report additional fiscal years beginning after December information on open-end and closed-end loans Receivables. The amounts of closed-end secured by 1–4 family residential properties in 15, 2019, and interim reporting periods certain other FR Y–9C schedules in accordance within fiscal years beginning after 30 https://www.federalreserve.gov/reportforms/ with the loan category definitions in Schedule HC– December 15, 2020. Early application of supplemental/SI_FRY9_201903.pdf. C, items 1.c.(1), 1.c.(2)(a), and 1.c.(2)(b).

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as closed-end, which makes the data that would be affected by this proposed Board’s FR Y–14M report that directs less useful for analysis and safety and instructional clarification and the reporting entities to continue to report soundness monitoring. In addition, in reconfiguration of systems that would HELOCs that are no longer revolving Accounting Standards Update No. need to be undertaken as well as a credits in the Home Equity schedule, 2019–04,32 the FASB amended ASC definitional conflict between the Call the Board will adopt this treatment for Subtopic 326–20 on credit losses to Report instructions as proposed for FR Y–9C purposes. However, require that, when presenting credit clarification and the instructions for the recognizing the existing diversity in quality disclosures in notes to financial Board’s FR Y–14M report filed by practice in which some institutions statements prepared in accordance with holding companies with total report HELOCs that have converted U.S. GAAP, an entity must separately consolidated assets of $100 billion or from revolving to non-revolving status disclose line-of-credit arrangements that more.33 In addition, one commenter as closed-end loans in the FR Y–9C are converted to term loans from line-of- stated that the proposed Call Report while other institutions continue to credit arrangements that remain in instructional clarification may lead to report such HELOCs as open-end loans, revolving status. The Board determined inconsistencies between the reporting of the Board will instruct institutions to that there would be little or no impact HELOCs in open-end and closed-end report all HELOCs that convert to to the regulatory capital calculations or status in the Call Report and disclosures closed-end status on or after January 1, other regulatory reporting requirements of HELOCs made in filings with the 2021, as open-end loans in Schedule as a result of this clarification. Securities and Exchange Commission HC–C, Part I, item 1.c.(1). A holding Therefore, the Board proposed to clarify under the federal securities laws. company that currently reports HELOCs the FR Y–9C instructions for Schedule Another commenter cited differences in that have converted to non-revolving HC–C, items 1.c.(1), 1.c.(2)(a), and the risk profiles of loans underwritten as closed-end status as open-end loans in 1.c.(2)(b), to state that revolving open- HELOCs and those underwritten as Schedule HC–C, Part I, item 1.c.(1), end lines of credit that have converted closed-end loans at origination and should not change its reporting practice to non-revolving closed-end status indicated that the proposed for these loans and should continue to should be reported as closed-end loans. instructional clarification could distort report these loans in item 1.c.(1) The effect of this clarification would performance trends for loans secured by regardless of their conversion date. A have extended to the instructions for 1–4 family residential properties as holding company that currently reports numerous data items elsewhere in the HELOCs migrate between the open-end HELOCs that convert to non-revolving FR Y–9C that reference the Schedule and closed-end loan categories in the closed-end status as closed-end loans in HC–C, Part I, loan category definitions Call Report. Two of the commenters Schedule HC–C, Part I, item 1.c.(2)(a) or for open-end and closed-end loans opposing the proposed instructional 1.c.(2)(b), as appropriate, may continue secured by 1–4 family residential clarification instead recommended the to report HELOCs that convert on or properties and were identified in the creation of a memorandum item in the before December 31, 2020, as closed-end December 2019 notice. Call Report loan schedule (Schedule loans in FR Y–9C for report dates after In light of prior comments regarding RC–C, Part I) to identify for supervisory that date. Alternatively, the institution the time needed for any systems purposes the amount of HELOCs that may choose to begin reporting some or changes, the Board proposed that have converted to non-revolving closed- all of these closed-end HELOCs as open- compliance with the clarified end status. The other commenter end loans in item 1.c.(1) as of the March instructions would not have been suggested segregating closed-end 31, 2020, or any subsequent report date, required until the March 31, 2021, HELOCs using a separate loan category provided this reporting treatment is report date. The Board’s December 2019 code, which may also imply separate consistently applied. With respect to notice further proposed that institutions reporting and disclosure of such HELOC Flex products, the proposed not currently reporting in accordance HELOCs. reporting treatment described above with the clarified instructions would One Call Report commenter also would mean that amounts drawn on a have been permitted, but not required, requested that the agencies clarify the HELOC during its draw period that a to report in accordance with the reporting treatment for ‘‘drawdowns of borrower converts to a closed-end clarified instructions before that date. a HELOC Flex product that contain amount before the end of this period ‘lock-out’ features,’’ which was Comments Received and Final also should be reported as open-end described as the borrower’s exercise of Reporting Revisions loans in Schedule HC–C, Part I, item an option to convert a draw on the line 1.c.(1), subject to the transition guidance The Board received a comment from of credit to ‘‘a fixed rate interest above. a bankers’ association requesting that structure with defined payments and the Board ensure consistency across term.’’ The Board also agrees with regulatory reports by modifying the After considering the comments commenter’s suggestion to create a proposed reporting of HELOCs in line received on the FR Y–9C proposal and memorandum item in Schedule HC–C, with comments on proposed Call Report the Call Report comments, the Board Part I, in which institutions would changes. In connection with the Call will not implement the proposed report the amount of HELOCs that have Report proposal, three commenters clarification to the instructions for converted to non-revolving closed-end opposed the proposal to require that Schedule HC–C, Part I, items 1.c.(1), status that are included in item 1.c.(1), HELOCs that have converted to non- 1.c.(2)(a), and 1.c.(2)(b) that would have ‘‘Revolving, open-end loans secured by revolving closed-end status should be resulted in revolving, open-end lines of 1–4 family residential properties and reported as closed-end loans. credit secured by 1–4 family residential extended under lines of credit.’’ This Commenters cited the numerous data properties that have converted to non- new Memorandum item 15 in Schedule items in multiple Call Report schedules revolving closed-end status being HC–C, Part I, would enable the Board to reported as closed-end loans. In light of monitor the proportion of an 32 Accounting Standards Update No. 2019–04, the guidance in the instructions for the institution’s home equity credits in ‘‘Codification Improvements to Topic 326, revolving and non-revolving status and Financial Instruments—Credit Losses, Topic 815, Derivatives and Hedging, and Topic 825, Financial 33 Capital Assessments and Stress Testing Report changes therein and assess whether Instruments,’’ issued in April 2019. (FR Y–14M), OMB Number 7100–0341. changes in this proportion in relation to

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changes in past due and nonaccrual Board of Governors of the Federal Reserve FEDERAL RESERVE SYSTEM home equity credits and charge-offs and System, March 27, 2020. recoveries of such credits warrant Ann Misback, Privacy Act of 1974; System of supervisory follow-up. To provide time Secretary of the Board. Records needed for any systems changes, the [FR Doc. 2020–06753 Filed 3–31–20; 8:45 am] AGENCY: Board of Governors of the Board will implement this new BILLING CODE 6210–01–P Federal Reserve System. memorandum item as of the March 31, 2021. ACTION: Notice of a New System of Records. Timing FEDERAL RESERVE SYSTEM SUMMARY: Pursuant to the provisions of As stated in the December 2019 Notice of Proposals To Engage in or the Privacy Act of 1974, notice is given notice, the Board planned to make the To Acquire Companies Engaged in that the Board of Governors of the capital-related reporting changes Permissible Nonbanking Activities Federal Reserve System (Board) described above to be effective the same proposes to establish a new system of quarters as the effective dates of the The companies listed in this notice records, BGFRS–43, ‘‘FRB—Security various final capital rules discussed in have given notice under section 4 of the Sharing Platform.’’ this notice. Thus, the reporting revisions Bank Holding Company Act (12 U.S.C. to the FR Y–9C, as applicable, will take 1843) (BHC Act) and Regulation Y, (12 DATES: Comments must be received on effect March 31, 2020, for the capital CFR part 225) to engage de novo, or to or before May 1, 2020. This new system simplifications rule and the community acquire or control voting securities or of records will become effective May 1, bank leverage ratio rule. Non-advanced assets of a company, including the 2020, without further notice, unless approaches institutions may elect to companies listed below, that engages comments dictate otherwise. wait to adopt the capital simplifications either directly or through a subsidiary or The Office of Management and Budget rule for reporting purposes until the other company, in a nonbanking activity (OMB), which has oversight June 30, 2020, report date. The reporting that is listed in § 225.28 of Regulation Y responsibility under the Privacy Act, revisions to the FR Y–9C, as applicable, (12 CFR 225.28) or that the Board has requires a 30-day period prior to will take effect June 30, 2020, for the determined by Order to be closely publication in the Federal Register in standardized approach for counterparty related to banking and permissible for which to review the system and to credit risk on derivative contracts final bank holding companies. Unless provide any comments to the agency. rule and the high volatility commercial otherwise noted, these activities will be The public is then given a 30-day period real estate exposures final rule. conducted throughout the United States. in which to comment, in accordance However, the mandatory compliance Each application is available for with 5 U.S.C. 552a(e)(4) and (11). date for reporting in accordance with inspection at the Federal Reserve Bank ADDRESSES: You may submit comments, the standardized approach for indicated. The application also will be identified by BGFRS–43 ‘‘FRB—Security counterparty credit risk final rule is the available for inspection at the offices of Sharing Platform,’’ by any of the March 31, 2022, report date. the Board of Governors. Interested following methods: In addition, the reporting of operating persons may express their views in • Agency Website: https:// lease liabilities as ‘‘All other liabilities’’ writing on the question whether the www.federalreserve.gov. Follow the in FR Y–9C will take effect March 31, proposal complies with the standards of instructions for submitting comments at 2020, and the change in the reporting of section 4 of the BHC Act. https://www.federalreserve.gov/apps/ construction, land development, and Unless otherwise noted, comments foia/proposedregs.aspx. • other land loans with interest reserves regarding the applications must be Email: regs.comments@ in FR Y–9 Schedule HC–C, Part I, will received at the Reserve Bank indicated federalreserve.gov. Include SORN name take effect March 31, 2021. The or the offices of the Board of Governors, and number in the subject line of the requirement to continue reporting message. Ann E. Misback, Secretary of the Board, • HELOCs that convert to closed-end 20th Street and Constitution Avenue, Fax: (202) 452–3819 or (202) 452– 3102. status as open-end loans in Schedule NW, Washington, DC 20551–0001, not • HC–C, Part I, will apply to those later than May 1, 2020. Mail: Ann E. Misback, Secretary, HELOCs that convert on or after January A. Federal Reserve Bank of New York Board of Governors of the Federal 1, 2021, with pre-2021 conversions (Ivan Hurwitz, Senior Vice President) 33 Reserve System, 20th Street and subject to the transition guidance Liberty Street, New York, New York Constitution Avenue NW, Washington, described in Section II.I. above; new 10045–0001. Comments can also be sent DC 20551. All public comments will be made Memorandum item 15 in Schedule HC– electronically to available on the Board’s website at C, for HELOCs in non-revolving closed- [email protected]: https://www.federalreserve.gov/apps/ end status that are reported as open-end 1. Morgan Stanley, New York, New foia/proposedregs.aspx as submitted, loans will take effect March 31, 2021. York; to acquire E*TRADE Financial unless modified for technical reasons or The specific wording of the captions Corporation, and thereby indirectly to remove sensitive personally for the new or revised FR Y–9C data acquire E*TRADE Bank and E*TRADE identifiable information. Public items discussed in this notice and the Savings Bank, all of Arlington, Virginia, comments may also be viewed numbering of these data items should be and thereby operate savings electronically or in paper in Room 146, regarded as preliminary, and may be associations, pursuant to Section 4(c)(8) 1709 New York Avenue NW, changed prior to the effective date of of the BHC Act. these items. Washington, DC 20006, between 9:00 Board of Governors of the Federal Reserve a.m. and 5:00 p.m. on weekdays. Proposed Revisions to the FR Y–9CS System, March 27, 2020. FOR FURTHER INFORMATION CONTACT: The Board proposed to revise the FR Yao-Chin Chao, David B. Husband, Counsel, (202) 530– Y–9CS to clarify that response to the Assistant Secretary of the Board. 6270, or [email protected]; Legal report is voluntary. No comments were [FR Doc. 2020–06814 Filed 3–31–20; 8:45 am] Division, Board of Governors of the received during the comment period. BILLING CODE P Federal Reserve System, 20th Street and

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Constitution Avenue NW, Washington, operations of the Board or the Federal POLICIES AND PRACTICES FOR RETRIEVAL OF DC 20551. Reserve Banks, which may include RECORDS: SUPPLEMENTARY INFORMATION: The new individuals who are the subject of such Records may be retrieved by name or system of records, BGFRS–43, maintains incidents or events. Information about other identifying aspects. records relating to the Security Sharing individuals in the system may include, but is not limited to, name, address, POLICIES AND PRACTICES FOR RETENTION AND Platform that will allow the Board and DISPOSAL OF RECORDS: the twelve Federal Reserve Banks organization, title, telephone number, The retention for these records is (collectively, ‘‘the Federal Reserve identification number(s), date of birth, currently under review. Until review is System’’) to share information regarding occupation, photographs or videos, completed, the records in the system individuals who are involved in physical characteristics, and other will not be destroyed. incidents or events that may affect the information that may be provided by the safety and security of the premises, individual or collected by Board or ADMINISTRATIVE, TECHNICAL, AND PHYSICAL grounds, property, personnel, and Federal Reserve Bank personnel. SAFEGUARDS: operations of the Federal Reserve RECORD SOURCE CATEGORIES: Electronic files are stored on secure System. Information is provided by various servers. The system has the ability to track individual user actions within the SYSTEM NAME AND NUMBER: sources, including the individual to system. The audit and accountability BGFRS–43, ‘‘FRB—Security Sharing whom the record pertains; personal controls are based on NIST and Board Platform’’ identification documents; notes from interviews with the individual and standards which, in turn, are based on SECURITY CLASSIFICATION: supporting documentation; reports applicable laws and regulations. The Unclassified. created by the Board or the respective controls assist in detecting security Federal Reserve Bank; law enforcement violations and performance or other SYSTEM LOCATION: and other federal, state, local, or foreign issues in the system. Access to the Board of Governors of the Federal government agency records and system is restricted to authorized users Reserve System, 20th Street and personnel; social media; or other within the Federal Reserve System who Constitution Avenue NW, Washington, documents received by the Board or a require access for official business DC 20551. Some information is Federal Reserve Bank. purposes. Users are classified into collected and maintained on behalf of different roles and common access and the Board by one or more of the Federal ROUTINE USES OF RECORDS MAINTAINED IN THE usage rights are established for each Reserve Banks. SYSTEM, INCLUDING CATEGORIES OF USERS AND role. User roles are used to delineate PURPOSES OF SUCH USES: between the different types of access SYSTEM MANAGER(S): General routine uses C, D, G, I, and J requirements such that users are Curtis Eldridge, Associate Director apply to this system. These general restricted to data that is required in the and Chief, Law Enforcement Unit, routine uses are located at https:// performance of their duties. Periodic Management Division, Board of www.federalreserve.gov/files/SORN- assessments and reviews are conducted Governors of the Federal Reserve page-general-routine-uses-of-board- to determine whether users still require System, 20th Street and Constitution systems-of-records.pdf and are access, have the appropriate role, and Avenue NW, Washington, DC 20551, published in the Federal Register at 83 whether there have been any 202–912–7835, or Curtis.b.eldridge@ FR 43872 at 43873–74 (August 28, unauthorized changes. frb.gov. 2018). The system also has a specific RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: routine use, developed in order to permit necessary sharing that is The Privacy Act allows individuals Section 11 of the Federal Reserve Act essential to the purpose of the system. the right to access records maintained (12 U.S.C. 248(q)). Under this use, records may also be about them in a Board system of PURPOSE(S) OF THE SYSTEM: disclosed to personnel of federal, state, records. Your request for access must: (1) Contain a statement that the request These records are collected and local, or foreign law enforcement is made pursuant to the Privacy Act of maintained to aid in efforts to protect agencies in the following circumstances: 1974; (2) provide either the name of the and safeguard the premises, grounds, a. For the purpose of developing Board system of records expected to property, personnel, and operations of information regarding individuals, contain the record requested or a the Federal Reserve System. incidents, or events that may affect the safety and security of the premises, concise description of the system of CATEGORIES OF INDIVIDUALS COVERED BY THE grounds, property, personnel, or records; (3) provide the information SYSTEM: operations of the Board or one or more necessary to verify your identity; and (4) Individuals who exhibit suspicious of the Federal Reserve Banks; provide any other information that may behavior, which Federal Reserve System b. For the purpose of intelligence assist in the rapid identification of the law enforcement personnel have briefings; record you seek. reasonable suspicion to believe may c. If the information may be relevant Current or former Board employees affect the safety and security of the to a potential violation of a civil or may make a request for access by premises, grounds, property, personnel, criminal law, rule, regulation, order, contacting the Board office that and operations of the Board or one or policy, or license; or maintains the record. The Board more of the Federal Reserve Banks. d. Where there is a reasonable need to handles all Privacy Act requests as both accomplish a valid law enforcement a Privacy Act request and as a Freedom CATEGORIES OF RECORDS IN THE SYSTEM: purpose. of Information Act request. The Board Records in the system include does not charge fees to a requestor identifying information relating to POLICIES AND PRACTICES FOR STORAGE OF seeking to access or amend his/her incidents or events that may affect the RECORDS: Privacy Act records. safety and security of the premises, Records in this system are stored on You may submit your Privacy Act grounds, property, personnel, or a secure server as electronic records. request to the—

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Secretary of the Board, Board of GENERAL SERVICES guidance issued to Federal agencies, Governors of the Federal Reserve ADMINISTRATION which are specifically excluded from the E.O. GSA has not identified any System, 20th Street and Constitution [Notice–MV–2020–01; Docket No. 2020– Avenue NW, Washington, DC 20551. 0002; Sequence No. 14] areas where GSA issues guidance You may also submit your Privacy Act intended to have future effects on the behavior of regulated parties, as defined request electronically through the Office of Acquisition Policy; by E.O. 13891. However, as GSA Board’s FOIA ‘‘Electronic Request Establishment of Online Portal for GSA Guidance Documents acknowledges that there is a possibility Form’’ located here: https:// that it may issue such guidance in the www.federalreserve.gov/secure/forms/ AGENCY: Office of Government-wide future, it is proactively taking steps to efoiaform.aspx. Policy; General Services Administration ensure it remains compliant with all (GSA). requirements of E.O. 13891. CONTESTING RECORD PROCEDURES: ACTION: Notice of online portal for GSA’s online guidance portal contains The Privacy Act allows individuals to agency guidance documents. links to GSA program websites seek amendment of information that is containing internal guidance, as that SUMMARY: In accordance with Executive erroneous, irrelevant, untimely, or term is defined in E.O. 13891. The Order (E.O.) 13891, ‘‘Promoting the Rule incomplete and is maintained in a portal also reiterates that: (1) The of Law Through Improved Agency contents of the guidance documents system of records that pertains to them. Guidance Documents,’’ dated October 9, To request an amendment to your found through the portal do not have 2019, and Office of Management and the force and effect of law and are not record, you should clearly mark the Budget (OMB) Memorandum M–20–02, request as a ‘‘Privacy Act Amendment legally binding, except as authorized by dated October 31, 2019, GSA law or as incorporated into a contract, Request.’’ You have the burden of proof established an online portal for the for demonstrating the appropriateness of and (2) these documents are intended public to access GSA guidance only to provide clarity to the public the requested amendment and you must documents. Although GSA did not regarding existing requirements under provide relevant and convincing identify agency guidance that falls statutes and regulations administered by evidence in support of your request. under the auspices of E.O. 13891 in GSA. Your request for amendment must: (1) terms of effecting the behavior of Provide the name of the specific Board regulated parties, the portal provides Jessica Salmoiraghi, system of records containing the record links to GSA program web pages, which Office of Government-wide Policy, General Services Administration. you seek to amend; (2) identify the contain internal GSA guidance specific portion of the record you seek documents, in support of the intent of [FR Doc. 2020–06700 Filed 3–31–20; 8:45 am] to amend; (3) describe the nature of and E.O. 13891. BILLING CODE 6820–MV–P reasons for each requested amendment; DATES: The portal and associated link (4) explain why you believe the record will be active as of March 28, 2020. is not accurate, relevant, timely, or ADDRESSES: The portal may be found at GOVERNMENT ACCOUNTABILITY complete; and (5) unless you have gsa.gov/guidance. OFFICE FOR FURTHER INFORMATION CONTACT: already done so in a related Privacy Act Request for Nominations for the Board Mathias Bustamante, Office of request for access or amendment, of Governors of the Patient-Centered Acquisition Policy, Office of provide the necessary information to Outcomes Research Institute verify your identity. Government-wide Policy, General Services Administration, 1800 F Street AGENCY: Government Accountability NOTIFICATION PROCEDURES: NW, Washington, DC 20405, 202–501– Office (GAO). 2735. Same as ‘‘Access procedures’’ above. ACTION: Request for letters of SUPPLEMENTARY INFORMATION: nomination and resumes. You may also follow this procedure in This Federal Register Notice order to request an accounting of announces that: (a) GSA launched a SUMMARY: The Patient Protection and previous disclosures of records website at gsa.gov/guidance, which Affordable Care Act gave the pertaining to you as provided for by 5 includes internal GSA guidance Comptroller General of the United U.S.C. 552a(c). documents, in accordance with E.O. States responsibility for appointing up 13891 (84 FR 55235, Oct. 9, 2019); (b) to 21 members to the Board of EXEMPTIONS PROMULGATED FOR THE SYSTEM: GSA has updated its internal directive Governors of the Patient-Centered Certain portions of this system of for writing external directives (1812.1A Outcomes Research Institute (PCORI). In records may be exempt from 5 U.S.C. CHGE1 OGP) to provide instructions to addition, the Directors of the Agency for 552(a)(c)(3), (d), (e)(1), (e)(4)(G), (H), and GSA program components on how to Healthcare Research and Quality and (I), and (f) of the Privacy Act pursuant comply with E.O. 13891, which will be the National Institutes of Health, or their to 5 U.S.C. 552a(k)(2). available via gsa.gov/guidance; and (c) designees, are members of the Board. As GSA will include additional internal the result of terms ending in September HISTORY: guidance documents to the gsa.gov/ 2020, GAO is accepting nominations in guidance website when identified. the following categories: A physician, a None. Although GSA has not identified any representative of patients and health Board of Governors of the Federal Reserve guidance that falls within the auspices care consumers, a representative of System. of E.O. 13891, the above actions are in pharmaceutical manufacturers or Michele Taylor Fennell, compliance with the intent of E.O. developers, a representative of private 13891. payers who represents employers who Assistant Secretary of the Board. While GSA does issue guidance self-insure employee benefits, and [FR Doc. 2020–06507 Filed 3–31–20; 8:45 am] documents such as Federal Travel between one and three representatives BILLING CODE P Regulation bulletins, these are internal of private payers who represent health

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insurance issuers. Nominations should Malaria Operations Research to Improve which was published in the Federal be sent to the email or mailing address Malaria Control and Reduce Morbidity Register on March 4, 2020, Volume 85, listed below. Acknowledgement of and Mortality in Western Kenya; GH20– Number 43, pages 12786–12787. submissions will be provided within a 003, Conducting Public Health Research The meeting is being amended to a week of submission. in Colombia; GH20–004, Conducting virtual meeting with a meeting time of DATES: Letters of nomination and Public Health Research in Georgia; and 9:30 a.m.–5:30 p.m., EDT. The meeting re´sume´s should be submitted no later GH20–005, Conducting Public Health is closed to the public. than May 13, 2020, to ensure adequate Research in South America; April 14– FOR FURTHER INFORMATION CONTACT: opportunity for review and 16, 2020, 9:00 a.m.– 2:00 p.m., EDT, in Kimberly Leeks, Ph.D., M.P.H., consideration of nominees prior to the original FRN. Scientific Review Official, NCIPC, CDC, Teleconference, which was published appointment. 4770 Buford Highway NE, Building 106, in the Federal Register on March 16, ADDRESSES: Submit letters of MS S106–9, Atlanta, Georgia 30341, 2020, Vol. 85, No. 51, page 14946. nomination and re´sume´s by either of the The meeting is being amended to telephone: (770) 488–6562; KLeeks@ following methods: change the meeting dates and times to: cdc.gov. Email: [email protected]. Include April 14–15, 2020, from 9:00 a.m.–2:00 The Director, Strategic Business PCORI Nominations in the subject line p.m., EDT; and April 16, 2020, from Initiatives Unit, Office of the Chief of the message, or Mail: U.S. GAO, Attn: 9:30 a.m.–2:30 p.m., EDT. The meeting Operating Officer, Centers for Disease PCORI Nominations, 441 G Street NW, is closed to the public. Control and Prevention, has been Washington, DC 20548. delegated the authority to sign Federal FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: Ray Register notices pertaining to Hylan Shoob, Ph.D., Scientific Review Sendejas at (202) 512–7113 or announcements of meetings and other Officer, Center for Global Health, CDC, [email protected] if you do not receive committee management activities, for 1600 Clifton Road NE, Atlanta, Georgia an acknowledgement or need additional both the Centers for Disease Control and 30329–4027, Telephone (404) 639–4796; information. For general information, Prevention and the Agency for Toxic [email protected]. contact GAO’s Office of Public Affairs, The Director, Strategic Business Substances and Disease Registry. (202) 512–4800. Initiatives Unit, Office of the Chief Kalwant Smagh, Authority: Sec. 6301 and Sec. 10602, Pub. Operating Officer, Centers for Disease Director, Strategic Business Initiatives Unit, L. 111–148, 124 Stat. 119, 727, 1005 (2010); Control and Prevention, has been Office of the Chief Operating Officer, Centers Div. N, Sec. 104, Pub. L. 116–94, 133 Stat. delegated the authority to sign Federal for Disease Control and Prevention. 2534 (2019). Register notices pertaining to [FR Doc. 2020–06781 Filed 3–31–20; 8:45 am] Gene L. Dodaro, announcements of meetings and other BILLING CODE 4163–18–P Comptroller General of the United States. committee management activities, for [FR Doc. 2020–06313 Filed 3–31–20; 8:45 am] both the Centers for Disease Control and BILLING CODE 1610–02–P Prevention and the Agency for Toxic DEPARTMENT OF HEALTH AND Substances and Disease Registry. HUMAN SERVICES Kalwant Smagh, Centers for Medicare & Medicaid DEPARTMENT OF HEALTH AND Director, Strategic Business Initiatives Unit, Services HUMAN SERVICES Office of the Chief Operating Officer, Centers for Disease Control and Prevention. Centers for Disease Control and [CMS–3389–FN] [FR Doc. 2020–06780 Filed 3–31–20; 8:45 am] Prevention BILLING CODE 4163–18–P Medicare Program; Approval of Disease, Disability, and Injury Application by the Utilization Review Prevention and Control Special Accreditation Commission for Initial DEPARTMENT OF HEALTH AND Emphasis Panel (SEP) GH20–001, CMS-Approval of Its Home Infusion HUMAN SERVICES Develop, Implement, and Evaluate Therapy Accreditation Program Evidence-Based, Innovative Centers for Disease Control and AGENCY: Centers for Medicare and Approaches To Prevent, Find, and Prevention Cure Tuberculosis in High-Burden Medicaid Services, HHS. Settings; GH20–002, Malaria Disease, Disability, and Injury ACTION: Final notice. Operations Research To Improve Prevention and Control Special Malaria Control and Reduce Morbidity Emphasis Panel (SEP)—TS–20–001, SUMMARY: This final notice announces and Mortality in Western Kenya; GH20– Identify and Evaluate Potential Risk our decision to approve the Utilization 003, Conducting Public Health Factors for Amyotrophic Lateral Review Accreditation Commission Research in Colombia; GH20–004, Sclerosis; Amended Notice of Meeting (URAC) for initial recognition as a Conducting Public Health Research in national accrediting organization for Georgia; and GH20–005, Conducting Notice is hereby given of a change in home infusion therapy suppliers that Public Health Research in South the meeting of the Disease, Disability, wish to participate in the Medicare America; Amended Notice of Meeting and Injury Prevention and Control program. A home infusion therapy Special Emphasis Panel (SEP)—RFA– supplier that participates must meet the Notice is hereby given of a change in TS–20–001, Identify and Evaluate Medicare conditions for coverage (CfCs). the meeting of the Disease, Disability, Potential Risk Factors for Amyotrophic DATES: The approval announced in this and Injury Prevention and Control Lateral Sclerosis; May 13, 2020, 1:00 final notice is effective March 27, 2020 Special Emphasis Panel (SEP)—GH20– p.m.–5:30 p.m., EDT, in the original through March 27, 2024. 001, Develop, Implement, and Evaluate FRN. Evidence-Based, Innovative Approaches Teleconference, Centers for Disease FOR FURTHER INFORMATION CONTACT: to Prevent, Find, and Cure Tuberculosis Control and Prevention, 4770 Buford Christina Mister-Ward, (410)786–2441. in High-Burden Settings; GH20–002, Highway NE, Atlanta, Georgia 30341, Lillian Williams, (410)786–8636.

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I. Background This notice informed national AOs that therapies; and (5) survey review and Infusion therapy is a treatment option accredit HIT suppliers of an opportunity decision-making process for for Medicare beneficiaries with a wide to submit applications to participate in accreditation. range of acute and chronic conditions. the HIT supplier accreditation program. • The ability for URAC to conduct Section 5012 of the 21st Century Cures Complete applications will be timely review of accreditation Act added section 1861(iii) to the Social considered for the January 1, 2021 applications. designation deadline if received by Security Act (the Act), establishing a • The ability of URAC to take into February 1, 2020. new Medicare benefit for Home Infusion Regulations for the approval and account the capacities of suppliers Therapy (HIT) services. Section oversight of AOs for HIT organizations located in a rural area. 1861(iii)(1) of the Act defines HIT as are located at 42 CFR part 488, subpart • The comparison of URAC’s professional services, including nursing L. The requirements for HIT suppliers Medicare home infusion therapy services; training and education not are located at 42 CFR part 486, subpart accreditation program standards to our otherwise covered under the Durable I. current Medicare home infusion therapy Medical Equipment (DME) benefit; CfCs. remote monitoring; and other II. Approval of Accreditation • A documentation review of URAC’s monitoring services. HIT must be Organizations survey process to— furnished by a qualified HIT supplier Section 1834(u)(5) of the Act and the ++ Determine the composition of the and furnished in the individual’s home. regulations at § 488.1010 require that survey team, surveyor qualifications, The individual must be under— our findings concerning review and and URAC’s ability to provide • The care of an applicable provider approval of a national AO’s continuing surveyor training. (that is, physician, nurse practitioner, or requirements consider, among other physician assistant); and factors, the applying AO’s requirements ++ Compare URAC’s processes, • A plan of care established and for accreditation; survey procedures; including periodic resurvey and the periodically reviewed by a physician in resources for conducting required ability to investigate and respond coordination with the furnishing of surveys; capacity to furnish information appropriately to complaints against home infusion drugs under Part B, that for use in enforcement activities; accredited home infusion therapies. prescribes the type, amount, and monitoring procedures for provider ++ Evaluate URAC’s procedures for duration of infusion therapy services entities found not in compliance with monitoring home infusion therapies it that are to be furnished. the conditions or requirements; and has found to be out of compliance with Section 1861(iii)(3)(D)(III) of the Act ability to provide CMS with the URAC’s program requirements. requires that a qualified HIT supplier be necessary data. ++ Assess URAC’s ability to report accredited by an accrediting Our regulations at § 488.1020(a) deficiencies to the surveyed home organization (AO) designated by the require that we publish, after receipt of infusion therapy and respond to the Secretary in accordance with section an organization’s complete application, home infusion therapy’s plan of 1834(u)(5) of the Act. Section a notice identifying the national correction in a timely manner. 1834(u)(5)(A) of the Act identifies accrediting body making the request, ++ Establish URAC’s ability to factors for designating AOs and in describing the nature of the request, and provide CMS with electronic data and reviewing and modifying the list of providing at least a 30-day public reports necessary for effective validation designated AOs. These statutory factors comment period. In accordance with and assessment of the organization’s are as follows: § 488.1010(d), we have 210 days from survey process. • The ability of the organization to the receipt of a complete application to conduct timely reviews of accreditation publish notice of approval or denial of ++ Determine the adequacy of applications. the application. URAC’s staff and other resources. • The ability of the organization take ++ Confirm URAC’s ability to provide into account the capacities of suppliers III. Provisions of the Proposed Notice adequate funding for performing located in a rural area (as defined in In the October 24, 2019 Federal required surveys. section 1886(d)(2)(D) of the Act). Register (84 FR 57021), we published a ++ Confirm URAC’s policies with • Whether the organization has proposed notice announcing URAC’s respect to surveys being unannounced. established reasonable fees to be request for initial approval of its ++ URAC’s policies and procedures charged to suppliers applying for Medicare HIT accreditation program. In to avoid conflicts of interest, including accreditation. the October 24, 2019 proposed notice, the appearance of conflicts of interest, • Such other factors as the Secretary we detailed our evaluation criteria. involving individuals who conduct determines appropriate. Under section 1834(u)(5) the Act and in surveys or participate in accreditation Section 1834(u)(5)(B) of the Act our regulations at § 488.1010, we decisions. requires the Secretary to designate AOs conducted a review of URAC Medicare to accredit HIT suppliers furnishing HIT home infusion accreditation application ++ Obtain URAC’s agreement to not later than January 1, 2021. Section in accordance with the criteria specified provide CMS with a copy of the most 1861(iii)(3)(D) of the Act defines by our regulations, which included, but current accreditation survey together ‘‘qualified home infusion therapy are not limited to the following: with any other information related to suppliers’’ as being accredited by a • An onsite administrative review of the survey as we may require, including CMS-approved AO. URAC’s: (1) Corporate policies; (2) corrective action plans. In the March 1, 2019 Federal Register, financial and human resources available The October 24, 2019 proposed notice we published a solicitation notice to accomplish the proposed surveys; (3) also solicited public comments entitled, ‘‘Medicare Program; procedures for training, monitoring, and regarding whether URAC’s requirements Solicitation of Independent Accrediting evaluation of its home infusion therapy met or exceeded the Medicare CfCs for Organizations To Participate in the surveyors; (4) ability to investigate and home infusion therapy. No comments Home Infusion Therapy Supplier respond appropriately to complaints were received in response to our Accreditation Program’’ (84 FR 7057). against accredited home infusion proposed notice.

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IV. Provisions of the Final Notice requirements. Consequently, there is no 489 and those pertaining to activities need for review by the Office of relating to the survey and certification A. Differences Between URAC’s Management and Budget under the of facilities and other entities are at 42 Standards and Requirements for authority of the Paperwork Reduction CFR part 488. The regulations at 42 CFR Accreditation and Medicare Conditions Act of 1995 (44 U.S.C. Chapter 35). parts 409 and 484 specify the conditions and Survey Requirements The Administrator of the Centers for that an HHA must meet to participate in We compared URAC’s HIT Medicare & Medicaid Services (CMS), the Medicare program, the scope of accreditation requirements and survey Seema Verma, having reviewed and covered services and the conditions for process with the Medicare CfCs of part approved this document, is delegating Medicare payment for home health care. 486, subpart I and the survey and the authority to electronically sign this Generally, to enter into a provider certification process requirements of document to Evell J. Barco Holland, agreement with the Medicare program, part 488, subpart L. Our review and who is the Federal Register Liaison, for an HHA must first be certified by a state evaluation of URAC’s HIT application, purposes of publication in the Federal survey agency as complying with the which was conducted as described in Register. conditions or requirements set forth in 42 CFR part 484 of our regulations. section III. of this final notice, yielded Dated: March 26, 2020. the following areas where, as of the date Thereafter, the HHA is subject to regular Evell J. Barco Holland, of this notice, URAC has completed surveys by a state survey agency to revising its standards and certification Federal Register Liaison, Department of determine whether it continues to meet Health and Human Services. processes in order to meet the condition these requirements. However, there is at: [FR Doc. 2020–06795 Filed 3–31–20; 8:45 am] an alternative to certification surveys by • § 486.520(a), to address the BILLING CODE 4120–01–P state agencies. Accreditation by a requirement stating all patients must be nationally recognized Medicare under the care of an applicable accreditation program approved by CMS provider. DEPARTMENT OF HEALTH AND may substitute for both initial and • § 488.1010(a)(5), to provide a HUMAN SERVICES ongoing state review. detailed crosswalk identifying the exact Section 1865(a)(1) of the Act provides Centers for Medicare & Medicaid that, if a provider entity demonstrates language of the organization’s Services comparable accreditation requirements through accreditation by an approved and standards. [CMS–3384–FN] national accrediting organization that all • § 488.1010(a)(6)(ix), to revise applicable Medicare conditions are met URAC’s procedures for ‘‘immediate Medicare and Medicaid Programs; or exceeded, we will deem those jeopardy’’ situations. Application From the Joint provider entities as having met our • § 488.1010(a)(6)(iv), to revise Commission (TJC) for Continued requirements. Accreditation by an URAC’s survey procedures for surveys. Approval of Its Home Health Agency accrediting organization is voluntary • § 488.1010(a)(6)(v), to revise Accreditation Program and is not required for Medicare URAC’s procedures and timelines for participation. AGENCY: Centers for Medicare & If an accrediting organization is notifying a surveyed or audited home Medicaid Services (CMS), HHS. infusion therapy supplier of non- recognized by the Secretary of Health ACTION: compliance with the home infusion Final notice. and Human Services as having therapy accreditation program’s SUMMARY: This final notice announces standards for accreditation that meet or standards. exceed Medicare requirements, any • our decision to approve The Joint § 488.1010(a)(6)(vi), to revise Commission (TJC) for continued provider entity accredited by the URAC’s procedures and timelines for recognition as a national accrediting national accrediting body’s approved monitoring the home infusion therapy organization for home health agencies program would be deemed to meet the supplier’s correction of identified non- (HHAs) that wish to participate in the Medicare conditions. A national compliance with the accreditation Medicare or Medicaid programs. A HHA accrediting organization applying for program’s standards. CMS approval of their accreditation • that participates in Medicaid must also § 489.13, to reflect our policies meet the Medicare conditions of program under 42 CFR part 488, subpart regarding when the effective period of participation (CoPs). A must provide CMS with reasonable an accreditation begins and ends assurance that the accrediting DATES: The decision announced in this organization requires the accredited B. Term of Approval final notice is effective March 31, 2020 provider entities to meet requirements Based on the review and observations through March 31, 2026. that are at least as stringent as the described in section III. of this final FOR FURTHER INFORMATION CONTACT: Medicare conditions. Our regulations notice, we have determined that URAC’s Sharon Lash (410) 786–9457. concerning the approval of accrediting requirements for HITs meet or exceed Caecilia Blondiaux (410) 786–2190. organizations are set forth at § 488.5. our requirements. Therefore, we SUPPLEMENTARY INFORMATION: Section 488.5(e)(2)(i) requires approve URAC as a national I. Background accrediting organizations to reapply for accreditation organization for HITs that continued approval of its Medicare request participation in the Medicare Under the Medicare program, eligible accreditation program every 6 years or program, effective March 27, 2020 beneficiaries may receive covered sooner as determined by CMS. through March 27, 2024. services from a home health agency The Joint Commission’s (TJC’s) term (HHA), provided that certain of approval for their HHA accreditation IV. Collection of Information requirements are met. Sections 1861(m) program expires March 31, 2020. Requirements and (o), 1891 and 1895 of the Social This document does not impose Security Act (the Act) establish distinct II. Application Approval Process information collection and criteria for an entity seeking designation Section 1865(a)(3)(A) of the Act requirements, that is, reporting, as an HHA. Regulations concerning provides a statutory timetable to ensure recordkeeping or third party disclosure provider agreements are at 42 CFR part that our review of applications for CMS-

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approval of an accreditation program is ++ Assess TJC’s ability to report of persons who have limited English conducted in a timely manner. The Act deficiencies to the surveyed HHAs and proficiency and individuals with provides us 210 days after the date of respond to the HHAs plan of correction disabilities to receive understandable, receipt of a complete application, with in a timely manner. accessible communications. any documentation necessary to make ++ Establish TJC’s ability to provide ++ Section 484.50(c)(11) to include the determination, to complete our CMS with electronic data and reports the patient’s rights to voice grievances survey activities and application necessary for effective validation and to an outside entity. process. Within 60 days after receiving assessment of the organization’s survey ++ Section 484.50(d)(1) to address a complete application, we must process. safe and appropriate transfer of patients. publish a notice in the Federal Register ++ Determine the adequacy of TJC’s ++ Section 484.50(e)(2) to include that identifies the national accrediting staff and other resources. reporting of injuries of unknown source, body making the request, describes the ++ Confirm TJC’s ability to provide or misappropriation of patient property. request, and provides no less than a 30- adequate funding for performing ++ Section 484.60 to address day public comment period. At the end required surveys. ‘‘individualized’’ and ‘‘patient-specific’’ of the 210-day period, we must publish ++ Confirm TJC’s policies with plans of care, specifically that the a notice in the Federal Register respect to surveys being unannounced. individualized plan of care must specify approving or denying the application. ++ Confirm TJC’s policies and the care and services necessary to meet procedures to avoid conflicts of interest, the patient-specific needs as identified III. Provisions of the Proposed Notice including the appearance of conflicts of in the comprehensive assessment, In the October 24, 2019 Federal interest, involving individuals who including identification of the Register (84 FR 57026), we published a conduct surveys or participate in responsible discipline(s), and the proposed notice announcing TJC’s accreditation decisions. measurable outcomes that the HHA request for continued approval of its ++ Obtain TJC’s agreement to provide anticipates will occur as a result of Medicare HHA accreditation program. CMS with a copy of the most current implementing and coordinating the plan In the October 24, 2019 proposed notice, accreditation survey together with any of care. we detailed our evaluation criteria. other information related to the survey ++ Section 484.60(b)(4) to address Under section 1865(a)(2) of the Act and as we may require, including corrective that stamped signatures are not in our regulations at § 488.5, we action plans. acceptable unless used in a case of an conducted a review of TJC’s Medicare In accordance with section author with a physical disability that HHA accreditation application in 1865(a)(3)(A) of the Act, the October 24, can provide proof to a CMS contractor accordance with the criteria specified by 2019 proposed notice also solicited of his/her inability to sign their our regulations, which include, but are public comments regarding whether signature due to their disability not limited to the following: TJC’s requirements met or exceeded the (Rehabilitation Act of 1973). • An onsite administrative review of Medicare CoPs for HHA. No comments ++ Section 484.80(g)(1) to include TJC’s: (1) Corporate policies; (2) were received in response to our professions of physical therapist, financial and human resources available proposed notice. speech-language pathologist, or to accomplish the proposed surveys; (3) IV. Provisions of the Final Notice occupational therapist professions in procedures for training, monitoring, and any of their standards where evaluation of its HHA surveyors; (4) A. Differences Between TJC’s Standards ‘‘appropriate skilled professional’’ is ability to investigate and respond and Requirements for Accreditation and found in the regulatory language. appropriately to complaints against Medicare Conditions and Survey ++ Section 484.105(h)(2)(i) and accredited HHAs; and (5) survey review Requirements 484.105(h)(2)(ii)(B) to include that and decision-making process for We compared TJC’s HHA transactions that are separated in time, accreditation. accreditation requirements and survey but are components of an overall plan • The comparison of TJC’s Medicare process with the Medicare CoPs of parts or patient care objective, are viewed in HHA accreditation program standards to 409 and 484, and the survey and their entirety without regard to their our current Medicare HHA CoPs. certification process requirements of timing and to include section 1122 of • A documentation review of TJC’s parts 488 and 489. Our review and the Act (42 U.S.C. 1320a–1) and survey process to do the following: evaluation of TJC’s HHA application, implementing regulations. ++ Determine the composition of the which were conducted as described in ++ Section 484.115(a)(1) to address survey team, surveyor qualifications, section III. of this final notice, yielded citable standards to this CoP regarding and TJC’s ability to provide continuing the following areas where, as of the date HHA administrators. surveyor training. of this notice, TJC has completed • Provide clarifications and training ++ Compare TJC’s processes to those revising its standards and certification to surveyors related to the verification of we require of state survey agencies, processes in order to do all of the written documentation of the facility’s including periodic resurvey and the following: emergency preparedness program as ability to investigate and respond • Meet the requirements of all of the required under § 484.102. appropriately to complaints against following regulations: • Provide training to TJC surveyors accredited HHAs. ++ Section 484.45 to address that related to report gathering, specifically ++ Evaluate TJC’s procedures for HHAs must electronically report all the requirements for CASPER and monitoring HHAs it has found to be out OASIS data collected in accordance OASIS reports. of compliance with TJC’s program with § 484.55. • Make changes to the amount of requirements. (This pertains only to ++ Section 484.50 to include detail provided to the facility during monitoring procedures when TJC language referencing patient TJC’s daily briefing to ensure tracer identifies non-compliance. If representatives, to be included within methodology does not change the noncompliance is identified by a state the ‘‘Patient Rights’’ condition of integrity of the survey process. survey agency through a validation participation. • Remove previous references to the survey, the state survey agency monitors ++ Section 484.50(a)(1)(i) to educational and consultative nature of corrections as specified at § 488.9(c)). incorporate language related to the right TJC’s services when TJC is conducting

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surveys, particularly during Manufacturing Under Section 506C of comment will be made public, you are communications with the facility. the FD&C Act.’’ Due to the Coronavirus solely responsible for ensuring that your Accrediting organization survey Disease 2019 (COVID–19) pandemic, comment does not include any processes should emphasize facility FDA has been closely monitoring the confidential information that you or a compliance with Medicare’s health and medical product supply chain with the third party may not wish to be posted, safety standards, rather than any expectation that it may be impacted by such as medical information, your or educational function. the COVID–19 outbreak, potentially anyone else’s Social Security number, or leading to supply disruptions or confidential business information, such B. Term of Approval shortages of drug and biological as a manufacturing process. Please note Based on our review and observations products in the United States. The that if you include your name, contact described in section III. of this final guidance is intended to assist applicants information, or other information that notice, we approve TJC as a national and manufacturers in providing FDA identifies you in the body of your accreditation organization for HHAs that timely, informative notifications about comments, that information will be request participation in the Medicare changes in the production of certain posted on https://www.regulations.gov. program. The decision announced in drugs and biological products that will, • If you want to submit a comment this final notice is effective March 31, in turn, help the Agency in its efforts to with confidential information that you 2020 through March 31, 2026. prevent or mitigate shortages of such do not wish to be made available to the public, submit the comment as a V. Collection of Information products. Given the public health written/paper submission and in the Requirements emergency presented by COVID–19, this guidance document is being manner detailed (see ‘‘Written/Paper This document does not impose implemented without prior public Submissions’’ and ‘‘Instructions’’). information collection requirements, comment because FDA has determined Written/Paper Submissions that is, reporting recordkeeping or third- that prior public participation is not Submit written/paper submissions as party disclosure requirements. feasible or appropriate, but it remains follows: Consequently, there is no need for subject to comment in accordance with review by the Office of Management and • Mail/Hand delivery/Courier (for the Agency’s good guidance practices. written/paper submissions): Dockets Budget under the authority of the In addition, this guidance is intended to Paperwork Reduction Act of 1995 (44 Management Staff (HFA–305), Food and remain in effect for the duration of the Drug Administration, 5630 Fishers U.S.C. 3501 et seq.). public health emergency related to The Administrator of the Centers for Lane, Rm. 1061, Rockville, MD 20852. COVID–19 declared by the Department Medicare & Medicaid Services (CMS), • For written/paper comments of Health and Human Services (HHS). Seema Verma, having reviewed and submitted to the Dockets Management However, the recommendations and approved this document, is delegating Staff, FDA will post your comment, as processes described in the guidance are the authority to electronically sign this well as any attachments, except for expected to assist the Agency more document to Evell J. Barco Holland, information submitted, marked and broadly in its efforts to prevent and who is the Federal Register Liaison, for identified, as confidential, if submitted mitigate shortages, including under purposes of publication in the Federal as detailed in ‘‘Instructions.’’ circumstances outside of the COVID–19 Register. Instructions: All submissions received public health emergency and reflect the must include the Docket No. FDA– Dated: March 26, 2020. Agency’s current thinking on this issue. 2020–D–1057 for ‘‘Notifying FDA of a Evell J. Barco Holland, Therefore, within 60 days following the Permanent Discontinuance or Federal Register Liaison, Department of termination of the public health Interruption in Manufacturing Under Health and Human Services. emergency, FDA intends to revise and Section 506C of the FD&C Act.’’ [FR Doc. 2020–06792 Filed 3–31–20; 8:45 am] replace this guidance with any Received comments will be placed in BILLING CODE 4120–01–P appropriate changes following the the docket and, except for those public health emergency and in submitted as ‘‘Confidential consideration of comments received on Submissions,’’ publicly viewable at DEPARTMENT OF HEALTH AND this guidance and the Agency’s https://www.regulations.gov or at the HUMAN SERVICES experience with implementation. Dockets Management Staff between 9 DATES: The announcement of the Food and Drug Administration a.m. and 4 p.m., Monday through guidance is published in the Federal Friday. [Docket No. FDA–2020–D–1057] Register on April 1, 2020. The guidance • Confidential Submissions—To document is immediately in effect, but submit a comment with confidential Notifying the Food and Drug it remains subject to comment in information that you do not wish to be Administration of a Permanent accordance with the Agency’s good made publicly available, submit your Discontinuance or Interruption in guidance practices. comments only as a written/paper Manufacturing Under Section 506C of ADDRESSES: You may submit comments submission. You should submit two the Federal Food, Drug, and Cosmetic on any guidance at any time as follows: copies total. One copy will include the Act; Guidance for Industry; Availability information you claim to be confidential Electronic Submissions AGENCY: Food and Drug Administration, with a heading or cover note that states HHS. Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS ACTION: Notice of availability. following way: CONFIDENTIAL INFORMATION.’’ The • Federal eRulemaking Portal: Agency will review this copy, including SUMMARY: The Food and Drug https://www.regulations.gov. Follow the the claimed confidential information, in Administration (FDA or Agency) is instructions for submitting comments. its consideration of comments. The announcing the availability of a Comments submitted electronically, second copy, which will have the guidance for industry entitled including attachments, to https:// claimed confidential information ‘‘Notifying FDA of a Permanent www.regulations.gov will be posted to redacted/blacked out, will be available Discontinuance or Interruption in the docket unchanged. Because your for public viewing and posted on

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https://www.regulations.gov. Submit Discontinuance or Interruption in Public Health Service Act (42 U.S.C. both copies to the Dockets Management Manufacturing Under Section 506C of 247d(a)(2)). However, the Staff. If you do not wish your name and the FD&C Act.’’ This guidance discusses recommendations and processes contact information to be made publicly the requirement in section 506C of the described in the guidance are expected available, you can provide this FD&C Act (21 U.S.C. 356c) and FDA’s to assist the Agency more broadly in its information on the cover sheet and not implementing regulations for applicants efforts to prevent and mitigate shortages, in the body of your comments and you and manufacturers to notify FDA of a including under circumstances outside must identify this information as permanent discontinuance in the of the COVID–19 public health ‘‘confidential.’’ Any information marked manufacture of certain products or an emergency, and reflect the Agency’s as ‘‘confidential’’ will not be disclosed interruption in the manufacture of current thinking on this issue. except in accordance with 21 CFR 10.20 certain products that is likely to lead to Therefore, within 60 days following the and other applicable disclosure law. For a meaningful disruption in supply of termination of the public health more information about FDA’s posting that product in the United States. The emergency, FDA intends to revise and of comments to public dockets, see 80 guidance recommends that applicants replace this guidance with any FR 56469, September 18, 2015, or access and manufacturers provide additional appropriate changes based on comments the information at: https:// details and follow additional procedures received on this guidance and the www.govinfo.gov/content/pkg/FR-2015- to ensure FDA has the specific Agency’s experience with 09-18/pdf/2015-23389.pdf. information it needs to help prevent or implementation. mitigate shortages. The guidance also Docket: For access to the docket to II. Significance of Guidance read background documents or the explains how FDA communicates electronic and written/paper comments information about products in shortage This guidance is being issued received, go to https:// to the public. consistent with FDA’s good guidance www.regulations.gov and insert the Timely and detailed notifications practices regulation (21 CFR 10.115). docket number, found in brackets in the from applicants and manufacturers play The guidance represents the current heading of this document, into the a significant role in decreasing the thinking of FDA on ‘‘Notifying FDA of ‘‘Search’’ box and follow the prompts incidence and duration of supply a Permanent Discontinuance or and/or go to the Dockets Management disruptions and shortages. Early, Interruption in Manufacturing Under Staff, 5630 Fishers Lane, Rm. 1061, informative notifications are the best Section 506C of the FD&C Act.’’ It does Rockville, MD 20852. tool FDA has to help prevent a shortage not establish any rights for any person You may submit comments on any from occurring or to mitigate the impact and is not binding on FDA or the public. guidance at any time (see 21 CFR of an unavoidable shortage. When FDA You can use an alternative approach if 10.115(g)(5)). does not receive timely, informative it satisfies the requirements of the Submit written requests for single notifications, the Agency’s ability to applicable statutes and regulations. copies of the guidance to the Division of respond appropriately is limited and a III. Paperwork Reduction Act of 1995 Drug Information, Center for Drug shortage may result. Therefore, FDA is issuing this guidance to assist The guidance contains information Evaluation and Research, Food and collection provisions that are subject to Drug Administration, 10001 New applicants and manufacturers in providing early, detailed notifications review by the Office of Management and Hampshire Ave., Hillandale Building, Budget (OMB) under the Paperwork 4th Floor, Silver Spring, MD 20993– that will allow FDA to evaluate the situation and take appropriate action. Reduction Act of 1995 (PRA) (44 U.S.C. 0002; or to Office of Communication, 3501–3521). Under the PRA, Federal Outreach and Development, Center for Among other things, the guidance explains: (1) Who should notify FDA, Agencies must obtain approval from Biologics Evaluation and Research, OMB for each collection of information Food and Drug Administration, 10903 (2) when and how such notifications should be submitted; and (3) what they conduct or sponsor. ‘‘Collection of New Hampshire Ave., Bldg. 71, Rm. information’’ is defined in 44 U.S.C. 3128, Silver Spring, MD 20993–0002. details to include in notifications that will ensure FDA has information it 3502(3) and 5 CFR 1320.3(c) and Send one self-addressed adhesive label needs to help prevent or mitigate includes Agency requests or to assist that office in processing your shortages. requirements that members of the public SUPPLEMENTARY requests. See the In light of the public health submit reports, keep records, or provide INFORMATION section for electronic emergency related to COVID–19 information to a third party. Health and access to the guidance document. declared by the Secretary of HHS, FDA Human Services Secretary Alex M. Azar FOR FURTHER INFORMATION CONTACT: Jin has determined that prior public II (Secretary) determined that, as a result Ahn, Center for Drug Evaluation and participation for this guidance is not of confirmed cases of 2019 Novel Research, Food and Drug feasible or appropriate and is issuing Coronavirus (2019-nCoV), a public Administration, 10903 New Hampshire this guidance without prior public health emergency (PHE) exists and has Ave., Bldg. 22, Rm. 6234, Silver Spring, comment (see section 701(h)(1)(C)(i) of existed since January 27, 2020. On MD 20993–0002, 301–796–1300; or the FD&C Act (21 U.S.C. 371(h)(1)(C)(i)) March 19, 2020, the Secretary waived, Stephen Ripley, Center for Biologics and 21 CFR 10.115(g)(2)). This guidance pursuant to section 319(f) of the PHS Evaluation and Research, Food and document is being implemented Act (42 U.S.C. 247d(f)) and the PHE, the Drug Administration, 10903 New immediately, but it remains subject to requirements of the PRA for information Hampshire Ave., Bldg. 71, Rm. 7268, comment in accordance with the to be collected by FDA pertaining to our Silver Spring, MD 20993–0002, 240– Agency’s good guidance practice statute guidance documents that relate to the 402–7911. and regulation. COVID–19 pandemic public health SUPPLEMENTARY INFORMATION: This guidance is intended to remain emergency response. The Secretary has in effect for the duration of the public posted its determination of the waiver I. Background health emergency related to COVID–19 at: https://aspe.hhs.gov/public-health- FDA is announcing the availability of declared by HHS, including any emergency-declaration-pra-waivers. a guidance for industry entitled renewals made by the Secretary in Pursuant to the waiver, the ‘‘Notifying FDA of a Permanent accordance with section 319(a)(2) of the requirements of the PRA are not

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applicable with respect to the voluntary IV. Electronic Access Advisory Committee Information Line, collection of information contained in Persons with access to the internet 1–800–741–8138 (301–443–0572 in the the guidance during the immediate may obtain the guidance at https:// Washington, DC area). A notice in the investigation of, and response to, www.fda.gov/drugs/guidance- Federal Register about last minute COVID–19. Furthermore, the compliance-regulatory-information/ modifications that impact a previously requirements of the PRA shall not be guidances-drugs, https://www.fda.gov/ announced advisory committee meeting applicable with respect to the voluntary vaccines-blood-biologics/guidance- cannot always be published quickly collection of information contained in compliance-regulatory-information- enough to provide timely notice. the guidance during the immediate post- biologics/biologics-guidances, or https:// Therefore, you should always check the response review regarding the public www.regulations.gov. Agency’s website at https:// health emergency. www.fda.gov/AdvisoryCommittees/ As noted above, while the requested Dated: March 27, 2020. default.htm and scroll down to the information and process described in Lowell J. Schiller, appropriate advisory committee meeting the guidance are critical during national Principal Associate Commissioner for Policy. link, or call the advisory committee emergencies, such as the COVID–19 [FR Doc. 2020–06800 Filed 3–31–20; 8:45 am] information line to learn about possible outbreak, the guidance recommends BILLING CODE 4164–01–P modifications before coming to the submission of information that is meeting. expected to assist the Agency more SUPPLEMENTARY INFORMATION: broadly in its efforts to address DEPARTMENT OF HEALTH AND Agenda: On June 9, 2020, the shortages. Accordingly, following the HUMAN SERVICES committee will discuss, make termination of the PHE, FDA intends to Food and Drug Administration recommendations, and vote on revise and replace the guidance with information regarding the premarket any appropriate changes based on [Docket No. FDA–2020–N–0008] approval application (PMA) for the comments received on this guidance VisAbility Micro Insert sponsored by and our experience with Ophthalmic Devices Panel of the Refocus Group, Inc. The proposed implementation. Upon determining that Medical Devices Advisory Committee; Indication for Use for the VisAbility the circumstances necessitating the Notice of Meeting Micro Insert, as stated in the PMA, is as COVID–19 PRA waiver no longer exist, AGENCY: follows: the Secretary will promptly update its Food and Drug Administration, HHS. The VisAbility Micro Insert is website to reflect the termination of the indicated for bilateral scleral ACTION: waiver. The period of this waiver will Notice. implantation to improve unaided near not exceed the period of time for the SUMMARY: The Food and Drug vision in phakic, presbyopic patients public health emergency related to Administration (FDA) announces a between the ages of 45 and 60 years of COVID–19, including any immediate forthcoming public advisory committee age, who have a manifest spherical post-response review. The Secretary meeting of the Ophthalmic Devices equivalent between -0.75D and +0.50D will ensure that compliance with the Panel of the Medical Devices Advisory with less than or equal to 1.00D of requirements of the PRA occurs in as Committee. The general function of the refractive cylinder in both eyes, and timely a manner as possible based on committee is to provide advice and require a minimum near correction of at the applicable circumstances, but not to recommendations to the Agency on least +1.25D reading add. exceed 30 calendar days after the FDA’s regulatory issues. The meeting FDA intends to make background expiration of the waiver related to will be open to the public. material available to the public no later COVID–19. than 2 business days before the meeting. DATES: This guidance also refers to The meeting will be held on June If FDA is unable to post the background previously approved collections of 9, 2020, from 8 a.m. to 6 p.m. material on its website prior to the information found in FDA regulations. ADDRESSES: DoubleTree by Hilton meeting, the background material will The guidance describes, among other Washington, DC North/Gaithersburg, be made publicly available at the things, the requirements in §§ 310.306, Salons A, B, and C, 620 Perry Pkwy., location of the advisory committee 314.81(b)(3)(iii), and 600.82 (21 CFR Gaithersburg, MD 20877. The hotel’s meeting, and the background material 310.306, 314.81(b)(3)(iii), and 600.82) telephone number is 301–977–8900. will be posted on FDA’s website after for applicants or manufacturers of The hotel’s website is https:// the meeting. Background material is certain drugs and biological products to doubletree3.hilton.com/en/hotels/ available at https://www.fda.gov/ notify FDA of a permanent maryland/doubletree-by-hilton- AdvisoryCommittees/Calendar/ discontinuance in the manufacture of washington-dc-north-gaithersburg- default.htm. Scroll down to the certain products or an interruption in GAIGWDT/index.html. Answers to appropriate advisory committee meeting manufacture of certain products that is commonly asked questions including link. likely to lead to a meaningful disruption information regarding special Procedure: Interested persons may in the supply of such products in the accommodations due to a disability, present data, information, or views, United States. These notifications must visitor parking, and transportation may orally or in writing, on issues pending provide particular information, be accessed at: https://www.fda.gov/ before the committee. Written including the name of the product and AdvisoryCommittees/AboutAdvisory submissions may be made to the contact a description of the reason for the Committees/ucm408555.htm. person on or before May 19, 2020. Oral permanent discontinuance or FOR FURTHER INFORMATION CONTACT: presentations from the public will be interruption in manufacturing (see Aden Asefa, Center for Devices and scheduled on June 9, 2020, between Section II of the guidance). The Radiological Health, Food and Drug approximately 1 p.m. and 2 p.m. Those collections of information in §§ 310.306, Administration, 10903 New Hampshire individuals interested in making formal 314.81(b)(3)(iii), and 600.82 have been Ave., Bldg. 66, Rm. 5214, Silver Spring, oral presentations should notify the approved under OMB control number MD 20993–0002, 301–796–0400, contact person and submit a brief 0910–0759. [email protected]; or FDA statement of the general nature of the

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evidence or arguments they wish to emergency that has a significant forces, including personnel operating present, the names and addresses of potential to affect national security or under the authority of title 10 or title 50, proposed participants, and an the health and security of United States of attack with (i) a biological, chemical, indication of the approximate time citizens living abroad and that involves radiological, or nuclear agent or agents; requested to make their presentation on a novel (new) coronavirus (nCoV) first or (ii) an agent or agents that may cause, or before May 11, 2020. Time allotted detected in Wuhan City, Hubei or are otherwise associated with, an for each presentation may be limited. If Province, China in 2019 (2019–nCoV). imminently life-threatening and specific the number of registrants requesting to The virus is now named SARS–CoV–2, risk to United States military forces; or speak is greater than can be reasonably which causes the illness COVID–19. On (4) a determination by the Secretary that accommodated during the scheduled the basis of this determination, he also there is a public health emergency, or a open public hearing session, FDA may declared that circumstances exist significant potential for a public health conduct a lottery to determine the justifying the authorization of emergency, that affects, or has a speakers for the scheduled open public emergency use of drugs and biological significant potential to affect, national hearing session. The contact person will products during the COVID–19 security or the health and security of notify interested persons regarding their pandemic, pursuant to section 564 of United States citizens living abroad, and request to speak by May 12, 2020. the FD&C Act, subject to the terms of that involves a CBRN agent or agents, or Persons attending FDA’s advisory any authorization issued under that a disease or condition that may be committee meetings are advised that the section. attributable to such agent or agents Agency is not responsible for providing DATES: The determination was effective Based on any of these four access to electrical outlets. February 4, 2020, and this declaration is determinations, the Secretary of HHS FDA welcomes the attendance of the effective March 27, 2020. may then declare that circumstances exist that justify the EUA, at which public at its advisory committee FOR FURTHER INFORMATION CONTACT: point the FDA Commissioner may issue meetings and will make every effort to Robert P. Kadlec, M.D., MTM&H, MS, an EUA if the criteria for issuance of an accommodate persons with disabilities. Assistant Secretary for Preparedness authorization under section 564 of the If you require accommodations due to a and Response, Office of the Secretary, FD&C Act are met. The Office of the disability, please contact AnnMarie Department of Health and Human Assistant Secretary for Preparedness Williams at Annmarie.Williams@ Services, 200 Independence Avenue and Response, HHS, requested that the fda.hhs.gov or 301–796–5966 at least 7 SW, Washington, DC 20201, Telephone FDA, HHS, issue an EUA for drugs and days in advance of the meeting. (202) 205–2882 (this is not a toll free biological products to allow the FDA is committed to the orderly number). conduct of its advisory committee Department to take response measures meetings. Please visit our website at SUPPLEMENTARY INFORMATION: based on information currently available https://www.fda.gov/ I. Background about the virus that causes COVID–19. AdvisoryCommittees/ The determination of a public health Under Section 564 of the FD&C Act, AboutAdvisoryCommittees/ emergency, and the declaration that the Commissioner of the Food and Drug ucm111462.htm for procedures on circumstances exist justifying Administration (FDA), acting under public conduct during advisory emergency use of drugs and biological delegated authority from the Secretary committee meetings. products by the Secretary of HHS, as of HHS, may issue an Emergency Use Notice of this meeting is given under described below, enable the FDA Authorization (EUA) authorizing (1) the the Federal Advisory Committee Act (5 Commissioner to issue an EUA for drugs emergency use of an unapproved drug, U.S.C. app. 2). and biological products for emergency an unapproved or uncleared device, or use under section 564 of the FD&C Act. Dated: March 26, 2020. an unlicensed biological product; or (2) Lowell J. Schiller, an unapproved use of an approved drug, II. Determination by the Secretary of Principal Associate Commissioner for Policy. approved or cleared device, or licensed Health and Human Services [FR Doc. 2020–06747 Filed 3–31–20; 8:45 am] biological product. Before an EUA may On February 4, 2020, pursuant to BILLING CODE 4164–01–P be issued, the Secretary of HHS must section 564 of the FD&C Act, I declare that circumstances exist determined that there is a public health justifying the authorization based on emergency that has a significant DEPARTMENT OF HEALTH AND one of four determinations: (1) A potential to affect national security or HUMAN SERVICES determination by the Secretary of the health and security of United States Homeland Security that there is a citizens living abroad and that involves Office of the Secretary domestic emergency, or a significant a novel (new) coronavirus (nCoV) first potential for a domestic emergency, detected in Wuhan City, Hubei Emergency Use Authorization involving a heightened risk of attack Declaration Province, China in 2019 (2019–nCoV). with a, chemical, biological, The virus is now named SARS–CoV–2, AGENCY: Department of Health and radiological, or nuclear (‘‘CBRN’’) agent which causes the illness COVID–19. Human Services. or agents; (2) the identification of a material threat by the Secretary of III. Declaration of the Secretary of ACTION: Notice of Emergency Use Health and Human Services Authorization Declaration. Homeland Security pursuant to section 319F–2 of the Public Health Service On March 27, 2020, on the basis of my SUMMARY: The Secretary of Health and (PHS) Act sufficient to affect national determination of a public health Human Services (HHS) is issuing this security or the health and security of emergency that has a significant notice pursuant to section 564 of the United States citizens living abroad; (3) potential to affect national security or Federal Food, Drug, and Cosmetic a determination by the Secretary of the health and security of United States (FD&C) Act. On February 4, 2020, the Defense that there is a military citizens living abroad and that involves Secretary determined pursuant to his emergency, or a significant potential for the novel (new) coronavirus, I declared authority under section 564 of the FD&C a military emergency, involving a that circumstances exist justifying the Act that there is a public health heightened risk to United States military authorization of emergency use of drugs

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and biological products during the as amended. The grant applications and Name of Committee: National Institute of COVID–19 pandemic, pursuant to the discussions could disclose Allergy and Infectious Diseases Special section 564 of the FD&C Act, subject to confidential trade secrets or commercial Emphasis Panel; NIAID Investigator-Initiated the terms of any authorization issued property such as patentable material, Clinical Trial Planning Grant (R34). Date: April 23, 2020. under that section. and personal information concerning Time: 1:00 p.m. to 4:00 p.m. Notice of the EUAs issued by the FDA individuals associated with the grant Agenda: To review and evaluate grant Commissioner pursuant to this applications, the disclosure of which applications. determination and declaration will be would constitute a clearly unwarranted Place: National Institute of Allergy and provided promptly in the Federal invasion of personal privacy. Infectious Diseases, National Institutes of Register as required under section 564 Name of Committee: Center for Scientific Health, 5601 Fishers Lane, Room 3G41, of the FD&C Act. Review Special Emphasis Panel; Member Rockville, MD 20892 (Telephone Conference Conflict: Health Informatics and Health Care Call). Dated: March 27, 2020. Contact Person: Kelly L. Hudspeth, Ph.D., Alex M. Azar II, Delivery. Date: April 10, 2020. Scientific Review Officer, National Institutes Secretary. Time: 2:00 p.m. to 5:00 p.m. of Health, National Institute of Allergy and [FR Doc. 2020–06905 Filed 3–30–20; 2:00 pm] Agenda: To review and evaluate grant Infectious Diseases, 5601 Fishers Lane, Room 3G41, Rockville, MD 20852, 240–669–5067, BILLING CODE P applications. Place: National Institutes of Health, [email protected]. Rockledge II, 6701 Rockledge Dr., Bethesda, (Catalogue of Federal Domestic Assistance DEPARTMENT OF HEALTH AND MD 20892 (Telephone Conference Call). Program Nos. 93.855, Allergy, Immunology, HUMAN SERVICES Contact Person: Ping Wu, Ph.D., Scientific and Transplantation Research; 93.856, Review Officer, HDM IRG, Center for Microbiology and Infectious Diseases National Institutes of Health Scientific Review, National Institutes of Research, National Institutes of Health, HHS) Health, 6701 Rockledge Drive, Room 3166, Dated: March 26, 2020. Bethesda, MD 20892, 301–451–8428, wup4@ National Library of Medicine; Amended Tyeshia M. Roberson, csr.nih.gov. Notice of Meeting Program Analyst, Office of Federal Advisory This notice is being published less than 15 Committee Policy. Notice is hereby given of a change in days prior to the meeting due to the timing [FR Doc. 2020–06765 Filed 3–31–20; 8:45 am] the meeting of the Board of Regents, limitations imposed by the review and May 12–13, 2020, 9:00 a.m. to 4:00 p.m. funding cycle. BILLING CODE 4140–01–P at the National Institutes of Health, (Catalogue of Federal Domestic Assistance Building 38, Lindberg Room, 8600 Program Nos. 93.306, Comparative Medicine; DEPARTMENT OF HEALTH AND Rockville Pike, Bethesda, MD 20892 93.333, Clinical Research, 93.306, 93.333, HUMAN SERVICES which was published in the Federal 93.337, 93.393–93.396, 93.837–93.844, 93.846–93.878, 93.892, 93.893, National Register on February 4, 2020, 85 FR 23, National Institutes of Health Page 6210. Institutes of Health, HHS) This notice is being amended to Dated: March 26, 2020. Center for Scientific Review; Notice of change the meeting location from the Ronald J. Livingston, Jr., Closed Meeting National Institutes of Health, Building Program Analyst, Office of Federal Advisory 38, Lindberg Room, 8600 Rockville Pike, Committee Policy. Pursuant to section 10(d) of the Federal Advisory Committee Act, as Bethesda, MD 20892 to a virtual [FR Doc. 2020–06766 Filed 3–31–20; 8:45 am] amended, notice is hereby given of the meeting. The URL link to this meeting BILLING CODE 4140–01–P is: https://videocast.nih.gov. Any following meeting. member of the public may submit The meeting will be closed to the written comments no later than 15 days DEPARTMENT OF HEALTH AND public in accordance with the after the meeting. HUMAN SERVICES provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Dated: March 27, 2020. National Institutes of Health as amended. The grant applications and Ronald J. Livingston, Jr., the discussions could disclose Program Analyst, Office of Federal Advisory National Institute of Allergy and confidential trade secrets or commercial Committee Policy. Infectious Diseases; Notice of Closed property such as patentable material, [FR Doc. 2020–06768 Filed 3–31–20; 8:45 am] Meeting and personal information concerning BILLING CODE 4140–01–P individuals associated with the grant Pursuant to section 10(d) of the applications, the disclosure of which Federal Advisory Committee Act, as would constitute a clearly unwarranted DEPARTMENT OF HEALTH AND amended, notice is hereby given of the invasion of personal privacy. HUMAN SERVICES following meeting. Name of Committee: Center for Scientific The meeting will be closed to the National Institutes of Health Review Special Emphasis Panel; PAR 19– public in accordance with the 059: Global Noncommunicable Diseases and Center for Scientific Review; Notice of provisions set forth in sections Injury Across the Lifespan (R21). Closed Meeting 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: April 10, 2020. as amended. The grant applications and Time: 10:00 a.m. to 12:30 p.m. Pursuant to section 10(d) of the the discussions could disclose Agenda: To review and evaluate grant Federal Advisory Committee Act, as confidential trade secrets or commercial applications. amended, notice is hereby given of the property such as patentable material, Place: National Institutes of Health, Rockledge II, 6701 Rockledge Drive, following meeting. and personal information concerning Bethesda, MD 20892 (Virtual Meeting). The meeting will be closed to the individuals associated with the grant Contact Person: Weijia Ni, Ph.D., Chief/ public in accordance with the applications, the disclosure of which Scientific Review Officer, Center for provisions set forth in sections would constitute a clearly unwarranted Scientific Review, National Institutes of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., invasion of personal privacy. Health, 6701 Rockledge Drive, Room 3100,

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MSC 7808, Bethesda, MD 20892, 301–594– Dated: March 27, 2020. provide representation to individuals 3292, [email protected]. Ronald J. Livingston, Jr., with mental illness, as defined by This notice is being published less than 15 Program Analyst, Office of Federal Advisory section 42 U.S.C. 10802 (4)(B)(iii) days prior to the meeting due to the timing Committee Policy. residing in the community, including limitations imposed by the review and [FR Doc. 2020–06769 Filed 3–31–20; 8:45 am] their own home, only, if the total funding cycle. BILLING CODE 4140–01–P allotment under this title for any fiscal (Catalogue of Federal Domestic Assistance year is $30 million or more, and in such Program Nos. 93.306, Comparative Medicine; cases an eligible P&A system must give 93.333, Clinical Research, 93.306, 93.333, DEPARTMENT OF HEALTH AND priority to representing PAIMI-eligible 93.337, 93.393–93.396, 93.837–93.844, HUMAN SERVICES individuals, as defined by 42 U.S.C. 93.846–93.878, 93.892, 93.893, National 10802(4)(A) and (B)(i). Institutes of Health, HHS) Substance Abuse and Mental Health The Children’s Health Act of 2000 Dated: March 26, 2020. Services Administration (SAMHSA) (CHA) also referenced the state P&A system authority to obtain information Ronald J. Livingston, Jr., Agency Information Collection on incidents of seclusion, restraint and Program Analyst, Office of Federal Advisory Activities: Submission for OMB related deaths [see, CHA, Part H at 42 Committee Policy. Review; Comment Request [FR Doc. 2020–06767 Filed 3–31–20; 8:45 am] U.S.C. 290ii-1]. PAIMI Program formula grants awarded by SAMHSA go directly BILLING CODE 4140–01–P Periodically, the Substance Abuse and Mental Health Services Administration to each of the 57 governor-designated (SAMHSA) will publish a summary of P&A systems. These systems are located DEPARTMENT OF HEALTH AND information collection requests under in each of the 50 states, the District of HUMAN SERVICES OMB review in compliance with the Columbia, the American Indian Paperwork Reduction Act. To request a Consortium, American Samoa, Guam, National Institutes of Health copy of these documents, call the the Commonwealth of the Northern SAMHSA Reports Clearance Officer at Mariana Islands, the Commonwealth of National Heart, Lung, and Blood (240) 276–0361. Puerto Rico, and the U.S. Virgin Islands. Institute; Notice of Closed Meeting The PAIMI Act at 42 U.S.C. 10805(7) Project: Protection and Advocacy for requires that each P&A system prepare Pursuant to section 10(d) of the Individuals With Mental Illness and transmit to the Secretary of The Federal Advisory Committee Act, as (PAIMI) Annual Program Performance U.S. Department of Health and Human amended, notice is hereby given of the Report (OMB No. 0930–0169)— Services (HHS), and to the head of its following meeting. Extension State mental health agency a report on The meeting will be closed to the The Protection and Advocacy for January 1. This report describes the public in accordance with the Individuals with Mental Illness (PAIMI) activities, accomplishments, and provisions set forth in sections Act at 42 U.S.C. 10801 et seq., expenditures of the system during the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., authorized funds to the same protection most recently completed fiscal year, as amended. The grant applications and and advocacy (P&A) systems created including a section prepared by the the discussions could disclose under the Developmental Disabilities advisory council (the PAIMI Advisory confidential trade secrets or commercial Assistance and Bill of Rights Act of Council or PAC) that describes the property such as patentable material, 1975, known as the DD Act (as amended activities of the council and its and personal information concerning in 2000, 42 U.S.C. 15001 et seq.]. The independent assessment of the individuals associated with the grant DD Act supports the Protection and operations of the system. applications, the disclosure of which Advocacy for Developmental SAMHSA proposes minor revisions to would constitute a clearly unwarranted Disabilities (PADD) Program its annual PAIMI Program Performance invasion of personal privacy. administered by the Administration on Report (PPR), including the advisory Intellectual and Developmental Name of Committee: National Heart, Lung, council section, at this time for the and Blood Institute Special Emphasis Panel; Disabilities (AIDD) within the following reasons: (1) The revisions Mentored Clinical and Basic Science Review Administration on Community Living. revise the PAIMI PPR, as appropriate, Committee. AIDD is the lead federal P&A agency. for consistency with the annual Date: April 24, 2020. The PAIMI Program supports the same reporting requirements under the PAIMI Time: 5:00 p.m. to 7:00 p.m. governor-designated P&A systems Act and Rules [42 CFR part 51]; (2) The Agenda: To review and evaluate grant established under the DD Act by revisions simplify the electronic data applications. providing legal-based individual and entered by state P&A systems; (3) Place: National Institutes of Health, 6705 systemic advocacy services to SAMHSA will reduce wherever feasible Rockledge Drive, Bethesda, MD 20892 individuals with significant (severe) the current reporting burden by (Telephone Conference Call). mental illness (adults) and significant removing any information that does not Contact Person: Keith A. Mintzer, Ph.D., (severe) emotional impairment facilitate evaluation of the programmatic Scientific Review Officer, Office of Review (children/youth) who are at risk for and fiscal effectiveness of a state P&A Branch/DERA, National Heart, Lung, and abuse, neglect and other rights system; (4) The updated electronic Blood Institute, 6705 Rockledge Drive, Bethesda, MD 20892–7924, 301–827–7949, violations while residing in a care or version will expedite SAMHSA’s ability [email protected]. treatment facility. to prepare the biennial report; (5) The In 2000, the PAIMI Act amendments updated electronic version will improve (Catalogue of Federal Domestic Assistance Program Nos. 93.233, National Center for created a 57th P&A system—the SAMHSA’s ability to generate reports, Sleep Disorders Research; 93.837, Heart and American Indian Consortium (the analyze trends and more expeditiously Vascular Diseases Research; 93.838, Lung Navajo and Hopi Tribes in the Four provide feedback to PAIMI programs. Diseases Research; 93.839, Blood Diseases Corners region of the Southwest). The This PPR/ACR will be effective for the and Resources Research, National Institutes Act, at 42 U.S.C. 10804(d), states that a FY 2021 PPR reports due on January 1, of Health, HHS) P&A system may use its allotment to 2022.

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The annual burden estimate is as follows:

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

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

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

Written comments and clearance in accordance with the OMB Number: 1660–0022. recommendations concerning the requirements of the Paperwork Form Titles and Numbers: FEMA proposed information collection should Reduction Act of 1995. The submission Form 086–0–35, Community Rating be sent by May 1, 2020 to the SAMHSA will describe the nature of the System Application Letter and Quick Desk Officer at the Office of Information information collection, the categories of Check; FEMA Form 086–0–35A, and Regulatory Affairs, Office of respondents, the estimated burden (i.e., Community Annual Recertifications, Management and Budget (OMB). To the time, effort and resources used by FEMA Form 086–0–35B, Environmental ensure timely receipt of comments, and respondents to respond) and cost, and and Historic Preservation Certifications; to avoid potential delays in OMB’s the actual data collection instruments FEMA Form 086–0–035C, Repetitive receipt and processing of mail sent FEMA will use. Loss Update Form. through the U.S. Postal Service, DATES: Comments must be submitted on Abstract: The CRS Application Letter commenters are encouraged to submit or before May 1, 2020. & Quick Check, the CRS certification their comments to OMB via email to: ADDRESSES: Submit written comments and update forms, and accompanying [email protected]. on the proposed information collection guidance are used by communities that Although commenters are encouraged to to the Office of Information and participate in the National Flood send their comments via email, Regulatory Affairs, Office of Insurance Program’s (NFIP) Community commenters may also fax their Management and Budget. Comments Rating System (CRS). The CRS is a comments to: 202–395–7285. should be addressed to the Desk Officer voluntary program where flood Commenters may also mail them to: for the Department of Homeland insurance costs are reduced in Office of Management and Budget, Security, Federal Emergency communities that implement practices, Office of Information and Regulatory Management Agency, and sent via such as building codes and public Affairs, New Executive Office Building, electronic mail to dhsdeskofficer@ awareness activities, that are considered Room 10102, Washington, DC 20503. omb.eop.gov. to reduce the risks of flooding and promote the purchase of flood FOR FURTHER INFORMATION CONTACT: Carlos Graham, insurance. Social Science Analyst. Requests for additional information or Affected Public: State, local, or Tribal copies of the information collection [FR Doc. 2020–06783 Filed 3–31–20; 8:45 am] government. should be made to Director, Information BILLING CODE 4162–20–P Estimated Number of Respondents: Management Division, 500 C Street SW, 2,170. Washington, DC 20472, email address Estimated Number of Responses: FEMA-Information-Collections- DEPARTMENT OF HOMELAND 4,170. [email protected] or Bill SECURITY Estimated Total Annual Burden Lesser, Program Specialist, Federal Hours: 52,292. Federal Emrgency Management Insurance and Mitigation Estimated Total Annual Respondent Agency Administration, (202) 646–2807. Cost: $3,816,061. SUPPLEMENTARY INFORMATION: This Estimated Respondents’ Operation [Docket ID: FEMA–2020–0006; OMB No. proposed information collection and Maintenance Costs: There are no 1660–0022] previously published in the Federal estimated operation and maintenance Agency Information Collection Register on January 28, 2020, at 85 FR costs associated with this collection. Activities: Submission for OMB 5005 with a 60-day public comment Estimated Respondents’ Capital and Review; Comment Request; period. No comments were received. Start-Up Costs: There are no estimated Community Rating System— The purpose of this notice is to notify capital and start-up costs associated Application Letter & Quick Check; the public that FEMA will submit the with this collection. Estimated Total Annual Cost to the Community Recertifications; information collection abstracted below Federal Government: $6,612,799. Environmental & Historic Preservation to the Office of Management and Budget Certifications for review and clearance. Comments Collection of Information AGENCY: Federal Emergency Comments may be submitted as Management Agency, DHS. Title: Community Rating System— indicated in the ADDRESSES caption ACTION: Notice and request for Application Letter & Quick Check; above. Comments are solicited to (a) comments. Community Annual Recertifications; evaluate whether the proposed data Environmental & Historic Preservation collection is necessary for the proper SUMMARY: The Federal Emergency Certifications. performance of the agency, including Management Agency (FEMA) will Type of information collection: whether the information shall have submit the information collection Extension, without change, of a practical utility; (b) evaluate the abstracted below to the Office of currently approved information accuracy of the agency’s estimate of the Management and Budget for review and collection. burden of the proposed collection of

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information, including the validity of 2007–0037. Submit comments via the (4) Minimize the burden of the the methodology and assumptions used; Federal eRulemaking Portal website at collection of information on those who (c) enhance the quality, utility, and http://www.regulations.gov under are to respond, including through the clarity of the information to be e-Docket ID number USCIS–2007–0037. use of appropriate automated, collected; and (d) minimize the burden USCIS is limiting communications for electronic, mechanical, or other of the collection of information on those this Notice as a result of USCIS’ COVID– technological collection techniques or who are to respond, including through 19 response actions. other forms of information technology, the use of appropriate automated, FOR FURTHER INFORMATION CONTACT: e.g., permitting electronic submission of electronic, mechanical, or other USCIS, Office of Policy and Strategy, responses. technological collection techniques or Regulatory Coordination Division, Overview of This Information other forms of information technology, Samantha Deshommes, Chief, telephone Collection e.g., permitting electronic submission of number 202–272–8377 (This is not a responses. toll-free number. Comments are not (1) Type of Information Collection: accepted via telephone message). Please Extension, Without Change, of a Maile Arthur, note contact information provided here Currently Approved Collection. Acting Records Management Branch Chief, is solely for questions regarding this (2) Title of the Form/Collection: Office of the Chief Administrative Officer, notice. It is not for individual case Mission Support, Federal Emergency Generic Clearance of Qualitative Management Agency, Department of status inquiries. Applicants seeking Feedback on Agency Service Delivery. Homeland Security. information about the status of their (3) Agency form number, if any, and [FR Doc. 2020–06698 Filed 3–31–20; 8:45 am] individual cases can check Case Status the applicable component of the DHS Online, available at the USCIS website BILLING CODE 9111–52–P sponsoring the collection: No Agency at http://www.uscis.gov, or call the Form Number; USCIS. USCIS Contact Center at 800–375–5283 (4) Affected public who will be asked (TTY 800–767–1833). DEPARTMENT OF HOMELAND or required to respond, as well as a brief SECURITY SUPPLEMENTARY INFORMATION: abstract: Primary: Individuals or Comments households; businesses and U.S. Citizenship and Immigration organizations. This collection of Services You may access the information collection instrument with instructions, information is necessary to enable the [OMB Control Number 1615–0121] or additional information by visiting the Agency to garner customer and Federal eRulemaking Portal site at: stakeholder feedback in an efficient, Agency Information Collection timely manner, in accordance with our Activities; Extension, Without Change, http://www.regulations.gov and enter USCIS–2014–0008 in the search box. All commitment to improving service of a Currently Approved Collection: submissions will be posted, without delivery. The information collected Generic Clearance for the Collection of change, to the Federal eRulemaking from our customers and stakeholders Qualitative Feedback on Agency Portal at http://www.regulations.gov, will help ensure that users have an Service Delivery and will include any personal effective, efficient, and satisfying experience with the Agency’s programs. AGENCY: U.S. Citizenship and information you provide. Therefore, Immigration Services, Department of submitting this information makes it (5) An estimate of the total number of Homeland Security. public. You may wish to consider respondents and the amount of time estimated for an average respondent to ACTION: 60-day notice. limiting the amount of personal information that you provide in any respond: The estimated total number of SUMMARY: The Department of Homeland voluntary submission you make to DHS. respondents for the information Security (DHS), U.S. Citizenship and DHS may withhold information collection 1615–0121 is 56,000 and the Immigration Services (USCIS) invites provided in comments from public estimated hour burden per response is the general public and other Federal viewing that it determines may impact 0.5 hours. agencies to comment upon this the privacy of an individual or is (6) An estimate of the total public proposed extension of a currently offensive. For additional information, burden (in hours) associated with the approved collection of information. In please read the Privacy Act notice that collection: The total estimated annual accordance with the Paperwork is available via the link in the footer of hour burden associated with this Reduction Act (PRA) of 1995, the http://www.regulations.gov. collection is 28,000 hours. information collection notice is Written comments and suggestions (7) An estimate of the total public published in the Federal Register to from the public and affected agencies burden (in cost) associated with the obtain comments regarding the nature of should address one or more of the collection: The estimated total annual the information collection, the following four points: cost burden associated with this categories of respondents, the estimated (1) Evaluate whether the proposed collection of information is $0. burden (i.e. the time, effort, and collection of information is necessary Respondents to this collection of resources used by the respondents to for the proper performance of the information are not required to provide respond), the estimated cost to the functions of the agency, including documentation or take other actions that respondent, and the actual information whether the information will have might incur a cost. collection instruments. practical utility; (2) Evaluate the accuracy of the Dated: March 25, 2020. DATES: Comments are encouraged and agency’s estimate of the burden of the Samantha L Deshommes, will be accepted for 60 days until June proposed collection of information, Chief, Regulatory Coordination Division, 1, 2020. including the validity of the Office of Policy and Strategy, U.S. Citizenship ADDRESS: All submissions received must methodology and assumptions used; and Immigration Services, Department of include the OMB Control Number 1615– (3) Enhance the quality, utility, and Homeland Security. 0012 in the body of the letter, the clarity of the information to be [FR Doc. 2020–06711 Filed 3–31–20; 8:45 am] agency name and Docket ID USCIS– collected; and BILLING CODE 9111–97–P

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DEPARTMENT OF HOMELAND SUPPLEMENTARY INFORMATION: citizens or lawful permanent residents of the United States to petition on behalf SECURITY Comments of certain alien relatives who wish to U.S. Citizenship and Immigration You may access the information immigrate to the United States. Form I– Services collection instrument with instructions, 130A allows for the collection of or additional information by visiting the [OMB Control Number 1615–0012] additional information for spouses of Federal eRulemaking Portal site at: the petitioners necessary to facilitate a Agency Information Collection http://www.regulations.gov and enter decision. Activities; Extension, Without Change, USCIS–2007–0037 in the search box. All (5) An estimate of the total number of of a Currently Approved Collection: submissions will be posted, without respondents and the amount of time Petition for Alien Relative change, to the Federal eRulemaking estimated for an average respondent to Portal at http://www.regulations.gov, respond: The estimated total number of AGENCY: U.S. Citizenship and and will include any personal respondents for the information Immigration Services, Department of information you provide. Therefore, collection I–130 is 437,500 and the Homeland Security. submitting this information makes it estimated hour burden per response is ACTION: 60-day notice. public. You may wish to consider 2 hours. The estimated total number of limiting the amount of personal respondents for the information SUMMARY: The Department of Homeland information that you provide in any collection I–130A is 40,775 and the Security (DHS), U.S. Citizenship and voluntary submission you make to DHS. estimated hour burden per response is Immigration Services (USCIS) invites DHS may withhold information 0.833 hours. The estimated total number the general public and other Federal provided in comments from public of respondents for the information agencies to comment upon this viewing that it determines may impact collection I–130 e-file is 437,500 and the proposed extension of a currently the privacy of an individual or is estimated hour burden per response is approved collection of information or offensive. For additional information, 1.5 hours. new collection of information. In please read the Privacy Act notice that (6) An estimate of the total public accordance with the Paperwork is available via the link in the footer of burden (in hours) associated with the Reduction Act (PRA) of 1995, the http://www.regulations.gov. collection: The total estimated annual information collection notice is Written comments and suggestions hour burden associated with this published in the Federal Register to from the public and affected agencies collection is 1,565,216 hours. obtain comments regarding the nature of should address one or more of the (7) An estimate of the total public the information collection, the following four points: burden (in cost) associated with the categories of respondents, the estimated (1) Evaluate whether the proposed collection: The estimated total annual burden (i.e. the time, effort, and collection of information is necessary cost burden associated with this resources used by the respondents to for the proper performance of the collection of information is respond), the estimated cost to the functions of the agency, including $350,000,000. respondent, and the actual information whether the information will have collection instruments. practical utility; Dated: March 25, 2020. Samantha L. Deshommes, DATES: Comments are encouraged and (2) Evaluate the accuracy of the will be accepted for 60 days until June agency’s estimate of the burden of the Chief, Regulatory Coordination Division, 1, 2020. proposed collection of information, Office of Policy and Strategy, U.S. Citizenship including the validity of the and Immigration Services, Department of ADDRESS: All submissions received must Homeland Security. include the OMB Control Number 1615– methodology and assumptions used; (3) Enhance the quality, utility, and [FR Doc. 2020–06710 Filed 3–31–20; 8:45 am] 0012 in the body of the letter, the BILLING CODE 9111–97–P agency name and Docket ID USCIS– clarity of the information to be 2007–0037. Submit comments via the collected; and (4) Minimize the burden of the Federal eRulemaking Portal website at collection of information on those who DEPARTMENT OF HOUSING AND http://www.regulations.gov under e- are to respond, including through the URBAN DEVELOPMENT Docket ID number USCIS–2007–0037. use of appropriate automated, USCIS is limiting communications for [Docket No. FR–6113–N–04] electronic, mechanical, or other this Notice as a result of USCIS’ COVID– technological collection techniques or 19 response actions. Announcement of Funding Awards other forms of information technology, FOR FURTHER INFORMATION CONTACT: e.g., permitting electronic submission of AGENCY: Office of Strategic Planning and USCIS, Office of Policy and Strategy, responses. Management, HUD. Regulatory Coordination Division, ACTION: Notice. Samantha Deshommes, Chief, telephone Overview of This Information number 202–272–8377 (This is not a Collection SUMMARY: In accordance with section toll-free number. Comments are not (1) Type of Information Collection: 102(a)(4)(C) of the Department of accepted via telephone message). Please Extension, Without Change, of a Housing and Urban Development note contact information provided here Currently Approved Collection. Reform Act of 1989, this announcement is solely for questions regarding this (2) Title of the Form/Collection: notifies the public of funding decisions notice. It is not for individual case Petition for Alien Relative. made by the Department in status inquiries. Applicants seeking (3) Agency form number, if any, and competitions for funding under the information about the status of their the applicable component of the DHS Notices of Funding Availability individual cases can check Case Status sponsoring the collection: I–130; USCIS. (NOFAs) for the following programs: Online, available at the USCIS website (4) Affected public who will be asked Fiscal Year (FY) 2017 Homeless at http://www.uscis.gov, or call the or required to respond, as well as a brief Management Information System USCIS Contact Center at 800–375–5283 abstract: Primary: Individuals or Capacity Building Project (HMIS); FY (TTY 800–767–1833). households. Form I–130 allows U.S. 2018 Research and Evaluation,

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Demonstrations, and Data Analysis and development and implementation to residents of urban, suburban, rural and Utilization Program (HUDRD); FY 2018 improve life in American communities tribal area. The list of awardees under Healthy Homes Production Grant through conducting, supporting, and this NOFA is provided at Appendix E of Program for Tribal Housing; FY 2019 sharing research, surveys, this notice. Housing Opportunities for Persons with demonstrations, program evaluations, HUD posted its FY 2019 Lead Hazard AIDS (HOPWA) Permanent Supportive and best practices. The list of awardees Reduction Grant Program on grants.gov Housing (PSH) Renewal Grants (Notice under this NOFA is provided at on June 25, 2019, (FR–6300–N–13). The CPD–19–03); FY 2019 Policy Appendix B of this notice. competition closed on August 9, 2019. Development and Research Authority to HUD posted its FY 2018 Heathy HUD rated and selected applications for Accept Unsolicited Proposals for Homes Production Grant Program for funding based on selection criteria Research Partnership Notice; FY 2019 Tribal Housing on grants.gov on June contained in the NOFA. This Lead Hazard Reduction Grant Program; 25, 2019, (FR–6200–N–44). The competition awarded $313,656,859.14 FY 2019 Lead, Healthy Homes competition closed on August 9, 2019. to 77 recipients to maximize the number Technical Studies Grant Program; FY HUD rated and selection applications of children under the age of six years 2019 Comprehensive Housing for funding based on selection criteria protected from lead poisoning by Counseling Grant Program; FY 2019 contained in the NOFA. This assisting states, cities, counties/ Housing Counseling Training Grant and competition awarded $5,083,623 to 6 parishes, Native American Tribes or FY 2019 Choice Neighborhoods recipients to address multiple other units of local government in Planning Grant Program. childhood diseases and injuries in the undertaking comprehensive programs to FOR ADDITIONAL INFORMATION, CONTACT: home by focusing on housing-related identify and control lead-based paint Office of Strategic Planning and hazards in a coordinated fashion, rather hazards in eligible privately-owned Management, Grants Management and than addressing a single hazard at a rental or owner-occupied housing Oversight Division at [email protected] time. The program builds upon HUD’s populations. The list of awardees under or the contact person listed in each experience with Lead Hazard Control this NOFA is provided at Appendix F of appendix. Hearing- or speech- impaired programs to expand the Department’s this notice. individuals may access this number via efforts to address a variety of high- HUD posted its FY 2019 Healthy TTY by calling the Federal Information priority environmental health and safety Homes Technical Studies Grant Program Relay Service, toll-free, at 800–877– hazards. The list of awardees under this on grants.gov on June 10, 2019, (FR– 8339. NOFA is provided at Appendix C of this 6300–N–15), with a pre-application due notice. date of July 11, 2019. The competition SUPPLEMENTARY INFORMATION: HUD HUD posted its FY 2019 Housing full application closed on September 3, posted its FY 2017 Homeless Opportunities for Persons with AIDS 2019. HUD rated and selected Management Information System (HOPWA) Permanent Supportive applications for funding based on Capacity Building Project (HMIS) NOFA Housing (PSH) Renewal Grants Notice selection criteria contained in the on grants.gov on November 19, 2018, CPD–19–03 on grants.gov on March 4, NOFA. This competition awarded (FR–6100–N–40). The competition 2019, (Notice CPD–19–030). The $6,405,862 to 7 recipients to gain closed on January 31, 2019. HUD rated competition closed on April 12, 2019. knowledge to improve the efficacy and and selected applications for funding HUD rated and selected applications for cost-effectiveness of methods for based on selection criteria contained in funding based on selection criteria evaluation and control of residential the NOFA. This competition awarded contained in the NOFA. This lead-based paint hazards. The list of $5,000,000 to 37 recipients to improve competition has awarded $24,735,991 to awardees under this NOFA is provided their Continuum of Care (CoC’s)’ 25 recipients to pursuant to the at Appendix G of this notice. Homeless Management Information authority provided by the Consolidated HUD posted its FY 2019 Lead Systems. Activities that improve HMIS Appropriations Act, 2019, Public Law Technical Studies Grant Program on include any one or more of 116–6, Div. G, Title II. The Department grants.gov on June 10, 2019, (FR–6300– Consolidating HMIS software or will renew all eligible expiring HOPWA N–15), with a pre-application due date databases with another CoC’s HMIS; permanent supportive housing (PSH) of July 11, 2019. The competition full Upgrading, customizing, or configuring competitive grants initially funded with application closed on September 3, the functionality of a CoC’s existing appropriated funds from Fiscal Year 2019. HUD rated and selected HMIS; Improving HMIS data quality; or 2010 or earlier provided they meet applications d for funding based on Increasing staff skills through trainings applicable program requirements. The selection criteria contained in the related to HMIS governance, data list of awardees under this NOFA is NOFA. This competition awarded collection and data quality provided at Appendix D of this notice. $1,982,233 to 3 recipients to advance improvements, and data analysis to HUD posted its FY 2018/2019 Policy the recognition and control of priority support strategic decision-making. The Development and Research Authority to residential health and safety hazards list of awardees under this NOFA is Accept Unsolicited Proposals for and more closely examine the link provided at Appendix A of this notice. Research Partnership Notice (USP) on between housing and health. The list of HUD posted its FY 2018/2019 grants.gov on May 21, 2019, (FR–6300– awardees under this NOFA is provided Research and Evaluation, N–USP). The competition closed on at Appendix H of this notice. Demonstrations and Data Analysis and December 31, 2020. HUD rated and HUD posted its FY 2019 Utilization Program (HUDRD) NOFA on selected applications were rated and Comprehensive Housing Counseling grants.gov on April 10, 2019, (FR–6200– selected for funding based on selection Grant Program on grants.gov on May 24, N–29). The competition closed on May criteria contained in the NOFA. This 2019, (FR–6300–N–33). The competition 24, 2019. HUD rated and selected competition has awarded $427,288 to 3 closed on July 2, 2019. HUD rated and applications for funding based on recipients to allow greater flexibility in selected applications for funding based selection criteria contained in the addressing important policy questions on selection criteria contained in the NOFA. This competition awarded and to better utilize external expertise in NOFA. This competition awarded $2,623,077 to 6 recipients to further evaluating the local innovations and $42,841,684 to 207 recipients to provide PD&R’s mission to inform policy effectiveness of programs affecting counseling and advice to tenants and

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homeowners with respect to property line and onsite courses. The list of units while simultaneously directing the maintenance, financial management and awardees under this NOFA is provided transformation of the surrounding literacy, and such other matters as may at Appendix I of this notice. neighborhood and positive outcomes for be appropriate to help clients improve HUD posted the FY 2019 Choice families. The list of awardees under this their housing conditions, meet financial Neighborhoods Planning Grants NOFA is provided at Appendix J of this needs, and fulfill the responsibilities of competition on grants.gov on April 10, notice. tenancy or homeownership. 2019 (FR–6300–N–38). The competition In accordance with section HUD posted FY 2019 Housing closed on June 10, 2019. HUD rated and 102(a)(4)(C) of the Department of Counseling Training Grant on grants.gov selected applications for funding based Housing and Urban Development on August 6, 2019 (FR–6300–N–30). The on selection criteria contained in the Reform Act of 1989 (103 Stat. 1987, 42 competition closed on September 5, NOFA. This competition awarded U.S.C. 3545(a)(4)(C)), the Department is 2019. HUD rated and selected $5,150,000 to 4 recipients to support the publishing the awardees and the applications for funding based on development of comprehensive amounts of the awards in Appendices A selection criteria contained in the neighborhood revitalization plans through J to this document. NOFA. The competition awarded which focused on directing resources to Dated: March 27, 2020. $2,500,000 to 5 recipients to provide address three core goals: Housing, Dorthera Yorkshire, basic housing counseling training and People and Neighborhoods. To achieve specialized topics to housing counseling these core goals, communities must Director, Grants Management and Oversight. agencies to better assist individuals and develop and implement a Appendix A families. In addition, the grant supports comprehensive neighborhood training the agencies on state and local revitalization strategy, or FY2017 Homeless Management issues and to support the emerging Transformation Plan. The Information System Capacity Building administrative priorities such as HECM Transformation Plan will become the Project default counseling and disaster guiding document for the revitalization Contact: Abbilyn Miller, (212) 542– preparation/recovery classes, both on- of the public and/or assisted housing 7120

Award Legal name Address line 1 Address line 2 City State Zip 5 Zip 4 amount

Alabama rural Coalition for 4120 Wall Street ...... Montgomery ...... AL 36106 2861 $121,380 the Homeless, Inc. Broward County, FL ...... 115 S Andrews Av- Room 409 ...... Fort Lauderdale FL 33301 1801 126,498 enue. CARES of NY, Inc ...... 200 Henry Johnson Suite 4 ...... Albany ...... NY 12210 1550 100,000 Boulevard. Changing Homelessness, Inc 660 Park Street ...... Jacksonville ...... FL 32204 2933 104,500 City of Amarillo ...... 808 S Buchanan St Community Devel- Amarillo ...... TX 79105 1971 143,860 opment Depart- ment. City of Boston ...... 26 Court Street ..... Supportive Housing Boston ...... MA 2108 2501 150,000 City of Lowell ...... 50 Arcand Drive ...... Lowell ...... MA 1852 1803 150,000 City of Topeka ...... 620 SE Madison, Housing Services .. Topeka ...... KS 66607 1149 102,685 1st Floor, Unit 8. Commonwealth of Massachu- 100 Cambridge Suite 300 ...... Boston ...... MA 2114 2531 150,000 setts. Street. Community Action Partner- 350 Mission Street ...... Salem ...... OR 97302 6302 150,000 ship of Oregon (CAPO). SE, Suite 201. Community Council of St. P.O. Box 219 ...... Cottleville ...... MO 63338 219 149,550 Charles County. County of Chester ...... 313 W Market St ... Suite 6202 ...... West Chester .... PA 19380 991 150,000 County of Santa Barbara ...... 123 E Anapamu ...... Santa Barbara .. CA 93101 2025 133,564 St., Suite 202. County of Shasta ...... 1450 Court Street, Community Action Redding ...... CA 96001 1661 170,300 Suite 108. Homeward ...... 9211 Forest Hill Ste. 200 ...... Richmond ...... VA 23235 0 91,977 Ave. Lee County ...... 2115 Second St ...... Fort Myers ...... FL 33901 3070 84,900 Little Rock Community Men- 1100 North Univer- ...... Little Rock ...... AR 72207 6359 136,295 tal Health Center, Inc. sity Avenue, Suite 201. Los Angeles Homeless Serv- 811 Wilshire Blvd., Data Management Los Angeles ...... CA 90017 2606 150,000 ices Authority. 6th Floor. Lynn Housing Authority & 10 Church Street ...... Lynn ...... MA 1902 4418 33,383 Neighborhood Develop- ment (LHAND). Mendocino County Health & Mendocino County 747 S State Street Ukiah ...... CA 95482 5815 150,000 Human Services Agency. Health & Human Services Agency. Metropolitan Social Services P.O. Box 196300 .. Homeless Impact Nashville ...... TN 37219 6300 150,000 of Nashville & Davidson Division. County.

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Award Legal name Address line 1 Address line 2 City State Zip 5 Zip 4 amount

Mid-America Regional Coun- 600 Broadway, ...... Kansas City ...... MO 64105 1659 150,000 cil Community Services Suite 200. Corporation. Monroe County Homeless P.O. Box 2410 ...... HMIS ...... Key West ...... FL 33045 2410 55,100 Services Continuum of Care, Inc.. Montgomery County Mary- 101 Monroe Street SEPH ...... Rockville ...... MD 20850 2503 150,000 land. Murfreesboro, City of ...... 111 W Vine St ...... Murfreesboro .... TN 37130 3573 146,300 North Alabama Coalition for 1580 Sparkman ...... Huntsville ...... AL 35816 2680 150,000 the Homeless, Inc. Dr., Suite 111. North Dakota Coalition for 417 Main Ave., P.O. Box 1483 ...... Fargo ...... ND 58107 1483 99,435 Homeless People. #206. One Roof, Inc ...... 1515 6th Ave. S .... HMIS ...... Birmingham ...... AL 35233 1601 135,368 Partners for HOME ...... 55 Trinity Avenue ...... Atlanta ...... GA 30303 3520 150,000 Project NOW, Inc ...... 418 19th St ...... Homeless ...... Rock Island ...... IL 61201 8123 128,909 Sonoma County Community 1440 Guerneville ...... Santa Rosa ...... CA 95403 4107 131,019 Development Commission. Road. South Dakota Housing Devel- 3060 East Eliza- ...... Pierre ...... SD 57501 1237 140,150 opment Authority. beth Street. Suncoast Partnership to End 1750 17th Street- ...... Sarasota ...... FL 34234 8666 257,457 Homelessness, Inc. C1. Tarrant County Homeless 300 S Beach ...... Fort Worth ...... TX 76105 1158 150,000 Coalition. Street. The Appalachian Regional 321 W Walnut St ...... Johnson City ..... TN 37604 6774 150,000 Coalition on Homelessness. Rochester/Monroe County 560 West Main ...... Rochester ...... NY 14608 1949 157,370 Homeless Continuum of Street. Care, Inc. City of Springfield ...... 36 Court St ...... Springfield ...... MA 11030 1602 150,000

Total ...... 5,000,000

Appendix B FY2018/2019 Research and Evaluation, Demonstrations and Data Analysis and Utilization Program (HUDRD) Contact: Carol Gilliam, (202) 402– 4354.

Organization name Street address City State Zip code Award amount

University of Iowa ...... 2 Gilmore Hall ...... Iowa City ...... IA 52242–1320 $850,000 Enterprise Community Partners, 11000 Broken Land Parkway, Columbia ...... MD 21044–3535 350,000 Inc. Suite 700. Newport Partners LLC ...... 3760 Tanglewood Lane ...... Davidsonville ...... MD 21035 373,077 University of Florida...... 207 Grinter Hall, P.O. Box Gainesville ...... FL 32611 250,000 115500. Home Innovation Research Labs, 400 Prince Georges Blvd ...... Upper Marlboro ...... MD 20774 400,000 Inc. Colorado State University ...... 1372 Campus Delivery ...... Fort Collins ...... CO 80523 400,000

Total ...... 2,623,077

Appendix C FY2018 Heathy Homes Production Grant Program for Tribal Housing Contact: Michelle Miller, (202) 402– 5769.

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State/ Zip/postal Federal Organization name Address City province code ($)

Native Village of Buckland ...... P.O. Box 67 ...... Buckland ...... AK 99727 $625,000.00 Tlingit Haida Regional Housing Au- 5446 Jenkins Drive ...... Juneau ...... AK 99803 1,000,000.00 thority. Alaska Native Tribal Health Consor- 4000 Ambassador Drive ...... Anchorage ...... AK 99508–5909 999,827.00 tium. Saint Regis Mohawk Tribe ...... 412 State Route 37 ...... Hogansburg ...... NY 13655 1,000,000.00 Kenaitze Salamatof Tribal Des- P.O. Box 988 ...... Kenai ...... AK 99611–0988 913,086.00 ignated Housing. Sisseton-Wahpeton Oyate ...... 12554 BIA Hwy. 711 ...... Agency Village .. SD 57262–0509 545,710.00

Total ...... 5,083,623.00

Appendix D FY2019 Housing Opportunities for Persons With AIDS (HOPWA) Permanent Supportive Housing (PSH) Renewal Grants Contact: Claire Donze, (202) 402– 2365.

Organization name Address City State Zip code Award amount

AIDS Alabama ...... 3529 7th Avenue South ...... Birmingham ...... AL 35222–3210 $853,252.00 Alameda County ...... 224 W Winton Ave., Room 108 ...... Hayward ...... CA 94544–1215 1,483,094.00 Bernal Heights Neighborhood Center 515 Cortland Ave ...... San Francisco .. CA 94110–5611 473,217.00 City and County of San Francisco .... 1 S Van Ness Ave., 5th Floor ...... San Francisco .. CA 94103–1267 1,430,000.00 City of Baltimore ...... 7 E Redwood Street, 5th Floor ...... Baltimore ...... MD 21202–1108 1,405,950.00 City of Dallas ...... 1500 Marilla 4EN ...... Dallas ...... TX 75201–6318 746,853.00 City of Key West ...... 1400 Kennedy Drive ...... Key West ...... FL 33040–4008 1,430,000.00 City of San Jose ...... 200 East Santa Clara Street ...... San Jose ...... CA 95113–1903 1,256,461.00 City of Savannah, Daniel Flagg Villas 1375 Chatham Parkway ...... Savannah ...... GA 31405–0304 249,432.00 City of Savannah, Project House Call 1375 Chatham Parkway ...... Savannah ...... GA 31405–0304 671,776.00 Clare Housing ...... 929 Central Avenue NE ...... Minneapolis ...... MN 55413–2404 951,376.00 Connections Community Support 3821 Lancaster Pike ...... Wilmington ...... DE 19805–1512 757,211.00 Programs. Cornerstone Services, Inc ...... 777 Joyce Road ...... Joliet ...... IL 60436–1877 856,220.00 Del Norte Neighborhood Develop- 3275 W 14th Ave., #202 ...... Denver ...... CO 80204–2232 612,379.00 ment Corp. Frannie Peabody Center ...... 30 Danforth Street, Suite 311 ...... Portland ...... ME 04101–4574 1,406,578.00 Health Care for Homeless, Inc ...... 421 Fallsway ...... Baltimore ...... MD 21202–4800 1,261,949.00 Health Services Center, Inc ...... 608 Martin Luther King Drive, P.O. Anniston ...... AL 36202 855,617.00 Box 1347. I.M. Sulzbacher ...... 611 East Adams Street ...... Jacksonville ...... FL 32202–2847 1,215,572.00 Justice Resource Institute ...... 160 Gould Street, Suite 300 ...... Needham ...... MA 02494–2300 1,377,743.00 Kentucky Housing Corporation ...... 1231 Louisville Rd ...... Franfort ...... KY 40601–6156 431,467.00 Oregon Health Authority ...... 800 NE Oregon Street, Suite 1105 .. Portland ...... OR 97232–2187 1,214,853.00 Our House of Portland ...... 2727 SE Alder Street ...... Portland ...... OR 97214–3015 1,016,409.00 The State of Rhode Island Office of One Capitol Hill ...... Providence ...... RI 02908–5873 741,355.00 Housing and Community Develop- ment (New Transitions). The State of Rhode Island Office of One Capitol Hill ...... Providence ...... RI 02908–5873 1,240,606.00 Housing and Community Develop- ment (Sunrise Project). Unity of Greater New Orleans ...... 2475 Canal Street, Suite 300 ...... New Orleans ..... LA 70119–6555 796,621.00

Total ...... 24,735,991.00

Appendix E FY2018/2019 Policy Development & Research Authority To Accept Unsolicited Proposals for Research Partnership Notice Contact: Carol Gilliam, (202) 402– 4354.

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Organization name Street address City State Zip code Award amount

German Marshall Fund of the United 1744 R Str ...... Washington ...... DC 20009 $204,260 States. Abt Associates ...... 6130 Executive Blvd ...... Rockville ...... MD 20852 98,028 New York University Furman Center 139 MacDougal Street, 2nd Floor .... New York ...... NY 10012 125,000 for Real Estate and Urban Policy.

Total ...... 427,288

Appendix F FY2019 Lead Hazard Reduction Grant Program Contact: Yolanda A. Brown, (202) 402–5769.

State/ Zip/postal Federal Organization name Address City province code ($)

City of San Antonio ...... 1400 South Flores ...... San Antonio ...... TX 78204 $4,600,000.00 City of New Haven ...... 54 Meadow Street, 9th Floor ...... New Haven ...... CT 06519 5,600,000.00 City of Lynn ...... 10 Church Street ...... Lynn ...... MA 01902 9,304,184.00 County of Peoria ...... 2116 N Sheridan Road ...... Peoria ...... IL 61604–3457 5,600,000.00 Jefferson Parrish...... 1221 Elmwood Park Boulevard, Jefferson ...... LA 70123–2337 3,300,000.00 Suite 605. County of Montgomery ...... 425 Swede Road, P.O. Box 311 ...... Norristown ...... PA 194040311 1,800,000.00 City of Woonsocket ...... 169 Main Street ...... Woonsocket ...... RI 2895 4,000,000.00 City of Elmira ...... 317 E Churst St ...... Elmira ...... NY 14901–2718 1,293,388.00 City of East Orange ...... 44 City Hall Plaza ...... East Orange ..... NJ 07018–4502 3,300,000.00 City of Cleveland ...... 601 Lakeside Avenue, Room 320 .... Cleveland ...... OH 44114–1015 9,700,000.00 County of Bergen ...... 1 Bergen County Plz., Rm 1 ...... Hackensack ...... NJ 07601–7075 3,300,000.00 Onondaga County ...... 1100 Civic Center ...... Syracuse ...... NY 13202 5,600,000.00 County of Tulsa ...... 5051 South 129th E Ave ...... Tulsa ...... OK 74134–7004 1,226,891.00 City of Milwaukee ...... 841 N Broadway ...... Milwaukee ...... WI 53202 5,600,000.00 State of Georgia ...... 2 Peachtree Street NW ...... Atlanta ...... GA 30303 3,300,000.00 County of Delaware ...... 201 W Front Street ...... Media ...... PA 19063–2561 1,000,000.00 City of Rochester ...... 30 Church St ...... Rochester ...... NY 14614 5,600,000.00 State of Pennsylvania ...... 625 Forster Street, 7th Floor ...... Harrisburg ...... PA 17120–0701 2,900,000.00 City of Worcester ...... 455 Main Street—Suite 405 ...... Worcester ...... MA 01608 5,600,000.00 City of Spartanburg ...... 145 West Broad Street ...... Spartanburg ...... SC 29306–3210 1,299,964.00 City of Lewiston ...... 27 Pine Street ...... Lewiston ...... ME 04240–7204 5,206,649.00 City of Hialeah ...... 501 Palm Avenue First Floor, Grants Hialeah ...... FL 33010–4719 3,300,000.00 Dept. East Central Intergovernmental As- 7600 Commerce Park ...... Dubuque ...... IA 520029673 3,299.996.14 sociation. County of McHenry ...... 2200 North Seminary Avenue ...... Woodstock ...... IL 600982637 2,247,969.00 City of Biddeford ...... 205 Main Street ...... Biddeford ...... ME 04005–0001 3,246,744.00 Hennepin County ...... 701 4th Ave. S, Suite 400 ...... Minneapolis ...... MN 55415 5,600,000.00 City of Harrisburg ...... 10 North Second Street, Suite 206 .. Harrisburg ...... PA 17101 5,600,000.00 State of Louisiana ...... 1450 Poydras Street, Suite 2046 ..... New Orleans ..... LA 70112–2016 3,300,000.00 County of Fresno ...... 1221 Fulton Mall ...... Fresno ...... CA 93721–3604 3,000,000.00 City of Memphis ...... 170 N Main Street, 3rd Fl ...... Memphis ...... TN 38103–1877 5,600,000.00 City of Columbus ...... 111 N Front Street, 3rd Floor ...... Columbus ...... OH 43215 5,600,000.00 Erie County (NY) ...... 95 Franklin St ...... Buffalo ...... NY 14202 5,600,000.00 Mahoning County ...... 21 West Boardman Street ...... Youngstown ...... OH 44503 4,600,000.00 Montgomery County (TX) ...... 501 N Thompson, Suite 200 ...... Conroe ...... TX 77301–2500 1,000,000.00 City of Charlotte ...... 600 East Trade St ...... Charlotte ...... NC 28202 3,635,222.00 City of Boston ...... 26 Central Avenue ...... Hyde Park ...... MA 2136 4,342,674.00 Maine State Housing Authority ...... 353 Water Street ...... Augusta ...... ME 04330 3,818,377.00 City of Tucson ...... 310 N Commerce Park Loop ...... Tucson ...... AZ 85745 3,953,630.00 Baltimore City ...... 417 E Fayette Street ...... Baltimore ...... MD 21202 9,700,000.00 Winnebago County ...... 401 Division Street ...... Rockford ...... IL 61104–2014 3,411,839.00 New Castle County ...... 77 Reads Way ...... New Castle ...... DE 19720–1648 3,300,000.00 City of Grand Rapids ...... 300 Monroe Ave. NW ...... Grand Rapids ... MI 49503 4,231,677.00 City of Pomona ...... 505 S Garey Avenue, P.O. Box 660 Pomona ...... CA 91766–3322 4,600,000.00 City of Wilmington (NC) ...... 305 Chestnut St., Post Office Box Wilmington ...... NC 28402–1810 1,800,000.00 1810. City of Houston ...... 8000 N Stadium Drive, 2nd Fl ...... Houston ...... TX 77054 9,700,000.00 County of Erie (OH) ...... 2900 Columbus Avenue ...... Sandusky ...... OH 44870 3,828,430.00 City of Detroit ...... 2 Woodward Ave., Suite 908 ...... Detroit ...... MI 48226 9,700,000.00 Commonwealth of Virginia ...... 501 N Second Street ...... Richmond ...... VA 23219 5,600,000.00 Cuyahoga County ...... 5550 Venture Drive ...... Parma ...... OH 44130 5,600,000.00

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State/ Zip/postal Federal Organization name Address City province code ($)

City of Canton ...... 218 Cleveland Ave. SW, P.O. Box Canton ...... OH 44701–4218 3,300,000.00 24218. State of Minnesota ...... 625 Robert Street North, P.O. Box St. Paul ...... MN 55164–0975 3,300,000.00 64975. City of Norwich ...... 23 Union Street ...... Norwich ...... CT 06360 2,955,058.00 City of Jackson ...... 219 South President Street ...... Jackson ...... MS 39205–0017 1,800,000.00 City of Tuscaloosa ...... 2201 University Blvd ...... Tuscaloosa ...... AL 35401–1752 2,999,871.00 City of Portland (ME) ...... 389 Congress Street ...... Portland ...... ME 04101–3571 2,541,696.00 Genesee County ...... 3837 West Main St. Rd ...... Batavia ...... NY 14020–9404 1,300,000.00 Township of Irvington ...... One Civic Square Municipal Building Irvington ...... NJ 07111–2497 3,300,000.00 Chesterfield County ...... P.O. Box 40 ...... Chesterfield ...... VA 23832–0903 1,580,285.00 County of Alameda ...... 2000 Embarcadero, Ste. 300 ...... Oakland ...... CA 94606 3,600,000.00 County of Niagara ...... 5467 Upper Mountain Road ...... Lockport ...... NY 14094–1894 2,750,000.00 City of Warren ...... One City Square, Suite 210 ...... Warren ...... MI 48093–5290 1,300,000.00 County of Bucks ...... 1260 Almshouse Rd ...... Doylestown ...... PA 18901–2886 1,563,106.00 City of Lancaster ...... 120 North Duke Street ...... Lancaster ...... PA 17602–1599 9,700,000.00 Rhode Island Housing and Mortgage 44 Washington Street ...... Providence ...... RI 02903 8,440,960.00 Finance Corporation. City of Akron ...... 166 South High Street, Room 100 ... Akron ...... OH 44308 4,600,000.00 County of Cerro Gordo ...... 2570 4th Street SW ...... Mason City ...... IA 50401–3435 2,975,961.00 Salt Lake County ...... 2001 South State Street ...... Salt Lake City ... UT 84190–2770 5,125,207.00 Maricopa County ...... 234 N Central Ave., Third Floor ...... Phoenix ...... AZ 85004–2256 1,782,710.00 City of Oklahoma City ...... 420 W Main Street, Suite 920 ...... Oklahoma City .. OK 73102–4437 2,000,000.00 City of Quincy ...... 1305 Hancock Street ...... Quincy ...... MA 02169 300,000.00 Summit County ...... 1867 West Market Street ...... Akron ...... OH 44313–6901 5,600,000.00 City of Lima ...... 50 Town Square ...... Lima ...... OH 45801–4900 2,000,000.00 City of Los Angeles ...... 1200 W 7th Street ...... Los Angeles ...... CA 90017 5,600,000.00 Department of Energy and Environ- 1200 First Street NE, 5th Floor ...... Washington ...... DC 20002–7957 3,594,371.00 ment. City of Waco ...... 300 Austin Ave ...... Waco ...... TX 76702–2209 2,300,000.00 City of Newark (NJ) ...... 110 William Street ...... Newark ...... NJ 07102 5,600,000.00 Vermont Housing and Conservation 58 East State Street ...... Montpelier ...... VT 05602 4,000,000.00 Board.

Total ...... 313,656,859.14

Appendix G FY2019 Healthy Homes Technical Studies Grant Contact: Dr. Peter J. Ashley, (202) 402–7595.

Organization name Address City State Zip Award

The George Washington University .. 1922 F Street NW, 4th Floor ...... Washington ...... DC 20052 $850,000 Illinois Institute of Technology ...... 10 West 35th Street ...... Chicago ...... IL 60616 1,000,000 The Board of Trustees of the Univer- MB 502, M/C 551, 809 S Marshfield Chicago ...... IL 60612 999,999 sity of Illinois. Avenue. University of Massachusetts, Lowell One University Avenue ...... Lowell ...... MA 01854 999,999 National Center for Healthy Housing 10320 Little Patuxent Parkway, Suite Columbia ...... MD 21044 799,999 Inc. 500. North Carolina State University ...... 2701 Sullivan Drive, Admin Services Raleigh ...... NC 27695 999,295 III, Box 7514. Virginia Polytechnic Institute and 300 Turner St. NW, Suite 4200 ...... Blacksburg ...... VA 24061 756,570 State University.

Total ...... 6,405,862

Appendix H FY2019 Lead Technical Studies Contact: Dr. Peter J. Ashley, (202) 402–7595.

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Organization name Address City State Zip Award

The Board of Trustees of the Univer- MB 502, M/C 551, 809 S Marshfield Chicago ...... IL 60612 $700,000 sity of Illinois. Avenue. Trustees of Boston University ...... 85 East Newton Street, M–921 ...... Boston ...... MA 02118 670,799 QuanTech, Inc ...... 6110 Executive Blvd., Ste. 480 ...... Rockville ...... MD 20852 611,534

Total ...... 1,982,333

Appendix I FY2019 Comprehensive Housing Counseling Grant Program Contact: Joel Schumacher, (212) 542– 7311.

Grantee name Address City State Zip Amount

UNIDOS US ...... 1126 16th St., NW ...... Washington ...... DC 20036 $1,930,487 NEIGHBORHOOD REINVESTMENT 999 North Capitol Street NE, Suite Washington ...... DC 20002 3,000,000 CORP. DBA NEIGHBORWORKS 900. AMERICA. RURAL COMMUNITY ASSISTANCE 3210 Freeboard Drive, Suite 201 ..... West Sac- CA 95691 713,236 CORPORATION. ramento. NATIONAL CAPACD ...... 1628—16th St. NW, 4th Floor ...... Washington ...... DC 20009 421,199 THE HOUSING PARTNERSHIP One Washington Mall, 12th Floor .... Boston ...... MA 02108 596,921 NETWORK. HOUSING ACTION ILLINOIS ...... 67 E Madison Street, Suite 1603 ..... CHICAGO ...... IL 60603 1,200,141 NEIGHBORHOOD STABILIZATION 225 Centre Street, Suite 100 ...... Boston ...... MA 02119 2,579,917 CORPORATION (NACA COUN- SELING SUBSIDIARY). HOMEFREE—U S A ...... 6200 Baltimore Avenue ...... Riverdale ...... MD 20737 1,918,848 GREENPATH, INC ...... 36500 Corporate Drive ...... Farmington Hills MI 48331 2,136,790 MINNESOTA HOMEOWNERSHIP 1000 Payne Avenue, Suite 200 ...... Saint Paul ...... MN 55130 600,696 CENTER. MISSISSIPPI HOMEBUYER EDU- 350 West Woodrow Wilson Avenue, Jackson ...... MS 39213 294,910 CATION CENTER—INITIATIVE. Suite 3480. TELAMON CORPORATION ...... 5560 Munford Rd., Suite 201 ...... Raleigh ...... NC 27612 394,964 GARDEN STATE CONSUMER 200 US Highway 9 North ...... Manalapan ...... NJ 07726 556,769 CREDIT COUNSELING, INC. D/B/ A/NAVICORE SOLUTIONS. HOUSING & COMMUNITY DEVEL- 145 W Hanover Street ...... Trenton ...... NJ 08618 288,223 OPMENT NETWORK OF NEW JERSEY. NATIONAL URBAN LEAGUE ...... 80 Pine Street, 9th Floor ...... NY ...... NY 10005 871,183 NUEVA ESPERANZA, INC ...... 4261 North 5th Street ...... Philadelphia ...... PA 19140 633,037 UNITED WAY OF CENTRAL ALA- 3600 8th Avenue South Community Birmingham ...... AL 35222 450,446 BAMA, INC. Initiatives. NATIONAL ASSOCIATION OF 7677 Oakport Street, Suite 1030 ..... Oakland ...... CA 94621 1,129,222 REAL ESTATE BROKERS—IN- VESTMENT DIVISION, INC. NORTH CAROLINA HOUSING CO- 5800 Faringdon Place ...... Raleigh ...... NC 27609 764,695 ALITION. MON VALLEY INITIATIVE ...... 303–305 E Eighth Avenue Housing Homestead ...... PA 15120 605,606 Counseling. CONSUMER CREDIT COUN- 1655 Grant St., Suite #1300 ...... Concord ...... CA 94520 695,828 SELING SERVICES OF SAN FRANCISCO D/B/A BALANCE. WEST TENNESSEE LEGAL SERV- 210 WEST MAIN STREET ...... Jackson ...... TN 38301 789,130 ICES, INCORPORATED. NATIONAL COMMUNITY REIN- 740 15th Street NW, Suite 400 ...... Washington ...... DC 20005 988,833 VESTMENT COALITION, INC. CATHOLIC CHARITIES USA ...... 2050 Ballenger Ave., Suite 400 ...... Alexandria ...... VA 22314 936,211 HOUSING OPTIONS PROVIDED 7300 Dartmouth Ave., Suite 100 ...... University City .. MO 63130 174,988 FOR THE ELDERLY (HOPE). NATIONAL FOUNDATION FOR 2000 M Street NW, Suite 505 ...... Washington ...... DC 20036 876,867 CREDIT COUNSELING, INC. NEW YORK MORTGAGE COALI- 85 Broad Street, 17th Floor ...... New York ...... NY 10004 370,944 TION. CITIZENS’ HOUSING AND PLAN- One Beacon Street, 5th Floor ...... Boston ...... MA 02108 628,335 NING ASSOCIATION, INC. MONEY MANAGEMENT INTER- 14141 SW Freeway, Suite 1000 ...... Sugar Land ...... TX 77478 1,118,715 NATIONAL INC.

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Grantee name Address City State Zip Amount

MONTANA HOMEOWNERSHIP 509 1st Ave. South ...... Great Falls ...... MT 59401 443,184 NETWORK DBA NEIGHBORWORKS MONTANA. CREDIT.ORG ...... 4351 Latham Street ...... Riverside ...... CA 92501 307,019 CONSUMER CREDIT COUN- 6315 Hillside Court, Suite B ...... Columbia ...... MD 21046 392,706 SELING SERVICE OF MARY- LAND AND DELAWARE, INC. (CCCSMD—FORMERLY GUIDEWELL). PATHSTONE CORPORATION ...... 400 East Ave., Housing Division ...... Rochester ...... NY 14607 289,495 HOME PARTNERSHIP, INC. (HPI) .. Home Partnership Inc., 626 Towne Joppa ...... MD 21085 29,726 Centere Dr., Suite 102. HOUSING AUTHORITY OF MINGO 5026 Helena Avenue ...... Delbarton ...... WV 25670 19,226 COUNTY. HOUSING COUNSELING SERV- 2410 17th Street NW, Suite 100 ...... Washington ...... DC 20009 129,364 ICES, INCORPORATED (HSC, INC.). HOUSING INITIATIVE PARTNER- 6525 Belcrest Road, Suite 555 ...... Hyattsville ...... MD 20782 72,628 SHIP, INC. (HIP). PRO–HOME, INC ...... 40 Summer Street ...... Taunton ...... MA 02780 20,527 SPRINGFIELD PARTNERS FOR 721 State Street ...... Springfield ...... MA 01109 16,821 COMMUNITY ACTION. SHORE UP!, INC ...... 520 Snow Hill Road ...... Salisbury ...... MD 21804 15,174 SOUTHERN MARYLAND TRI- 8371 Old Leonardtown Rd., P.O. Hughesville ...... MD 20637 29,181 COUNTY COMMUNITY ACTION. Box 280. FREDERICK COMMUNITY ACTION 100 South Market Street ...... Frederick ...... MD 21701 34,530 AGENCY (FCAA). WASHINGTON COUNTY COMMU- 117 Summit Ave ...... Hagerstown ...... MD 21740 32,535 NITY ACTION COUNCIL (WCCAC). NORTHWEST MICHIGAN COMMU- 3963 Three Mile Road Financial Traverse City .... MI 49686 33,981 NITY ACTION AGENCY, INC. Management Services. OAKLAND LIVINGSTON HUMAN 196 Cesar E. Chavez Ave., P.O. Pontiac ...... MI 48343 22,314 SERVICE AGENCY. Box 430598. OAKLAND COUNTY HOUSING Oakland County Community & Pontiac ...... MI 48341 43,035 COUNSELING. Home Improvement, 250 Elizabeth Lake Rd., Suite 1900. NORTH HUDSON COMMUNITY 800—31st Street ...... Union City ...... NJ 07087 16,272 ACTION CORPORATION. HOUSING AUTHORITY OF THE 60 Van Houten St ...... Paterson ...... NJ 07505 16,272 CITY OF PATERSON. SENIOR CITIZENS UNITED COM- 537 Nicholson Road ...... Audubon ...... NJ 08106 32,740 MUNITY SERVICES OF CAMDEN COUNTY, INC. ROCKAWAY DEVELOPMENT AND 1920 Mott Avenue, 2nd Floor ...... Far Rockaway .. NY 11691 15,174 REVITALIZATION CORPORA- TION. STRYCKER’S BAY NEIGHBOR- 696 Amsterdam Ave ...... New York ...... NY 10025 11,878 HOOD COUNCIL, INC. CENTER FOR NEW YORK CITY 55 Broad Street, 10th Floor ...... New York ...... NY 10004 34,661 NEIGHBORHOODS. WEST OHIO COMMUNITY ACTION 540 S Central Ave., Housing Coun- Lima ...... OH 45804 21,626 PARTNERSHIP. seling. WORKING IN NEIGHBORHOODS ... 1814 Dreman Avenue ...... Cincinnati ...... OH 45223 24,372 WSOS COMMUNITY ACTION COM- 127 South Front Street, P.O. Box Fremont ...... OH 43420 14,075 MISSION, INC. 590. YOUNGSTOWN METROPOLITAN 131 W Boardman Street ...... Youngstown ...... OH 44503 19,568 HOUSING AUTHORITY. PENNSYLVANIA COMMUNITY 100 South Broad Street, Suite 800 .. Philadelphia ...... PA 19110 33,815 REAL ESTATE CORP. D/B/A TENANT UNION REPRESENTA- TIVE NETWORK (T.U.R.N.). WESTMORELAND COMMUNITY 226 South Maple Avenue ...... Greensburg ...... PA 15601 20,734 ACTION. PROVIDENCE HOUSING AUTHOR- 100 Broad Street, Resident Services Providence ...... RI 02903 18,469 ITY. YOUNGSTOWN NEIGHBORHOOD 820 Canfield Road ...... Youngstown ...... OH 44511 25,471 DEVELOPMENT CORP. HOUSING SERVICES MID MICHI- 319 S Cochran Ave ...... Charlotte ...... MI 48813 30,824 GAN (FORMERLY HOUSING SERVICES FOR EATON COUN- TY).

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Grantee name Address City State Zip Amount

INTERCOMMUNITY ACTION, INC. 6012 Ridge Ave., Journey’s Way ..... Philadelphia ...... PA 19128 15,583 D/B/A INTERACT, JOURNEY’S WAY. MARSHALL HEIGHTS COMMUNITY 3939 Benning Road NE ...... Washington ...... DC 20019 25,471 DEVELOPMENT ORGANIZATION. NIAGARA FALLS NEIGHBORHOOD 479 16th Street ...... Niagara Falls .... NY 14303 17,920 HOUSING SERVICES. ACTION FOR BOSTON COMMU- 178 Tremont Street ...... Boston ...... MA 02111 23,134 NITY DEVELOPMENT, INC. ALLEGANY COUNTY COMMUNITY 84 Schuyler Street, P.O. Box 573 .... Belmont ...... NY 14813 39,334 OPPORTUNITIES AND RURAL DEVELOPMENT (ACCORD) CORP. ARUNDEL COMMUNITY DEVELOP- 2666 Riva Road, Suite #210 ...... Annapolis ...... MD 21401 29,587 MENT SERVICE INC. BAY AREA HOUSING, INC. D/B/A 114 Washington Avenue, Coun- Bay City ...... MI 48708 27,119 COMMUNITY HOME SOLUTIONS. seling Division. ALLEGANY COUNTY HUMAN RE- 125 Virginia Ave ...... Cumberland ...... MD 21502 22,314 SOURCES DEVELOPMENT COMMISSION, INC. BENNINGTON-RUTLAND OPPOR- 45 Union Street ...... Rutland ...... VT 05701 40,638 TUNITY COUNCIL, INC. (BROC). CATHOLIC SOCIAL SERVICES— 1600 Bay Street ...... Fall River ...... MA 02724 33,432 FALL RIVER. COUNTYCORP ...... 130 W Second St., Suite 1420 ...... Dayton ...... OH 45402 37,135 COMMUNITY ACTION AGENCY ..... 1214 Greenwood Avenue ...... Jackson ...... MI 49203 27,668 COMMUNITY RENEWAL TEAM, 555 Windsor Street ...... Hartford ...... CT 06120 19,568 INC. COMMUNITY SERVICE NETWORK, Mailing: 52 Broadway Physical: 136 Stoneham ...... MA 02180 26,837 INC. Elm Street, Second Floor. COMPREHENSIVE HOUSING AS- 5809 Park Heights Avenue ...... Baltimore ...... MD 21215 23,274 SISTANCE, INC. COMMUNITY HOUSING SOLU- 12114 Larchmere Boulevard ...... Cleveland ...... OH 44120 23,823 TIONS. DIVERSIFIED HOUSING DEVELOP- 8025 Liberty Road ...... Windsor Mill ...... MD 21244 26,227 MENT, INC. FAIR HOUSING CONTACT SERV- 441 Wolf Ledges Parkway, Suite Akron ...... OH 44311 30,682 ICE. 200. FAIR HOUSING RESOURCE CEN- 1100 Mentor Avenue ...... Painesville ...... OH 44077 31,234 TER. GARWYN OAKS NORTHWEST 2300 Garrison Blvd., Suite 140 ...... Baltimore ...... MD 21216 23,620 HOUSING RESOURCE CENTER, INC. GRAND RAPIDS URBAN LEAGUE 745 Eastern Avenue SE, Center for Grand Rapids ... MI 49503 27,389 Housing. GREATER SHEEPSHEAD BAY DE- 2107 East 22nd Street ...... Brooklyn ...... NY 11229 10,230 VELOPMENT CORPORATION. HAGERSTOWN NEIGHBORHOOD 21 East Franklin Street ...... Hagerstown ...... MD 21795 27,119 DEVELOPMENT PARTNERSHIP, INC. (HNDP). HARFORD COUNTY HOUSING 220 S Main Street Housing Coun- Bel Air ...... MD 21014 41,390 AGENCY. seling. HISPANIC ASSOCIATION OF CON- 167 W. Allegheny Avenue, Suite 200 Philadelphia ...... PA 19140 47,444 TRACTORS AND ENTERPRISES. CONSUMER CREDIT AND BUDG- 299 Shore Road, US Route 9 South Marmora ...... NJ 08223 158,547 ET COUNSELING, DBA NA- TIONAL FOUNDATION FOR DEBT MANAGEMENT. CENTRO DE APOYO FAMILIAR— 6801 Kenilworth Avenue, Suite 110, Riverdale ...... MD 20737 62,081 CENTER FOR ASSISTANCE Asset Building. FAMILIES. MICHIGAN STATE HOUSING DE- 735 E. Michigan Avenue, P.O. Box Lansing ...... MI 48912 644,716 VELOPMENT AUTHORITY. 30044. NEW JERSEY HOUSING AND 637 South Clinton Avenue ...... Trenton ...... NJ 08650 250,530 MORTGAGE FINANCE AGENCY. NEW YORK STATE HOUSING FI- 641 Lexington Avenue ...... New York ...... NY 10022 953,521 NANCE AGENCY. CONNECTICUT HOUSING FI- 999 West Street ...... Rocky Hill ...... CT 06067 140,723 NANCE AUTHORITY. MAINE STATE HOUSING AUTHOR- 353 Water Street ...... Augusta ...... ME 04330 29,021 ITY. VIRGINIA HOUSING DEVELOP- 601 S. Belvidere St ...... Richmond ...... VA 23220 1,169,727 MENT AUTHORITY.

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Grantee name Address City State Zip Amount

NEW HAMPSHIRE HOUSING FI- 32 Constitution Drive ...... Bedford ...... NH 03110 176,256 NANCE AUTHORITY. PENNSYLVANIA HOUSING FI- 211 North Front Street ...... Harrisburg ...... PA 17101 1,622,362 NANCE AGENCY. REFUGEE FAMILY ASSISTANCE 5405 Memorial Dr., Suite 101 ...... Stone Mountain GA 30083 25,336 PROGRAM. SUMMECH COMMUNITY DEVEL- 633 Pryor Street SW ...... Atlanta ...... GA 30312 17,781 OPMENT CORPORATION, INC. OCALA HOUSING AUTHORITY ...... P.O. Box 2468,1629 NW 4th ST ...... Ocala ...... FL 34478 48,525 HOOSIER UPLANDS ECONOMIC 500 W. Main St ...... Mitchell ...... IN 47446 20,527 DEVELOPMENT CORPORATION. HOUSING AUTHORITY OF THE 450 N. Church Street ...... Greensboro ...... NC 27401 28,627 CITY OF GREENSBORO D/B/A GREENSBORO HOUSING AU- THORITY. HOUSING AUTHORITY OF THE 500 E. Russell Ave ...... High Point ...... NC 27260 17,576 CITY OF HIGH POINT. HOUSING EDUCATION AND ECO- 3405 Medgar Evers Blvd ...... Jackson ...... MS 39213 30,890 NOMIC DEVELOPMENT, INC. OPA–LOCKA COMMUNITY DEVEL- 490 Opa-locka Boulevard, Suite 20 Opa-locka ...... FL 33054 29,177 OPMENT CORPORATION. SOLITA’S HOUSE INC ...... 3101 E 7th Ave ...... Tampa ...... FL 33605 35,629 ST. JOHNS COUNTY BOARD OF 500 San Sebastian View Housing & St. Augustine .... FL 32084 25,610 COUNTY COMMISSIONERS. Community Development. STEP UP SUNCOAST, INC. F/K/A 6428 Parkland Dr ...... Sarasota ...... FL 34243 16,272 MANATEE COMMUNITY ACTION AGENCY, INC. TALLAHASSEE URBAN LEAGUE, 923 Old Bainbridge Road Housing .. Tallahassee ...... FL 32303 18,330 INC. TAMPA BAY COMMUNITY DEVEL- 2139 NE, Coachman Road, Suite 1 Clearwater ...... FL 33765 39,334 OPMENT CORPORATION. THE AGRICULTURE AND LABOR 300 Lynchburg Rd., Community & Lake Alfred ...... FL 33850 12,427 PROGRAM, INC. Economic Develop. HOUSING AUTHORITY OF THE 4224 Renaissance Preserve Way .... Fort Myers ...... FL 33916 13,936 CITY OF FT. MYERS. WEST PALM BEACH HOUSING 3700 Georgia Avenue ...... West Palm FL 33405 18,775 AUTHORITY. Beach. SMART MONEY HOUSING AKA 3510 W. Franklin Blvd ...... Chicago ...... IL 60624 45,698 SMART WOMEN SMART MONEY. SPRINGFIELD HOUSING AUTHOR- 200 North Eleventh Street Home- Springfield ...... IL 62703 15,174 ITY. ownership Programs. WILL COUNTY CENTER FOR 2455 Glenwood Ave n/a ...... Joliet ...... IL 60435 33,739 COMMUNITY CONCERNS. TWIN RIVERS OPPORTUNITIES, 318 Craven Street ...... New Bern ...... NC 28563 24,921 INC. WESTERN PIEDMONT COUNCIL 1880 2ND AVE NW, POX 9026 ...... HICKORY ...... NC 28601 40,701 OF GOVERNMENTS. SOUTHEASTERN HOUSING FOUN- 10938 Ellenton Street, P.O. Box Barnwell ...... SC 29812 30,824 DATION. 1326. JACKSONVILLE AREA LEGAL AID, 126 W. Adams St ...... Jacksonville ...... FL 32202 22,929 INC. KCEOC COMMUNITY ACTION 5448 North US 25E, Suite A ...... Gray ...... KY 40734 18,469 PARTNERSHIP, INC. LINCOLN HILLS DEVELOPMENT 302 Main Street, P.O. Box 336 ...... Tell City ...... IN 47586 19,568 CORPORATION. LIVE THE DREAM DEVELOPMENT, 247 Double Spring Road ...... Bowling Green .. KY 42101 14,075 INC. MACOUPIN COUNTY HOUSING 760 Anderson Street, P.O. Box 226 Carlinville ...... IL 62626 20,117 AUTHORITY. MID-FLORIDA HOUSING PART- 1834 Mason Avenue ...... Daytona Beach FL 32117 32,130 NERSHIP, INC. CAMPBELLSVILLE HOUSING AND 400 Ingram Ave ...... Campbellsville .. KY 42718 19,019 REDEVELOPMENT AUTHORITY. ADOPT A HURRICANE FAMILY, 4700 SW, 64th Avenue—Suite C ..... Davie ...... FL 33314 10,230 INC. DBA CRISIS HOUSING SO- LUTIONS. AFFORDABLE HOMEOWNERSHIP 5264 Clayton Court, Suite 1 ...... Fort Myers ...... FL 33907 35,487 FOUNDATION INC. AFFORDABLE HOUSING ENTER- 210 South 13th Street ...... Griffin ...... GA 30224 16,133 PRISES, INC. APPALACHIAN HOUSING AND RE- 326 W. 9th Street ...... Rome ...... GA 30165 19,568 DEVELOPMENT CORPORATION. AREA COMMITTEE TO IMPROVE 2440 West Broad Street, Suite 9 ..... Athens ...... GA 30606 16,272 OPPORTUNITIES NOW, INC.

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Grantee name Address City State Zip Amount

BROWARD COUNTY HOUSING 4780 North State Road 7 ...... Lauderdale FL 33319 12,976 AUTHORITY. Lakes. CHARLESTON TRIDENT URBAN 1064 Gardner Road, Suite 307 ...... Charleston ...... SC 29407 24,372 LEAGUE, INC. CHATHAM COUNTY HOUSING AU- Chatham County Housing Authority, Siler ...... NC 27344 15,723 THORITY. 13450 US Hwy 64 West. CITY OF ALBANY, GEORGIA ...... 230 S. Jackson Street, Suite #118 .. Albany ...... GA 31701 17,371 CITY OF BLOOMINGTON-HOUS- P.O. Box 100, 401 N. Morton Street Bloomington ...... IN 47404 10,000 ING AND NEIGHBORHOOD DE- VELOPMENT (HAND). CLINCH–POWELL RESOURCE P.O. Box 379, 7995 Rutledge Pike .. Rutledge ...... TN 37861 24,921 CONSERVATION AND DEVEL- OPMENT COUNCIL, INC. COMMUNITY ACTION AGENCY OF 745 Thompson St ...... Florence ...... AL 35630 26,979 NORTHWEST ALABAMA, INC. COMMUNITY ACTION PARTNER- 3516 Stringfield Road, P.O. Box Huntsville ...... AL 35810 22,585 SHIP, HUNTSVILLE/MADISON & 3975. LIMESTONE COUNTIES, INC. COMMUNITY ACTION PARTNER- 1909 Central Parkway SW, Housing Decatur ...... AL 35601 28,627 SHIP OF NORTH ALABAMA, INC. Counseling. COMMUNITY ENTERPRISE IN- 302 North Barcelona St ...... Pensacola ...... FL 32502 12,427 VESTMENTS, INCORPORATED. LEE COUNTY HOUSING DEVEL- 3677 Central Ave., Suite F ...... Fort Myers ...... FL 33901 21,626 OPMENT CORPORATION. COMMUNITY HOUSING INITIA- 3033 College Wood Drive, P.O. Box Melbourne ...... FL 32934 22,036 TIVE, INC. 410522, Melbourne, FL 32941– 0522. COMMUNITY SERVICE PRO- 601 Black Bears Way ...... Tuscaloosa ...... AL 35401 32,472 GRAMS OF WEST ALABAMA, INC. COMPREHENSIVE HOUSING RE- 21450 Gibralter Drive, Suite 1 ...... Port Charlotte ... FL 33952 22,036 SOURCES, INC. CONSOLIDATED CREDIT SOLU- 5701 West Sunrise Blvd...... Plantation ...... FL 33313 65,471 TIONS, INC. EASTERN EIGHT COMMUNITY DE- 214 East Watauga Avenue ...... Johnson City ..... TN 37601 31,784 VELOPMENT CORP. HABITAT FOR HUMANITY OF 2404 Hubbard St ...... Jacksonville ...... FL 32206 15,583 JACKSONVILLE, INC. HOME OWNERSHIP RESOURCE 2915 Colonial Boulevard, Suite 200 Fort Myers ...... FL 33966 24,921 CENTER OF LEE COUNTY. GREENVILLE COUNTY HUMAN 301 University Ridge, Suite 1600 ..... Greenville ...... SC 29601 39,332 RELATIONS COMMISSION. OPERATION HOPE, INC ...... 191 Peachtree Street Tower, Suite Atlanta ...... GA 30303 412,490 3849, HOPE Inside Home Owner- ship. DEBT MANAGEMENT CREDIT 3310 N. Federal Highway ...... Lighthouse Point FL 33064 110,594 COUNSELING CORP. CREDIT CARD MGMT SVCS, INC 1325 N. Congress Ave. 201 ...... West Palm FL 33401 185,814 DBA Beach. REVERSEMORTGAGEHELPE- R.ORG AND DEBTHELPER.COM. KENTUCKY HOUSING CORPORA- 1231 Louisville Road Housing Edu- Frankfort ...... KY 40601 206,107 TION. cation and Counseli. GEORGIA HOUSING AND FI- 60 Executive Park South NE ...... Atlanta ...... GA 30329 721,169 NANCE AUTHORITY. VIRGIN ISLANDS HOUSING FI- 3202 Demarara Plaza, Suite 200 ..... St. Thomas ...... VI 00802 49,964 NANCE AUTHORITY. TENNESSEE HOUSING DEVELOP- 502 Deaderick Street, Third Floor .... Nashville ...... TN 37243 186,978 MENT AGENCY. MISSISSIPPI HOME CORPORA- 735 Riverside Drive ...... Jackson ...... MS 39202 286,152 TION. INDIANA HOUSING AND COMMU- 30 South Meridian Street, Suite 900 Indianapolis ...... IN 46204 113,680 NITY DEVELOPMENT AUTHOR- ITY. NORTHWEST REGIONAL HOUS- P.O. Box 2568, 114 Sisco Avenue .. Harrison ...... AR 72601 16,272 ING AUTHORITY. SOUTHERN BANCORP COMMU- 8924 Kanis Road ...... Little Rock ...... AR 72205 27,529 NITY PARTNERS. UNIVERSAL HOUSING DEVELOP- 301 E Third Street ...... Russellville ...... AR 72801 26,020 MENT CORPORATION. SOUTHERN MINNESOTA RE- 55 East Fifth Street, Suite 400 ...... St. Paul ...... MN 55101 36,449 GIONAL LEGAL SERVICES, INC. YOUTH EDUCATION AND HEALTH 1924 S 12th St ...... St. Louis ...... MO 63104 25,329 IN SOULARD.

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Grantee name Address City State Zip Amount

QUICKCERT, INC ...... 7122 S Sheridan Rd., Ste. 2–533 .... Tulsa ...... OK 74133 128,486 WACO COMMUNITY DEVELOP- 1624 Colcord Ave ...... Waco ...... TX 76707 23,823 MENT CORPORATION. UTAH STATE UNIVERSITY—FAM- 1415 Old Main Hill, Main 64 ...... Logan ...... UT 84322 42,630 ILY LIFE CENTER—HFC. HOUSING PARTNERS OF TULSA, 415 E Independence Street ...... Tulsa ...... OK 74106 30,275 INCORPORATED. MUSCATINE MUNICIPAL HOUSING 215 Sycamore St., Housing ...... Muscatine ...... IA 52761 17,166 AGENCY. MOVIN’ OUT, INC ...... 902 Royster Oaks Drive, Ste. 105 ... Madison ...... WI 53714 33,022 NEIGHBORHOOD HOUSING SERV- 616 East 63rd Street, Suite 200 ...... Kansas City ...... MO 64110 15,174 ICES OF KANSAS CITY, INC. AUSTIN HABITAT FOR HUMANITY 500 West Ben White Boulevard ...... Austin ...... TX 78704 22,890 BLUE VALLEY COMMUNITY AC- 620 5th Street, P.O. Box 273 ...... Fairbury ...... NE 68352 23,823 TION PARTNERSHIP. CATHOLIC CHARITIES DIOCESE 911 18th Street North Financial & St. Cloud ...... MN 56303 44,338 OF ST. CLOUD. Housing Counseling. CENTER FOR SIOUXLAND ...... 715 Douglas Street ...... Sioux City ...... IA 51101 40,640 CITY OF SAN ANTONIO/DEPT OF 1400 S Flores Street, Fair Housing .. San Antonio ...... TX 78204 26,430 NEIGHBORHOOD AND HOUS- ING SERVICES (DNHS). COMMUNITY ACTION AGENCY OF 319 SW 25th St., Special Projects ... Oklahoma City .. OK 73109 15,000 OKLAHOMA CITY AND OKLA- HOMA/CANADIAN COUNTIES, INC. COMMUNITY ACTION SERVICES .. 815 S Freedom Blvd., Suite 100 N/A Provo ...... UT 84601 21,216 COMMUNITY DEVELOPMENT 114 S Independence St ...... Enid ...... OK 73701 15,174 SUPPORT ASSOCIATION. COMMUNITY SERVICES LEAGUE 404 North Noland Road ...... Independence ... MO 64050 32,194 EASTER SEALS OF GREATER 4888 Loop Central Dr., Ste. 200 ...... Houston ...... TX 77081 28,488 HOUSTON, INC. EASTERN IOWA REGIONAL 7600 Commerce Park ...... Dubuque ...... IA 52002 14,624 HOUSING AUTHORITY. FAMILY HOUSING ADVISORY 2401 Lake Street ...... Omaha ...... NE 68111 44,000 SERVICES, INC. FAMILY MANAGEMENT FINANCIAL 359 Rock Island Avenue ...... Waterloo ...... IA 50701 30,824 SOLUTIONS, INC. HIGH PLAINS COMMUNITY DE- 803 E. 3rd Street, Suite 4 ...... Chadron ...... NE 69337 45,092 VELOPMENT CORPORATION. HOME OPPORTUNITIES MADE 1618 6th Avenue ...... Des Moines ...... IA 50314 21,142 EASY, INC. (HOME, INC.). HOUSING AUTHORITY OF THE 207 Jim Monroe Rd ...... Hugo ...... OK 74743 44,409 CHOCTAW NATION OF OKLA- HOMA. NORTH & EAST LUBBOCK COM- 1708 Crickets Ave ...... Lubbock ...... TX 79401 11,915 MUNITY DEVELOPMENT COR- PORATION. CREDIT ADVISORS FOUNDATION 1818 South 72nd Street ...... Omaha ...... NE 68124 127,604 COLORADO HOUSING AND FI- 1981 Blake St ...... Denver ...... CO 80202 532,390 NANCE AUTHORITY. LOUISIANA HOUSING CORPORA- 2415 Quail Drive Housing Produc- Baton Rouge .... LA 70808 580,206 TION. tion. SOUTH DAKOTA HOUSING DE- 3060 E. Elizabeth Street ...... Pierre ...... SD 57501 213,520 VELOPMENT AUTHORITY. PACIFIC COMMUNITY SERVICES, 329 Railroad Ave., P.O. Box 1397 ... Pittsburg ...... CA 94565 17,166 INC. PROJECT SENTINEL ...... 554 Valley Way ...... Milpitas ...... CA 95035 67,316 SAN FRANCISCO HOUSING DE- 4439 Third Street ...... San Francisco .. CA 94124 41,392 VELOPMENT CORPORATION. OPEN DOOR COUNSELING CEN- 34420 South West Tualatin Valley Hillsboro ...... OR 97123 41,736 TER. Highway. LEGAL AID SOCIETY OF HAWAII ... 924 Bethel Street ...... Honolulu ...... HI 96813 22,934 ASIAN INCORPORATED ...... 1167 Mission Street, 4th Floor ...... San Francisco .. CA 94103 42,491 CITY OF VACAVILLE DEPART- 40 Eldridge Avenue, Suite 2, Hous- Vacaville ...... CA 95688 20,666 MENT OF HOUSING SERVICES. ing Programs. COMMUNITY CONNECTION OF 2802 Adams Avenue ...... La Grande ...... OR 97850 21,216 NORTHEAST OREGON, INC. EDEN COUNCIL FOR HOPE AND 22551 Second Street, #200 ...... Hayward ...... CA 94541 25,000 OPPORTUNITY (ECHO). FAIR HOUSING ADVOCATES OF 1314 Lincoln Ave., Suite A ...... San Rafael ...... CA 94901 26,430 NORTHERN CALIFORNIA. FAIR HOUSING COUNCIL OF RIV- P.O. Box 1068 ...... Riverside ...... CA 92502 38,646 ERSIDE COUNTY, INC.

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Grantee name Address City State Zip Amount

HABITAT FOR HUMANITY MAUI, 1162 Lower Main St., Housing Wailuku ...... HI 96793 19,568 INC. Counseling. HABITAT FOR HUMANITY, 630 Kearney Avenue, Housing Modesto ...... CA 95350 22,724 STANISLAUS COUNTY. Counseling. HOUSING AUTHORITY OF 135 NE Dunn Place ...... McMinnville ...... OR 97128 23,823 YAMHILL COUNTY. IDAHO HOUSING AND FINANCE 565 W Myrtle Street, P.O. Box 7899 Boise ...... ID 83707 261,978 ASSOCIATION. WASHINGTON STATE HOUSING 1000 2nd Ave., Suite 2700 Home- Seattle ...... WA 98104 372,314 FINANCE COMMISSION. ownership.

Total ...... 42,841,684

FY2019 Housing Counseling Training Grant.

Lead grantee Address City State Zip code Award amount

Rural Community Assistance Corp ... 3120 Freeboard Drive, Suite 201 ..... West Sac- CA 95691 $344,373.53 ramento. National Community Reinvestment 740 15th St. NW, Suite 400 ...... Washington ...... DC 20005 617,251.26 Coalition. Neighborworks America ...... 999 North Capital Street NE, Suite Washington ...... DC 20002 889,909.10 900. Neighborhood Stabilization Corp ...... 225 Centre Street, Suite 100 ...... Boston ...... MA 02119 240,580.84

Total ...... 2,500,000.00

Appendix J FY2019 Choice Neighborhoods Planning Grants Contact: Mindy Turbov, (202) 402– 4191.

Lead grantee Address City State Zip code Award amount

City of Huntsville ...... 308 Fountain Circle ...... Huntsville ...... AL 35801–4240 $1,300,000 City of Omaha ...... 1819 Farnam Street, Suite 300 ...... Omaha ...... NE 68183 1,300,000 Housing Authority of the City of 326 West 9th Street ...... Rome ...... GA 30162–1428 1,250,000 Rome. Trenton Housing Authority ...... 875 New Willow Street ...... Trenton ...... NJ 08639 1,300,00

Total ...... 5,150,000

[FR Doc. 2020–06807 Filed 3–31–20; 8:45 am] compact between the Rosebud Sioux publication provides notice of the new BILLING CODE 4210–67–P Tribe and the State of South Dakota. expiration date of the compact. DATES: The extension takes effect on Tara Sweeney, April 1, 2020. Assistant Secretary—Indian Affairs. DEPARTMENT OF THE INTERIOR FOR FURTHER INFORMATION CONTACT: Ms. [FR Doc. 2020–06712 Filed 3–31–20; 8:45 am] Paula L. Hart, Director, Office of Indian Bureau of Indian Affairs BILLING CODE 4337–15–P Gaming, Office of the Assistant [190A2100DD/AAKC001030/ Secretary—Indian Affairs, Washington, A0A501010.999900253G] DC 20240, (202) 219–4066. INTERNATIONAL TRADE SUPPLEMENTARY INFORMATION: Indian Gaming; Extension of Tribal- An COMMISSION State Class III Gaming Compact extension to an existing Tribal-State Class III gaming compact does not [Investigation Nos. 701–TA–463 and 731– (Rosebud Sioux Tribe and the State of TA–1159 (Second Review)] South Dakota) require approval by the Secretary if the extension does not modify any other Oil Country Tubular Goods From AGENCY: Bureau of Indian Affairs, terms of the compact. 25 CFR 293.5. The Interior. Rosebud Sioux Tribe and the State of China; Institution of Five-Year Reviews ACTION: Notice. South Dakota have reached an AGENCY: United States International agreement to extend the expiration date Trade Commission. SUMMARY: This notice announces the of their existing Tribal-State Class III ACTION: Notice. extension of the Class III gaming gaming compact to April 19, 2020. This

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SUMMARY: The Commission hereby gives will assess the adequacy of interested participated personally and notice that it has instituted reviews party responses to this notice of substantially in the corresponding pursuant to the Tariff Act of 1930 (‘‘the institution to determine whether to underlying original investigation or an Act’’), as amended, to determine conduct full reviews or expedited earlier review of the same underlying whether revocation of the reviews. The Commission’s investigation. The Commission’s countervailing and antidumping duty determinations in any expedited designated agency ethics official has orders on oil country tubular goods reviews will be based on the facts advised that a five-year review is not the (‘‘OCTG’’) from China would be likely to available, which may include same particular matter as the underlying lead to continuation or recurrence of information provided in response to this original investigation, and a five-year material injury. Pursuant to the Act, notice. review is not the same particular matter interested parties are requested to Definitions.—The following as an earlier review of the same respond to this notice by submitting the definitions apply to these reviews: underlying investigation for purposes of information specified below to the (1) Subject Merchandise is the class or 18 U.S.C. 207, the post employment Commission. kind of merchandise that is within the statute for Federal employees, and scope of the five-year reviews, as DATES: Instituted April 1, 2020. To be Commission rule 201.15(b) (19 CFR defined by Commerce. assured of consideration, the deadline 201.15(b)), 79 FR 3246 (Jan. 17, 2014), (2) The Subject Country in these 73 FR 24609 (May 5, 2008). for responses is May 1, 2020. Comments reviews is China. on the adequacy of responses may be Consequently, former employees are not (3) The Domestic Like Product is the required to seek Commission approval filed with the Commission by June 15, domestically produced product or 2020. to appear in a review under Commission products which are like, or in the rule 19 CFR 201.15, even if the FOR FURTHER INFORMATION CONTACT: absence of like, most similar in corresponding underlying original Mary Messer (202–205–3193), Office of characteristics and uses with, the investigation or an earlier review of the Investigations, U.S. International Trade Subject Merchandise. In its original same underlying investigation was Commission, 500 E Street SW, determinations and its expedited five- pending when they were Commission Washington, DC 20436. Hearing- year review determinations, the employees. For further ethics advice on impaired persons can obtain Commission defined the Domestic Like this matter, contact Charles Smith, information on this matter by contacting Product as OCTG, coextensive with Office of the General Counsel, at 202– the Commission’s TDD terminal on 202– Commerce’s scope. 205–3408. 205–1810. Persons with mobility (4) The Domestic Industry is the U.S. Limited disclosure of business impairments who will need special producers as a whole of the Domestic proprietary information (BPI) under an assistance in gaining access to the Like Product, or those producers whose administrative protective order (APO) Commission should contact the Office collective output of the Domestic Like and APO service list.—Pursuant to of the Secretary at 202–205–2000. Product constitutes a major proportion section 207.7(a) of the Commission’s General information concerning the of the total domestic production of the rules, the Secretary will make BPI Commission may also be obtained by product. In its original determinations submitted in this proceeding available accessing its internet server (https:// and its expedited first five-year review to authorized applicants under the APO www.usitc.gov). The public record for determinations, the Commission issued in the proceeding, provided that this proceeding may be viewed on the defined a single Domestic Industry the application is made no later than 21 Commission’s electronic docket (EDIS) consisting of all domestic producers of days after publication of this notice in at https://edis.usitc.gov. OCTG. the Federal Register. Authorized SUPPLEMENTARY INFORMATION: (5) An Importer is any person or firm applicants must represent interested Background.—On January 20, 2010, engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), the Department of Commerce parent company or subsidiary, in who are parties to the proceeding. A (‘‘Commerce’’) issued a countervailing importing the Subject Merchandise into separate service list will be maintained duty order on imports of OCTG from the United States from a foreign by the Secretary for those parties China (75 FR 3203). On May 21, 2010, manufacturer or through its selling authorized to receive BPI under the Commerce issued an antidumping duty agent. APO. order on imports of OCTG from China Participation in the proceeding and Certification.—Pursuant to section (75 FR 28551). Following the five-year public service list.—Persons, including 207.3 of the Commission’s rules, any reviews by Commerce and the industrial users of the Subject person submitting information to the Commission, effective May 18, 2015, Merchandise and, if the merchandise is Commission in connection with this Commerce issued a continuation of the sold at the retail level, representative proceeding must certify that the countervailing and antidumping duty consumer organizations, wishing to information is accurate and complete to orders on imports of OCTG from China participate in the proceeding as parties the best of the submitter’s knowledge. In (80 FR 28224). The Commission is now must file an entry of appearance with making the certification, the submitter conducting its second reviews pursuant the Secretary to the Commission, as will acknowledge that information to section 751(c) of the Act, as amended provided in section 201.11(b)(4) of the submitted in response to this request for (19 U.S.C. 1675(c)), to determine Commission’s rules, no later than 21 information and throughout this whether revocation of the orders would days after publication of this notice in proceeding or other proceeding may be be likely to lead to continuation or the Federal Register. The Secretary will disclosed to and used: (i) By the recurrence of material injury to the maintain a public service list containing Commission, its employees and Offices, domestic industry within a reasonably the names and addresses of all persons, and contract personnel (a) for foreseeable time. Provisions concerning or their representatives, who are parties developing or maintaining the records the conduct of this proceeding may be to the proceeding. of this or a related proceeding, or (b) in found in the Commission’s Rules of Former Commission employees who internal investigations, audits, reviews, Practice and Procedure at 19 CFR part are seeking to appear in Commission and evaluations relating to the 201, subparts A and B, and 19 CFR part five-year reviews are advised that they programs, personnel, and operations of 207, subparts A and F. The Commission may appear in a review even if they the Commission including under 5

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U.S.C. Appendix 3; or (ii) by U.S. 207.61(c) of the Commission’s rules, any 771(4)(B) of the Act (19 U.S.C. government employees and contract interested party that cannot furnish the 1677(4)(B)). personnel, solely for cybersecurity information requested by this notice in (6) A list of all known and currently purposes. All contract personnel will the requested form and manner shall operating U.S. importers of the Subject sign appropriate nondisclosure notify the Commission at the earliest Merchandise and producers of the agreements. possible time, provide a full explanation Subject Merchandise in the Subject Written submissions.—Pursuant to of why it cannot provide the requested Country that currently export or have section 207.61 of the Commission’s information, and indicate alternative exported Subject Merchandise to the rules, each interested party response to forms in which it can provide United States or other countries after this notice must provide the information equivalent information. If an interested 2013. specified below. The deadline for filing party does not provide this notification (7) A list of 3–5 leading purchasers in such responses is May 1, 2020. Pursuant (or the Commission finds the the U.S. market for the Domestic Like to section 207.62(b) of the Commission’s explanation provided in the notification Product and the Subject Merchandise rules, eligible parties (as specified in inadequate) and fails to provide a (including street address, World Wide Commission rule 207.62(b)(1)) may also complete response to this notice, the Web address, and the name, telephone file comments concerning the adequacy Commission may take an adverse number, fax number, and Email address of responses to the notice of institution inference against the party pursuant to of a responsible official at each firm). and whether the Commission should section 776(b) of the Act (19 U.S.C. (8) A list of known sources of conduct an expedited or full review. 1677e(b)) in making its determinations information on national or regional The deadline for filing such comments in the reviews. prices for the Domestic Like Product or is June 15, 2020. All written Information To Be Provided in the Subject Merchandise in the U.S. or submissions must conform with the Response to This Notice of Institution: other markets. provisions of section 201.8 of the As used below, the term ‘‘firm’’ includes (9) If you are a U.S. producer of the Commission’s rules; any submissions any related firms. Domestic Like Product, provide the that contain BPI must also conform with (1) The name and address of your firm following information on your firm’s the requirements of sections 201.6, or entity (including World Wide Web operations on that product during 207.3, and 207.7 of the Commission’s address) and name, telephone number, calendar year 2019, except as noted rules. The Commission’s Handbook on fax number, and Email address of the (report quantity data in short tons and Filing Procedures, available on the certifying official. value data in U.S. dollars, f.o.b. plant). Commission’s website at https:// (2) A statement indicating whether If you are a union/worker group or www.usitc.gov/documents/handbook_ your firm/entity is an interested party trade/business association, provide the on_filing_procedures.pdf, elaborates under 19 U.S.C. 1677(9) and if so, how, information, on an aggregate basis, for upon the Commission’s procedures with including whether your firm/entity is a the firms in which your workers are respect to filings. Also, in accordance U.S. producer of the Domestic Like employed/which are members of your with sections 201.16(c) and 207.3 of the Product, a U.S. union or worker group, association. Commission’s rules, each document a U.S. importer of the Subject (a) Production (quantity) and, if filed by a party to the proceeding must Merchandise, a foreign producer or known, an estimate of the percentage of be served on all other parties to the exporter of the Subject Merchandise, a total U.S. production of the Domestic proceeding (as identified by either the U.S. or foreign trade or business Like Product accounted for by your public or APO service list as association (a majority of whose firm’s(s’) production; appropriate), and a certificate of service members are interested parties under (b) Capacity (quantity) of your firm to must accompany the document (if you the statute), or another interested party produce the Domestic Like Product (that are not a party to the proceeding you do (including an explanation). If you are a is, the level of production that your not need to serve your response). union/worker group or trade/business establishment(s) could reasonably have Please note the Secretary’s Office will association, identify the firms in which expected to attain during the year, accept only electronic filings at this your workers are employed or which are assuming normal operating conditions time. Filings must be made through the members of your association. (using equipment and machinery in Commission’s Electronic Document (3) A statement indicating whether place and ready to operate), normal Information system (EDIS, https:// your firm/entity is willing to participate operating levels (hours per week/weeks edis.usitc.gov). No in-person paper- in this proceeding by providing per year), time for downtime, based filings or paper copies of any information requested by the maintenance, repair, and cleanup, and a electronic filings will be accepted until Commission. typical or representative product mix); further notice. (4) A statement of the likely effects of (c) the quantity and value of U.S. No response to this request for the revocation of the countervailing and commercial shipments of the Domestic information is required if a currently antidumping duty orders on the Like Product produced in your U.S. valid Office of Management and Budget Domestic Industry in general and/or plant(s); (‘‘OMB’’) number is not displayed; the your firm/entity specifically. In your (d) the quantity and value of U.S. OMB number is 3117 0016/USITC No. response, please discuss the various internal consumption/company 20–5–459, expiration date June 30, factors specified in section 752(a) of the transfers of the Domestic Like Product 2020. Public reporting burden for the Act (19 U.S.C. 1675a(a)) including the produced in your U.S. plant(s); and request is estimated to average 15 hours likely volume of subject imports, likely (e) the value of (i) net sales, (ii) cost per response. Please send comments price effects of subject imports, and of goods sold (COGS), (iii) gross profit, regarding the accuracy of this burden likely impact of imports of Subject (iv) selling, general and administrative estimate to the Office of Investigations, Merchandise on the Domestic Industry. (SG&A) expenses, and (v) operating U.S. International Trade Commission, (5) A list of all known and currently income of the Domestic Like Product 500 E Street SW, Washington, DC operating U.S. producers of the produced in your U.S. plant(s) (include 20436. Domestic Like Product. Identify any both U.S. and export commercial sales, Inability to provide requested known related parties and the nature of internal consumption, and company information.—Pursuant to section the relationship as defined in section transfers) for your most recently

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completed fiscal year (identify the date (c) the quantity and value of your SUMMARY: The Commission hereby gives on which your fiscal year ends). firm’s(s’) exports to the United States of notice that it has instituted reviews (10) If you are a U.S. importer or a Subject Merchandise and, if known, an pursuant to the Tariff Act of 1930 (‘‘the trade/business association of U.S. estimate of the percentage of total Act’’), as amended, to determine importers of the Subject Merchandise exports to the United States of Subject whether revocation of the antidumping from the Subject Country, provide the Merchandise from the Subject Country duty orders on polyvinyl alcohol from following information on your firm’s(s’) accounted for by your firm’s(s’) exports. China and Japan would be likely to lead operations on that product during (12) Identify significant changes, if to continuation or recurrence of material calendar year 2019 (report quantity data any, in the supply and demand injury. Pursuant to the Act, interested in short tons and value data in U.S. conditions or business cycle for the parties are requested to respond to this dollars). If you are a trade/business Domestic Like Product that have notice by submitting the information association, provide the information, on occurred in the United States or in the specified below to the Commission. an aggregate basis, for the firms which market for the Subject Merchandise in DATES: Instituted April 1, 2020. To be are members of your association. the Subject Country after 2013, and assured of consideration, the deadline (a) The quantity and value (landed, significant changes, if any, that are for responses is May 1, 2020. Comments duty-paid but not including likely to occur within a reasonably on the adequacy of responses may be antidumping or countervailing duties) foreseeable time. Supply conditions to filed with the Commission by June 15, of U.S. imports and, if known, an consider include technology; 2020. estimate of the percentage of total U.S. production methods; development FOR FURTHER INFORMATION CONTACT: imports of Subject Merchandise from efforts; ability to increase production Mary Messer (202–205–3193), Office of the Subject Country accounted for by (including the shift of production Investigations, U.S. International Trade your firm’s(s’) imports; facilities used for other products and the Commission, 500 E Street SW, (b) the quantity and value (f.o.b. U.S. use, cost, or availability of major inputs Washington, DC 20436. Hearing- port, including antidumping and/or into production); and factors related to impaired persons can obtain countervailing duties) of U.S. the ability to shift supply among information on this matter by contacting commercial shipments of Subject different national markets (including the Commission’s TDD terminal on 202– Merchandise imported from the Subject barriers to importation in foreign 205–1810. Persons with mobility Country; and markets or changes in market demand impairments who will need special (c) the quantity and value (f.o.b. U.S. abroad). Demand conditions to consider assistance in gaining access to the port, including antidumping and/or include end uses and applications; the Commission should contact the Office countervailing duties) of U.S. internal existence and availability of substitute of the Secretary at 202–205–2000. consumption/company transfers of products; and the level of competition General information concerning the Subject Merchandise imported from the among the Domestic Like Product Commission may also be obtained by Subject Country. produced in the United States, Subject accessing its internet server (https:// (11) If you are a producer, an exporter, Merchandise produced in the Subject www.usitc.gov). The public record for or a trade/business association of Country, and such merchandise from this proceeding may be viewed on the producers or exporters of the Subject other countries. Commission’s electronic docket (EDIS) (13) (OPTIONAL) A statement of Merchandise in the Subject Country, at https://edis.usitc.gov. whether you agree with the above provide the following information on definitions of the Domestic Like Product SUPPLEMENTARY INFORMATION: your firm’s(s’) operations on that and Domestic Industry; if you disagree Background.—On July 2, 2003, the product during calendar year 2019 with either or both of these definitions, Department of Commerce (‘‘Commerce’’) (report quantity data in short tons and please explain why and provide issued an antidumping duty order on value data in U.S. dollars, landed and alternative definitions. imports of polyvinyl alcohol from Japan duty-paid at the U.S. port but not (68 FR 39518). On October 1, 2003, including antidumping or Authority: This proceeding is being Commerce issued an antidumping duty countervailing duties). If you are a conducted under authority of title VII of the order on imports of polyvinyl alcohol Tariff Act of 1930; this notice is published trade/business association, provide the pursuant to section 207.61 of the from China (68 FR 56620). Following information, on an aggregate basis, for Commission’s rules. the first five-year reviews by Commerce the firms which are members of your and the Commission, effective April 13, By order of the Commission. association. 2009, Commerce issued a continuation (a) Production (quantity) and, if Issued: March 27, 2020. of the antidumping duty orders on known, an estimate of the percentage of Lisa Barton, imports of polyvinyl alcohol from China total production of Subject Merchandise Secretary to the Commission. and Japan (74 FR 16834). Following the in the Subject Country accounted for by [FR Doc. 2020–06761 Filed 3–31–20; 8:45 am] second five-year reviews by Commerce your firm’s production; BILLING CODE 7020–20–P and the Commission, effective May 27, (b) Capacity (quantity) of your firm(s) 2015, Commerce issued a continuation to produce the Subject Merchandise in of the antidumping duty orders on the Subject Country (that is, the level of INTERNATIONAL TRADE imports of polyvinyl alcohol from China production that your establishment(s) COMMISSION and Japan (80 FR 30208). The could reasonably have expected to [Investigation Nos. 731–TA–1014 and 1016 Commission is now conducting its third attain during the year, assuming normal (Third Review)] reviews pursuant to section 751(c) of the operating conditions (using equipment Act, as amended (19 U.S.C. 1675(c)), to and machinery in place and ready to Polyvinyl Alcohol From China and determine whether revocation of the operate), normal operating levels (hours Japan; Institution of Five-Year Reviews orders would be likely to lead to per week/weeks per year), time for AGENCY: United States International continuation or recurrence of material downtime, maintenance, repair, and Trade Commission. injury to the domestic industry within cleanup, and a typical or representative a reasonably foreseeable time. ACTION: Notice. product mix); and Provisions concerning the conduct of

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this proceeding may be found in the or their representatives, who are parties developing or maintaining the records Commission’s Rules of Practice and to the proceeding. of this or a related proceeding, or (b) in Procedure at 19 CFR part 201, subparts Former Commission employees who internal investigations, audits, reviews, A and B, and 19 CFR part 207, subparts are seeking to appear in Commission and evaluations relating to the A and F. The Commission will assess five-year reviews are advised that they programs, personnel, and operations of the adequacy of interested party may appear in a review even if they the Commission including under 5 responses to this notice of institution to participated personally and U.S.C. Appendix 3; or (ii) by U.S. determine whether to conduct full or substantially in the corresponding government employees and contract expedited reviews. The Commission’s underlying original investigation or an personnel, solely for cybersecurity determinations in any expedited earlier review of the same underlying purposes. All contract personnel will reviews will be based on the facts investigation. The Commission’s sign appropriate nondisclosure available, which may include designated agency ethics official has agreements. information provided in response to this advised that a five-year review is not the Written submissions.—Pursuant to notice. same particular matter as the underlying section 207.61 of the Commission’s Definitions.—The following original investigation, and a five-year rules, each interested party response to definitions apply to these reviews: review is not the same particular matter this notice must provide the information (1) Subject Merchandise is the class or as an earlier review of the same specified below. The deadline for filing kind of merchandise that is within the underlying investigation for purposes of such responses is May 1, 2020. Pursuant scope of the five-year reviews, as 18 U.S.C. 207, the post employment to section 207.62(b) of the Commission’s defined by Commerce. statute for Federal employees, and rules, eligible parties (as specified in (2) The Subject Countries in these Commission rule 201.15(b) (19 CFR Commission rule 207.62(b)(1)) may also reviews are China and Japan. 201.15(b)), 79 FR 3246 (Jan. 17, 2014), file comments concerning the adequacy (3) The Domestic Like Product is the 73 FR 24609 (May 5, 2008). of responses to the notice of institution domestically produced product or Consequently, former employees are not and whether the Commission should products which are like, or in the required to seek Commission approval conduct expedited or full reviews. The absence of like, most similar in to appear in a review under Commission deadline for filing such comments is characteristics and uses with, the rule 19 CFR 201.15, even if the June 15, 2020. All written submissions Subject Merchandise. In its original corresponding underlying original must conform with the provisions of determinations and its full first and investigation or an earlier review of the section 201.8 of the Commission’s rules; second five-year review determinations, same underlying investigation was any submissions that contain BPI must the Commission defined the Domestic pending when they were Commission also conform with the requirements of Like Product as all domestically employees. For further ethics advice on sections 201.6, 207.3, and 207.7 of the produced polyvinyl alcohol meeting the this matter, contact Charles Smith, Commission’s rules. The Commission’s specifications stated in Commerce’s Office of the General Counsel, at 202– Handbook on Filing Procedures, scope definition. 205–3408. available on the Commission’s website (4) The Domestic Industry is the U.S. Limited disclosure of business at https://www.usitc.gov/documents/ producers as a whole of the Domestic proprietary information (BPI) under an handbook_on_filing_procedures.pdf, Like Product, or those producers whose administrative protective order (APO) elaborates upon the Commission’s collective output of the Domestic Like and APO service list.—Pursuant to procedures with respect to filings. Also, Product constitutes a major proportion section 207.7(a) of the Commission’s in accordance with sections 201.16(c) of the total domestic production of the rules, the Secretary will make BPI and 207.3 of the Commission’s rules, product. In its original determinations submitted in this proceeding available each document filed by a party to the and its full first and second five-year to authorized applicants under the APO proceeding must be served on all other review determinations, the Commission issued in the proceeding, provided that parties to the proceeding (as identified defined the Domestic Industry as all the application is made no later than 21 by either the public or APO service list domestic producers of polyvinyl days after publication of this notice in as appropriate), and a certificate of alcohol. the Federal Register. Authorized service must accompany the document (5) An Importer is any person or firm applicants must represent interested (if you are not a party to the proceeding engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), you do not need to serve your response). parent company or subsidiary, in who are parties to the proceeding. A Please note the Secretary’s Office will importing the Subject Merchandise into separate service list will be maintained accept only electronic filings at this the United States from a foreign by the Secretary for those parties time. Filings must be made through the manufacturer or through its selling authorized to receive BPI under the Commission’s Electronic Document agent. APO. Information System (EDIS, https:// Participation in the proceeding and Certification.—Pursuant to section edis.usitc.gov). No in-person paper- public service list.—Persons, including 207.3 of the Commission’s rules, any based filings or paper copies of any industrial users of the Subject person submitting information to the electronic filings will be accepted until Merchandise and, if the merchandise is Commission in connection with this further notice. sold at the retail level, representative proceeding must certify that the No response to this request for consumer organizations, wishing to information is accurate and complete to information is required if a currently participate in the proceeding as parties the best of the submitter’s knowledge. In valid Office of Management and Budget must file an entry of appearance with making the certification, the submitter (‘‘OMB’’) number is not displayed; the the Secretary to the Commission, as will acknowledge that information OMB number is 3117 0016/USITC No. provided in section 201.11(b)(4) of the submitted in response to this request for 20–5–460, expiration date June 30, Commission’s rules, no later than 21 information and throughout this 2020. Public reporting burden for the days after publication of this notice in proceeding or other proceeding may be request is estimated to average 15 hours the Federal Register. The Secretary will disclosed to and used: (i) By the per response. Please send comments maintain a public service list containing Commission, its employees and Offices, regarding the accuracy of this burden the names and addresses of all persons, and contract personnel (a) for estimate to the Office of Investigations,

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U.S. International Trade Commission, orders on the Domestic Industry in Like Product produced in your U.S. 500 E Street SW, Washington, DC general and/or your firm/entity plant(s); 20436. specifically. In your response, please (d) the quantity and value of U.S. Inability to provide requested discuss the various factors specified in internal consumption/company information.—Pursuant to section section 752(a) of the Act (19 U.S.C. transfers of the Domestic Like Product 207.61(c) of the Commission’s rules, any 1675a(a)) including the likely volume of produced in your U.S. plant(s); and interested party that cannot furnish the subject imports, likely price effects of (e) the value of (i) net sales, (ii) cost information requested by this notice in subject imports, and likely impact of of goods sold (COGS), (iii) gross profit, the requested form and manner shall imports of Subject Merchandise on the (iv) selling, general and administrative notify the Commission at the earliest Domestic Industry. (SG&A) expenses, and (v) operating possible time, provide a full explanation (5) A list of all known and currently income of the Domestic Like Product of why it cannot provide the requested operating U.S. producers of the produced in your U.S. plant(s) (include information, and indicate alternative Domestic Like Product. Identify any both U.S. and export commercial sales, forms in which it can provide known related parties and the nature of internal consumption, and company equivalent information. If an interested the relationship as defined in section transfers) for your most recently party does not provide this notification 771(4)(B) of the Act (19 U.S.C. completed fiscal year (identify the date (or the Commission finds the 1677(4)(B)). on which your fiscal year ends). explanation provided in the notification (6) A list of all known and currently (10) If you are a U.S. importer or a inadequate) and fails to provide a operating U.S. importers of the Subject trade/business association of U.S. complete response to this notice, the Merchandise and producers of the importers of the Subject Merchandise Commission may take an adverse Subject Merchandise in each Subject from any Subject Country, provide the inference against the party pursuant to Country that currently export or have following information on your firm’s(s’) section 776(b) of the Act (19 U.S.C. exported Subject Merchandise to the operations on that product during 1677e(b)) in making its determinations United States or other countries after calendar year 2019 (report quantity data in the reviews. 2013. in pounds and value data in U.S. Information To be Provided in (7) A list of 3–5 leading purchasers in dollars). If you are a trade/business Response to This Notice of Institution: If the U.S. market for the Domestic Like association, provide the information, on you are a domestic producer, union/ Product and the Subject Merchandise an aggregate basis, for the firms which worker group, or trade/business (including street address, World Wide are members of your association. association; import/export Subject Web address, and the name, telephone (a) The quantity and value (landed, Merchandise from more than one number, fax number, and Email address duty-paid but not including Subject Country; or produce Subject of a responsible official at each firm). antidumping duties) of U.S. imports Merchandise in more than one Subject (8) A list of known sources of and, if known, an estimate of the Country, you may file a single response. information on national or regional percentage of total U.S. imports of If you do so, please ensure that your prices for the Domestic Like Product or Subject Merchandise from each Subject response to each question includes the the Subject Merchandise in the U.S. or Country accounted for by your firm’s(s’) information requested for each pertinent other markets. imports; Subject Country. As used below, the (9) If you are a U.S. producer of the (b) the quantity and value (f.o.b. U.S. term ‘‘firm’’ includes any related firms. Domestic Like Product, provide the port, including antidumping duties) of (1) The name and address of your firm following information on your firm’s U.S. commercial shipments of Subject or entity (including World Wide Web operations on that product during Merchandise imported from each address) and name, telephone number, calendar year 2019, except as noted Subject Country; and fax number, and Email address of the (report quantity data in pounds and (c) the quantity and value (f.o.b. U.S. certifying official. value data in U.S. dollars, f.o.b. plant). port, including antidumping duties) of (2) A statement indicating whether If you are a union/worker group or U.S. internal consumption/company your firm/entity is an interested party trade/business association, provide the transfers of Subject Merchandise under 19 U.S.C. 1677(9) and if so, how, information, on an aggregate basis, for imported from each Subject Country. including whether your firm/entity is a the firms in which your workers are (11) If you are a producer, an exporter, U.S. producer of the Domestic Like employed/which are members of your or a trade/business association of Product, a U.S. union or worker group, association. producers or exporters of the Subject a U.S. importer of the Subject (a) Production (quantity) and, if Merchandise in any Subject Country, Merchandise, a foreign producer or known, an estimate of the percentage of provide the following information on exporter of the Subject Merchandise, a total U.S. production of the Domestic your firm’s(s’) operations on that U.S. or foreign trade or business Like Product accounted for by your product during calendar year 2019 association (a majority of whose firm’s(s’) production; (report quantity data in pounds and members are interested parties under (b) Capacity (quantity) of your firm to value data in U.S. dollars, landed and the statute), or another interested party produce the Domestic Like Product (that duty-paid at the U.S. port but not (including an explanation). If you are a is, the level of production that your including antidumping duties). If you union/worker group or trade/business establishment(s) could reasonably have are a trade/business association, provide association, identify the firms in which expected to attain during the year, the information, on an aggregate basis, your workers are employed or which are assuming normal operating conditions for the firms which are members of your members of your association. (using equipment and machinery in association. (3) A statement indicating whether place and ready to operate), normal (a) Production (quantity) and, if your firm/entity is willing to participate operating levels (hours per week/weeks known, an estimate of the percentage of in this proceeding by providing per year), time for downtime, total production of Subject Merchandise information requested by the maintenance, repair, and cleanup, and a in each Subject Country accounted for Commission. typical or representative product mix); by your firm’s(s’) production; (4) A statement of the likely effects of (c) the quantity and value of U.S. (b) Capacity (quantity) of your firm(s) the revocation of the antidumping duty commercial shipments of the Domestic to produce the Subject Merchandise in

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each Subject Country (that is, the level INTERNATIONAL TRADE SUPPLEMENTARY INFORMATION: On June 7, of production that your establishment(s) COMMISSION 2019, the Commission instituted the could reasonably have expected to above-referenced investigation based on attain during the year, assuming normal [Investigation No. 337–TA–1160] a complaint filed by Hyundai Motor America, Inc. of Fountain Valley, operating conditions (using equipment Certain Replacement Automotive California and Hyundai Motor Company and machinery in place and ready to Service and Collission Parts and of Seoul, Republic of Korea operate), normal operating levels (hours Components Thereof; Commission (collectively, ‘‘Hyundai’’). 84 FR 26703– per week/weeks per year), time for Determination Not To Review an Initial 04 (June 7, 2019). The complaint alleges downtime, maintenance, repair, and Determination Terminating a violation of 19 U.S.C. 1337, as cleanup, and a typical or representative Respondent Direct Technologies amended (‘‘Section 337’’), in the product mix); and International, Inc. Based on Consent importation, sale for importation, or sale (c) the quantity and value of your Order; Issuance of Consent Order; in the United States after importation of firm’s(s’) exports to the United States of Finding Declaration for Immediate Subject Merchandise and, if known, an certain gray market Hyundai parts in the Relief Is Moot; Request for Written categories of belts, body exterior and estimate of the percentage of total Submissions on Remedy, the Public interior parts, brakes, wheel hubs, exports to the United States of Subject Interest, and Bonding cooling system parts, drivetrain parts, Merchandise from each Subject Country electrical parts, emission parts, engine accounted for by your firm’s(s’) exports. AGENCY: U.S. International Trade Commission. parts, exhaust parts, fuel/air pumps, oil/ (12) Identify significant changes, if air/cabin air filters and parts, heat and ACTION: Notice. any, in the supply and demand A/C parts, ignition parts, steering parts, conditions or business cycle for the SUMMARY: Notice is hereby given that suspension parts, transmission parts, Domestic Like Product that have the U.S. International Trade wheels and parts, wiper and washer occurred in the United States or in the Commission (the ‘‘Commission’’) has parts, and accessories that infringe one market for the Subject Merchandise in determined not to review an initial or more of Hyundai’s U.S. Trademark each Subject Country after 2013, and determination (‘‘ID’’) (Order No. 36) Registration Nos. 1,104,727; 3,991,863; significant changes, if any, that are terminating Direct Technologies 1,569,538; and 4,065,195. Id. at 26704. likely to occur within a reasonably International, Inc. on the basis of The complaint further alleges that a foreseeable time. Supply conditions to consent order. The Commission has domestic industry exists in the United consider include technology; determined to issue a consent order. States. Id. production methods; development The Commission has further determined The Commission’s notice of efforts; ability to increase production to find that the complainants’ investigation named Direct (including the shift of production declaration seeking immediate relief Technologies International, Inc. (‘‘DTI’’) facilities used for other products and the against certain respondents previously of North Miami Beach, Florida; AJ Auto use, cost, or availability of major inputs found to be in default is moot. The Spare Parts FZE (‘‘AJ Auto’’) and John into production); and factors related to Commission also requests written Auto Spare Parts Co. LLC (‘‘John Auto’’), the ability to shift supply among submissions from the complainants, both of Dubai, United Arab Emirates; different national markets (including interested government agencies, and and Cuong Anh Co. Ltd. (‘‘Cuong Anh’’) barriers to importation in foreign interested persons on the issues of of Ninh Binh Province, Vietnam as respondents. The Office of Unfair markets or changes in market demand remedy, the public interest, and Import Investigations was not named as abroad). Demand conditions to consider bonding concerning certain respondents a party to this investigation. include end uses and applications; the found in default. existence and availability of substitute On November 25, 2019, the FOR FURTHER INFORMATION CONTACT: products; and the level of competition Commission determined not to review among the Domestic Like Product Benjamin S. Richards, Office of the an initial determination (Order No. 17) produced in the United States, Subject General Counsel, U.S. International granting Hyundai’s unopposed motion Merchandise produced in each Subject Trade Commission, 500 E Street SW, to find respondents AJ Auto, John Auto, Country, and such merchandise from Washington, DC 20436, telephone (202) and Cuong Anh (collectively, the other countries. 708–5453. Copies of non-confidential ‘‘Defaulting Respondents’’) in default. documents filed in connection with this Order No. 17 (Nov. 5, 2019), not rev’d, (13) (OPTIONAL) A statement of investigation are or will be available for Comm’n Notice (Nov. 25, 2019). whether you agree with the above inspection during official business On January 24, 2020, Hyundai filed a definitions of the Domestic Like Product hours (8:45 a.m. to 5:15 p.m.) in the declaration seeking immediate entry of and Domestic Industry; if you disagree Office of the Secretary, U.S. a limited exclusion order against the with either or both of these definitions, International Trade Commission, 500 E Defaulting Respondents and any of their please explain why and provide Street SW, Washington, DC 20436, affiliated companies, parents, alternative definitions. telephone (202) 205–2000. General subsidiaries, and related business Authority: This proceeding is being information concerning the Commission entities, successors or assigns. conducted under authority of title VII of the may also be obtained by accessing its On March 5, 2020, the presiding Tariff Act of 1930; this notice is published internet server (https://www.usitc.gov). administrative law judge (‘‘ALJ’’) issued pursuant to section 207.61 of the The public record for this investigation an initial determination (Order No. 36) Commission’s rules. may be viewed on the Commission’s granting a joint motion by Hyundai and By order of the Commission. Electronic Docket Information System DTI to terminate the investigation as to (‘‘EDIS’’) (https://edis.usitc.gov). DTI on the basis of a consent order. The Issued: March 26, 2020. Hearing-impaired persons are advised ALJ found that the consent order Lisa Barton, that information on this matter can be stipulation and proposed consent order Secretary to the Commission. obtained by contacting the complied with Commission Rule [FR Doc. 2020–06718 Filed 3–31–20; 8:45 am] Commission’s TDD terminal, telephone 210.21(c)(3) and (4) (19 CFR 210.21(c)(3) BILLING CODE 7020–02–P (202) 205–1810. and (4)). The ALJ also found that

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termination of this investigation does Representative, as delegated by the Commission is sought will be treated not impose any undue burdens on the President, has 60 days to approve, accordingly. A redacted non- public health and welfare, competitive disapprove, or take no action on the confidential version of the document conditions in the United States Commission’s action. See Presidential must also be filed simultaneously with economy, production of like or directly Memorandum of July 21, 2005, 70 FR any confidential filing. All information, competitive articles in the United 43251 (July 26, 2005). During this including confidential business States, or United States consumers. No period, the subject articles would be information and documents for which petitions for review of the ID were entitled to enter the United States under confidential treatment is properly received. bond, in an amount determined by the sought, submitted to the Commission for The Commission has determined not Commission and prescribed by the purposes of this Investigation may be to review the subject ID and has Secretary of the Treasury. The disclosed to and used: (i) By the determined to issue a consent order. Commission is therefore interested in Commission, its employees and Offices, The Commission has further determined receiving submissions concerning the and contract personnel (a) for that Hyundai’s declaration is now moot amount of the bond that should be developing or maintaining the records given the termination of DTI, the final imposed if a remedy is ordered. of this or a related proceeding, or (b) in remaining respondent in this Written Submissions: Complainants, internal investigations, audits, reviews, investigation. Finally, the Commission interested government agencies, and any and evaluations relating to the has determined to request briefing on other interested persons are encouraged programs, personnel, and operations of the issues of remedy, bonding, and the to file written submissions on the issues the Commission including under 5 public interest. of remedy, the public interest, and U.S.C. Appendix 3; or (ii) by U.S. Section 337(g)(1) (19 U.S.C. bonding. government employees and contract 1337(g)(1)) and Commission Rule In their initial submission, personnel 1 solely for cybersecurity 210.16(c) (19 CFR 210.16(c)) authorize complainants are requested to identify purposes. All non-confidential written the Commission, upon request, to issue the form of the remedy sought and to submissions will be available for public a limited exclusion order or a cease and submit proposed remedial orders for the inspection at the Office of the Secretary desist order or both against a respondent Commission’s consideration. and on EDIS. found in default, unless after Complainants are also requested to state The authority for the Commission’s consideration of the public interest the date that the asserted patents expire, determination is contained in Section factors in Section 337(g)(1), it finds that the HTSUS subheadings under which 337 of the Tariff Act of 1930, as such relief should not issue. the products at issue are imported, and amended (19 U.S.C. 1337), and in part Accordingly, in connection with the to supply the identification information 210 of the Commission’s Rules of final disposition of this investigation, for all known importers of the products Practice and Procedure (19 CFR part at issue in this investigation. Initial the Commission is interested in 210). receiving written submissions that written submissions regarding remedy, address the form of remedy, if any, that bonding, and the public interest and By order of the Commission. should be ordered with respect to the proposed remedial orders must be filed Issued: March 26, 2020. Defaulting Respondents, identified no later than close of business on April Lisa Barton, above. If a party seeks exclusion of an 9, 2020. Reply submissions must be Secretary to the Commission. article from entry into the United States filed no later than the close of business [FR Doc. 2020–06713 Filed 3–31–20; 8:45 am] for purposes other than entry for on April 16, 2020. No further BILLING CODE 7020–02–P consumption, the party should so submissions on these issues will be indicate and provide information permitted unless otherwise ordered by establishing that activities involving the Commission. DEPARTMENT OF JUSTICE other types of entry either are adversely Persons filing written submissions affecting it or likely to do so. For must file the original document Bureau of Alcohol, Tobacco, Firearms background, see Certain Devices for electronically on or before the deadlines and Explosives Connecting Computers via Telephone stated above. The Commission’s paper Lines, Inv. No. 337–TA–360, USITC filing requirements are currently [OMB Number 1140–0018] Pub. No. 2843, Comm’n Op. at 7–10 waived. Submissions should refer to the Agency Information Collection (December 1994). investigation number (‘‘Inv. No. 337– The statute requires the Commission TA–1160’’) in a prominent place on the Activities; Proposed eCollection to consider the effects of that remedy cover page and/or the first page. (See eComments Requested; Revision of a upon the public interest. The public Handbook on Filing Procedures, https:// Currently Approved Collection interest factors the Commission will www.usitc.gov/documents/handbook_ Application for Federal Firearms consider include the effect that an on_filing_procedures.pdf). Persons with License—ATF Form 7 (5310.12)/7 CR exclusion order and/or cease and desist questions regarding filing should (5310.16) orders would have on (1) the public contact the Secretary at (202) 205–2000. AGENCY: Bureau of Alcohol, Tobacco, health and welfare, (2) competitive Any person desiring to submit a Firearms and Explosives, Department of conditions in the U.S. economy, (3) U.S. document to the Commission in Justice. production of articles that are like or confidence must request confidential ACTION: 60-Day notice. directly competitive with those that are treatment unless the information has subject to investigation, and (4) U.S. already been granted such treatment SUMMARY: The Department of Justice consumers. The Commission is during the proceedings. All such (DOJ), Bureau of Alcohol, Tobacco, therefore interested in receiving written requests should be directed to the Firearms and Explosives (ATF), will submissions that address the Secretary of the Commission and must submit the following information aforementioned public interest factors include a full statement of the reasons collection request to the Office of in the context of this investigation. why the Commission should grant such If the Commission orders some form treatment. See 19 CFR 210.6. Documents 1 All contract personnel will sign appropriate of remedy, the U.S. Trade for which confidential treatment by the nondisclosure agreements.

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Management and Budget (OMB) for Department sponsoring the collection: DEPARTMENT OF JUSTICE review and approval in accordance with Form number (if applicable): ATF Form the Paperwork Reduction Act of 1995. 7 (5310.12)/7 CR (5310.16). Component: Drug Enforcement Administration The proposed collection OMB 1140– Bureau of Alcohol, Tobacco, Firearms 0018 (Application for Federal Firearms and Explosives, U.S. Department of [Docket No. DEA–612] License—ATF Form 7 (5310.12)/7 CR Justice. (5310.16), is being revised to include Importer of Controlled Substances 4. Affected public who will be asked modifications to the verbiage used in Application: Wildlife Laboratories, Inc. Part B and the Instructions/Definitions or required to respond, as well as a brief abstract: Primary: Business or other for- section of the form. ACTION: Notice of application. DATES: Comments are encouraged and profit. Other (if applicable): Individuals will be accepted for 60 days until June or households. DATES: 1, 2020. Abstract: The Application for Federal Registered bulk manufacturers of the affected basic class(es), and FOR FURTHER INFORMATION CONTACT: If Firearms License—ATF Form 7 you have additional comments, (5310.12)/7 CR (5310.16) is used by applicants therefore, may file written regarding the estimated public burden, members of the public to apply for all comments on or objections to the associated response time, suggestions, types of federal firearm licenses (FFLs). issuance of the proposed registration on or need a copy of the proposed The information requested on the form or before May 1, 2020. Such persons information collection instrument with is used to determine the eligibility of the may also file a written request for a instructions, or additional information, applicant to obtain a FFL, and verify the hearing on the application on or before please contact: Tracey Robertson, ATF identity of a responsible person (RP). May 1, 2020. Federal Firearms Licensing Center, 5. An estimate of the total number of ADDRESSES: Written comments should either by mail at 244 Needy Road, be sent to: Drug Enforcement Martinsburg, WV 25405, by email at respondents and the amount of time estimated for an average respondent to Administration, Attention: DEA Federal [email protected], or by Register Representative/DPW, 8701 telephone at 304–616–4647. respond: An estimated 13,000 respondents will utilize the form Morrissette Drive, Springfield, Virginia SUPPLEMENTARY INFORMATION: Written annually, and it will take each 22152. All requests for a hearing must comments and suggestions from the be sent to: Drug Enforcement public and affected agencies concerning respondent approximately one (1) hour Administration, Attn: Administrator, the proposed collection of information to complete their responses. 8701 Morrissette Drive, Springfield, are encouraged. Your comments should 6. An estimate of the total public Virginia 22152. All request for a hearing address one or more of the following burden (in hours) associated with the should also be sent to: (1) Drug four points: collection: The estimated annual public Enforcement Administration, Attn: —Evaluate whether the proposed burden associated with this collection is Hearing Clerk/OALJ, 8701 Morrissette collection of information is necessary 13,000 hours, which is equal to 13,000 Drive, Springfield, Virginia 22152; and for the proper performance of the (# of respondents) * 1(# of responses per (2) Drug Enforcement Administration, functions of the agency, including respondent) * 1 (60 minutes). Attn: DEA Federal Register whether the information will have 7. An Explanation of the Change in practical utility; Representative/DPW, 8701 Morrissette —Evaluate the accuracy of the agency’s Estimates: The adjustments associated Drive, Springfield, Virginia 22152. with this information collection include estimate of the burden of the SUPPLEMENTARY INFORMATION: In proposed collection of information, a decrease in the total respondents and responses by 2,000, since the last accordance with 21 CFR 1301.34(a), this including the validity of the is notice that on February 11, 2020, methodology and assumptions used; renewal in 2017. However, due to an —Evaluate whether and if so how the increase in the postal rate, the total Wildlife Laboratories, Inc., 1230 W Ash quality, utility, and clarity of the mailing costs for this IC has also risen Street Unit D Windsor, Colorado 80550, information to be collected can be by $100 since 2017. applied to be registered as an importer of the following basic class(es) of enhanced; and If additional information is required controlled substances: —Minimize the burden of the collection contact: Melody Braswell, Department of information on those who are to Clearance Officer, United States respond, including through the use of Controlled Department of Justice, Justice substance Drug code Schedule appropriate automated, electronic, Management Division, Policy and mechanical, or other technological Planning Staff, Two Constitution Etorphine HCL .. 9059 II collection techniques or other forms Thiafentanil ...... 9729 II of information technology, e.g., Square, 145 N Street NE, 3E.405A, permitting electronic submission of Washington, DC 20530. responses. Dated: March 27, 2020. The company plans to import the listed controlled substances for Melody Braswell, Overview of this information distribution to its customers. collection: Department Clearance Officer for PRA, U.S. 1. Type of Information Collection Department of Justice. William T. McDermott, (check justification or form 83): [FR Doc. 2020–06805 Filed 3–31–20; 8:45 am] Assistant Administrator. Revision of a currently approved BILLING CODE 4410–XX–P [FR Doc. 2020–06759 Filed 3–31–20; 8:45 am] collection. 2. The Title of the Form/Collection: BILLING CODE 4410–09–P Application for Federal Firearms License. 3. The agency form number, if any, and the applicable component of the

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DEPARTMENT OF JUSTICE DEPARTMENT OF LABOR Act also requires OSHA to obtain such information with a minimum burden Drug Enforcement Administration Office of the Secretary upon employers, especially those [Docket No. DEA–614] operating small businesses, and to Agency Information Collection reduce to the maximum extent feasible Activities; Submission for OMB Importer of Controlled Substances unnecessary duplication of effort in Review; Comment Request; Cadmium Application: Shertech Laboratories, obtaining said information (see 29 in General Industry Standard LLC U.S.C. 657). The collection of ACTION: Notice of availability; request information specified in the Cadmium ACTION: Notice of application. for comments. in General Industry Standard (29 CFR 1910.1027) protects workers from the DATES: Registered bulk manufacturer of SUMMARY: The Department of Labor adverse health effects that may result the affected basic class(es), and (DOL) is submitting this Occupational from their exposure to cadmium. The applicants therefore, may file written Safety and Health Administration major collection of information of the comments on or objections to the (OSHA)-sponsored information standard include: Conducting worker issuance of the proposed registration on collection request (ICR) to the Office of exposure monitoring; notifying workers or before May 1, 2020. Such persons Management and Budget (OMB) for of their cadmium exposures; may also file a written request for a review and approval in accordance with implementing a written compliance hearing on the application on or before the Paperwork Reduction Act of 1995 program; implementing medical May 1, 2020. (PRA). Public comments on the ICR are surveillance of workers; providing ADDRESSES: Written comments should invited. examining physicians with specific be sent to: Drug Enforcement DATES: The OMB will consider all information; ensuring that workers Administration, Attention: DEA Federal written comments that agency receives receive a copy of their medical Register Representative/DPW, 8701 on or before May 1, 2020. surveillance results; maintaining Morrissette Drive, Springfield, Virginia ADDRESSES: Written comments and workers’ exposure monitoring and 22152. All requests for a hearing must recommendations for the proposed medical surveillance records for specific be sent to: Drug Enforcement information collection should be sent periods; and providing access to these Administration, Attn: Administrator, within 30 days of publication of this records to the workers who are the 8701 Morrissette Drive, Springfield, notice to www.reginfo.gov/public/do/ subject of the records, the worker’s Virginia 22152. All requests for a PRAMain. Find this particular representative, and other designated hearing should also be sent to: (1) Drug information collection by selecting parties. For additional substantive Enforcement Administration, Attn: ‘‘Currently under 30-day Review—Open information about this ICR, see the Hearing Clerk/OALJ, 8701 Morrissette for Public Comments’’ or by using the related notice published in the Federal Drive, Springfield, Virginia 22152; and search function. Register on November 1, 2019 (84 FR (2) Drug Enforcement Administration, Comments are invited on: (1) Whether 58747). Attn: DEA Federal Register the collection of information is This information collection is subject Representative/DPW, 8701 Morrissette necessary for the proper performance of to the PRA. A Federal agency generally Drive, Springfield, Virginia 22152. the functions of the Department, cannot conduct or sponsor a collection SUPPLEMENTARY INFORMATION: In including whether the information will of information, and the public is accordance with 21 CFR 1301.34(a), this have practical utility; (2) if the generally not required to respond to an is notice that on February 21, 2020, information will be processed and used information collection, unless the OMB Shertech Laboratories, LLC, 1185 Woods in a timely manner; (3) the accuracy of approves it and displays a currently Chapel Road, Duncan, South Carolina the agency’s estimates of the burden and valid OMB Control Number. In addition, 29334 applied to be registered as an cost of the collection of information, notwithstanding any other provisions of importer of the following basic class(es) including the validity of the law, no person shall generally be subject of a controlled substance: methodology and assumptions used; (4) to penalty for failing to comply with a ways to enhance the quality, utility and collection of information that does not Controlled substance Drug Schedule clarity of the information collection; and display a valid OMB Control Number. code (5) ways to minimize the burden of the See 5 CFR 1320.5(a) and 1320.6. collection of information on those who Cocaine ...... 9041 II DOL seeks PRA authorization for this are to respond, including the use of information collection for three (3) The company plans to import automated collection techniques or years. OMB authorization for an ICR synthetic derivatives of the listed other forms of information technology. cannot be for more than three (3) years controlled substance in bulk form to FOR FURTHER INFORMATION CONTACT: without renewal. The DOL notes that conduct clinical trials. Approval of Frederick Licari by telephone at 202– information collection requirements permit applications will occur only 693–8073, TTY 202–693–8064, (these submitted to the OMB for existing ICRs when the registrant’s activity is are not toll-free numbers) or by email at receive a month-to-month extension _ _ consistent with what is authorized DOL PRA [email protected]. while they undergo review. under to 21 U.S.C. 952(a)(2). SUPPLEMENTARY INFORMATION: The Agency: DOL–OSHA. Authorization will not extend to the Occupational Safety and Health Act of Title of Collection: Cadmium in import of FDA approved or non- 1970 (the OSH Act) (29 U.S.C. 651 et General Industry Standard. approved finished dosage forms for seq.) authorizes information collection OMB Control Number: 1218–0185. commercial sale. by employers as necessary or Affected Public: Private Sector: appropriate for enforcement of the OSH Businesses or other for-profits. William T. McDermott, Act, or for developing information Total Estimated Number of Assistant Administrator. regarding the causes and prevention of Respondents: 50,679. [FR Doc. 2020–06762 Filed 3–31–20; 8:45 am] occupational injuries, illnesses, and Total Estimated Number of BILLING CODE 4410–09–P accidents (see 29 U.S.C. 657). The OSH Responses: 234,036.

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Total Estimated Annual Time Burden: radiogenic cancer cases under Part B of • Documents or other supportive 73,396 hours. the EEOICPA program. materials that demonstrate the Total Estimated Annual Other Costs The Board will consist of 12–15 nominee’s familiarity, experience, or Burden: $5,493,656. members to be appointed by the history of participation with the Authority: 44 U.S.C. 3507(a)(1)(D). Secretary. The Secretary will appoint a EEOICPA program or with the Board Chair from among the members. administration of a technically complex Dated: March 23, 2020. Pursuant to Section 3687(a)(2), the compensation program such as Frederick Licari, Board will reflect a reasonable balance EEOICPA; Departmental Clearance Officer. of scientific, medical, and claimant • A signed statement that the [FR Doc. 2020–06902 Filed 3–30–20; 1:30 pm] members, to address the tasks assigned nominee does not have any financial BILLING CODE 4510–26–P to the Board. Members serve two-year interest, employment, or contractual terms. At the discretion of the Secretary, relationship (other than a routine members may be appointed to consumer transaction) with any person DEPARTMENT OF LABOR successive terms or removed at any who has provided or sought to provide, time. The Board will meet no less than within two years of their appointment Office of Workers’ Compensation twice per year. or during their appointment, goods or Programs Pursuant to Section 3687(d), no Board services for medical benefits under member, employee, or contractor can EEOICPA; and Advisory Board on Toxic Substances • and Worker Health have any financial interest, A signed statement that the employment, or contractual relationship nominee is aware of the nomination, is ACTION: Solicitation for Nominations to (other than a routine consumer willing to regularly attend and Serve on the Advisory Board on Toxic transaction) with any person who has participate in Board meetings, and has Substances and Worker Health (Board) provided or sought to provide, within no conflicts of interest that would of the Energy Employees Occupational two years of their appointment or preclude membership on the Board. Illness Compensation Program Act during their appointment, goods or Nominees will be appointed based on (EEOICPA). services for medical benefits under their demonstrated qualifications, EEOICPA. A certification that this is professional experience, and knowledge SUMMARY: The Secretary of Labor true will be required with each of issues the Board may be asked to (Secretary) invites interested parties to nomination. consider. Nominees will also be selected submit nominations for individuals to DOL is committed to equal in accordance with statutory obligations serve on the Board of the EEOICPA. opportunity in the workplace and seeks under FACA and Section 3687 of SUPPLEMENTARY INFORMATION: The Board broad-based and diverse Board EEOICPA regarding a balanced is mandated by Section 3687 of membership. Any interested person or membership. EEOICPA. The Secretary established the organization may nominate one or more Any member appointed to fill a Board under this authority and individuals for membership. Interested vacancy occurring prior to the Executive Order 13699 (June 26, 2015) persons are also invited and encouraged expiration of a resigning Board and in accordance with the provisions to submit statements in support of member’s term shall be appointed for of the Federal Advisory Committee Act nominees. the remainder of such term. As specified (FACA), as amended, 5 U.S.C. App. 2. Nomination Process: Any interested in Section 3687(i), the Board shall The purpose of the Board is to advise person or organization may nominate terminate ten (10) years after the date of the Secretary with respect to: (1) The one or more qualified individuals for the enactment of the legislation, which Site Exposure Matrices of the membership. If you would like to was December 19, 2014. Thus, the Board Department of Labor (DOL); (2) medical nominate an individual or yourself for shall terminate on December 19, 2024. guidance for claims examiners for appointment to the Board, please submit Members are Special Government claims with the EEOICPA program, with the following information: Employees (SGEs) and serve without respect to the weighing of the medical • The nominee’s contact information compensation. However, members may evidence of claimants; (3) evidentiary (name, title, business address, business each receive reimbursement for travel requirements for claims under Part B of phone, fax number, and/or business expenses for attending Board meetings, EEOICPA related to lung disease; (4) the email address) and current employment including per diem in lieu of work of industrial hygienists and staff or position; subsistence, as authorized by the federal physicians and consulting physicians of • A copy of the nominee’s resume or travel regulations. the DOL and reports of such hygienists curriculum vitae; Board activities may necessitate its and physicians to ensure quality, • Category of membership that the members obtain security clearance. objectivity, and consistency; (5) the nominee is qualified to represent; Pursuant to Section 3687(f), the claims adjudication process generally, • A summary of the background, Secretary of Energy will ensure that the including review of procedure manual experience, and qualifications that Board members, Board staff, and any changes prior to incorporation into the addresses the nominee’s suitability for contractors performing work in support manual and claims for medical benefits; the nominated membership category of the Board are afforded the and (6) such other matters as the identified above; opportunity to apply for a security Secretary considers appropriate. In • Articles or other documents the clearance for any matter for which such addition, the Board, when necessary, nominee has authored that indicate the a clearance is appropriate, and should coordinates exchanges of data and nominee’s knowledge, experience, and provide a determination on eligibility findings with the Department of Health expertise in fields related to the for clearance within 180 days of and Human Services’ Advisory Board EEOICPA program, particularly as receiving a completed application. on Radiation and Worker Health, which pertains to industrial hygiene, ADDRESSES: Nominations may be advises the Department of Health and toxicology, epidemiology, occupational submitted, including attachments, by Human Services’ National Institute for medicine, lung conditions, or the any of the following methods: Occupational Safety and Health on nuclear facilities covered by the • Electronically: Send to: various aspects of causation in EEOICPA program; [email protected] (specify

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in the email subject line, ‘‘Advisory accordance with the Paperwork of information, and the public is Board on Toxic Substances and Worker Reduction Act of 1995 (PRA). generally not required to respond to an Health Nomination’’). DATES: Consideration will be given to all information collection, unless the OMB • Mail, express delivery, hand written comments received by June 1, under the PRA approves it and displays delivery, messenger, or courier service: 2020. a currently valid OMB Control Number. Submit one copy of the documents The current approval is scheduled to ADDRESSES: listed above to the following address: A copy of this ICR with expire August 31, 2020. In addition, U.S. Department of Labor, Office of applicable supporting documentation; notwithstanding any other provisions of Workers’ Compensation Programs, including a description of the likely law, no person shall generally be subject Advisory Board on Toxic Substances respondents, proposed frequency of to penalty for failing to comply with a and Worker Health, Room S–3522, 200 response, and estimated total burden collection of information that does not Constitution Ave. NW, Washington, DC may be obtained free by contacting display a valid Control Number. See 5 20210. Anjanette Suggs by telephone at 202– CFR 1320.5(a) and 1320.6. 354–9660 or by email at Follow-up communications with Interested parties are encouraged to [email protected]. nominees may occur as necessary provide comments to the contact shown Submit written comments about, or through the process. in the ADDRESSES section. Written requests for a copy of, this ICR by mail comments will receive consideration, DATES: Nominations for individuals to or courier to the U.S. Department of serve on the Board must be submitted and summarized and included in the Labor, Office of Workers’ Compensation request for OMB approval of the final (postmarked, if sending by mail; Programs, Room S3323, 200 submitted electronically; or received, if ICR. In order to help ensure appropriate Constitution Avenue NW, Washington, consideration, comments should hand delivered) within 30 days of the DC 20210; by email: suggs.anjanette@ date of this notice. mention [1240–0016]. dol.gov. Submitted comments will also be a FOR FURTHER INFORMATION CONTACT: You FOR FURTHER INFORMATION CONTACT: matter of public record for this ICR and may contact Michael Chance, Anjanette Suggs by telephone at 202– posted on the internet, without Designated Federal Officer (DFO), at 354–9660 or by email at redaction. The DOL encourages [email protected], or Carrie [email protected]. commenters not to include personally Rhoads, Alternate DFO, at SUPPLEMENTARY INFORMATION: The DOL, identifiable information, confidential [email protected], U.S. Department business data, or other sensitive of Labor, 200 Constitution Avenue NW, as part of continuing efforts to reduce paperwork and respondent burden, statements/information in any Suite S–3524, Washington, DC 20210, comments. telephone (202) 343–5580. conducts a pre-clearance consultation program to provide the general public The DOL is particularly interested in This is not a toll-free number. comments that: and Federal agencies an opportunity to • Signed at Washington, DC. comment on proposed and/or Evaluate whether the proposed Julia K. Hearthway, continuing collections of information collection of information is necessary Director, Office of Workers’ Compensation before submitting them to the OMB for for the proper performance of the Programs. final approval. This program helps to functions of the agency, including [FR Doc. 2020–06699 Filed 3–31–20; 8:45 am] ensure requested data can be provided whether the information will have practical utility. BILLING CODE 4510–24–P in the desired format, reporting burden • Evaluate the accuracy of the (time and financial resources) is agency’s estimate of the burden of the minimized, collection instruments are proposed collection of information, DEPARTMENT OF LABOR clearly understood, and the impact of including the validity of the collection requirements can be properly Office of the Workers’ Compensation methodology and assumptions used. assessed. Programs • Enhance the quality, utility, and The OWCP uses this collection to clarity of the information to be Agency Information Collection obtain information from a Federal collected; and Activities; Comment Request; Request Employees’ Compensation Act (FECA) • Minimize the burden of the for Information on Earnings, Dual claimant receiving workers’ collection of information on those who Benefits, Dependents and Third Party compensation benefits over an extended are to respond, including through the Settlement, CA–1032 period. The OWCP uses the response to use of appropriate automated, determine whether the claimant is electronic, mechanical, or other AGENCY: Division of Federal Employees’ entitled to continue receiving benefits technological collection techniques or Compensation, Office of the Workers’ and whether the benefit amount should other forms of information technology, Compensation Programs, Department of be adjusted. The collection is necessary e.g., permitting electronic submission of Labor. to ensure the beneficiary receives responses. ACTION: Notice. correct compensation. Information Agency: DOL-Office of Workers’ requested on the CA–1032 is obtained Compensation Programs. SUMMARY: The Department of Labor from each claimant receiving continuing Type of Review: [Revision]. (DOL) is soliciting comments compensation on the periodic disability Title of Collection: [Request for concerning a proposed revision for the roll. The form requests information on Information on Earnings, Dual Benefits, authority to conduct the information the claimant’s earnings, dependents, Dependents and Third Party collection request (ICR) titled, ‘‘[Request third party settlements, and other Settlement]. for Information on Earnings, Dual Federal benefits received. The FECA Form: [CA–1032]. Benefits, Dependents and Third Party authorizes this information collection. OMB Control Number: [1240–0016]. Settlement, CA–1032].’’ This comment See 5 U.S.C. 8124 and 8149. Affected Public: [Individual or request is part of continuing This information collection is subject Household]. Departmental efforts to reduce to the PRA. A Federal agency generally Estimated Number of Respondents: paperwork and respondent burden in cannot conduct or sponsor a collection [37,056].

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Frequency: [Annually]. detailed information about the purpose hardships due to the coronavirus, Total Estimated Annual Responses: of each initiative, amount of funds particularly members that are most [37,056]. available, funding priorities, permissible impacted by the situation. Funds may Estimated Average Time per uses of funds, funding limits, deadlines be used to address the financial needs Response: [20 minutes]. and other pertinent details will be of impacted members, to help credit Estimated Total Annual Burden defined in the grant round guidelines. In unions respond to the unexpected and Hours: [12,352] hours. addition, the NCUA may periodically unforeseen challenges of COVID–19, Total Estimated Annual Other Cost publish information regarding the and to alleviate the impact of the crisis Burden: $[294,472]. CDRLF in Letters to Credit Unions, on the credit union and its community. Authority: 44 U.S.C. 3506(c)(2)(A). press releases, and/or on the NCUA Due to the severity of the situation, the website. NCUA may relax some of the Anjanette Suggs, administrative and programmatic Agency Clearance Officer. 1. Funding Initiatives requirements for Applicants under this [FR Doc. 2020–06748 Filed 3–31–20; 8:45 am] The list of potential funding initiative. BILLING CODE 4510–CH–P initiatives available during 2020 ii. Digital Services and Cybersecurity: includes the following: The Digital Services and Cybersecurity i. COVID–19 Emergency Support; initiative helps credit unions implement NATIONAL CREDIT UNION ii. Digital Services and Cybersecurity; the infrastructure to build a digital ADMINISTRATION iii. Training; relationship with their members and iv. Minority Depository Institution safeguard credit union information from Community Development Revolving (MDI) Mentoring; and cybersecurity threats. Access to digital Loan Fund Access for Credit Unions v. Underserved Outreach. financial services will improve the ability of credit unions to serve their 2. Authority and Regulations ACTION: Notice of Funding Opportunity. communities. It is crucial for credit i. Authority: 12 U.S.C. 1772c–1, 1756, unions to expand financial products and FUNDING OPPORTUNITY TITLE: Community 1757(5)(D), and (7)(I), 1766, 1782, 1784, services for members through digital Development Revolving Loan Fund 1785 and 1786; channels. Ensuring that the appropriate (CDRLF) Grants. ii. Regulations: The regulation processes are in place to continually CATALOG OF FEDERAL DOMESTIC governing the CDRLF is found at 12 CFR safeguard the credit union’s digital ASSISTANCE (CFDA) NUMBER: 44.002. part 705. In general, this regulation is assets and activities is equally SUMMARY: The National Credit Union used by the NCUA to govern the CDRLF important. The objective of this Administration (NCUA) is issuing this and set forth the program requirements. initiative is to help credit unions Notice of Funding Opportunity (NOFO) Additional regulations related to the establish a new digital service or to announce the availability of technical low-income designation are found at 12 strengthen cybersecurity in order to assistance grants (awards) for low- CFR parts 701.34 and 741.204. For the benefit the members. This initiative is income designated credit unions purposes of this NOFO, an ‘‘Applicant’’ not intended to fund continuous (LICUs) through the CDRLF. The CDRLF is a Participating Credit Union that projects or cover costs associated with serves as a source of financial support submits a complete application to the normal maintenance of digital services in the form of loans and technical NCUA under the CDRLF. The NCUA or cybersecurity. assistance grants that better enable encourages Applicants to review the iii. Training: The Training initiative LICUs to support the communities in regulations, this NOFO, the grant round focuses on helping credit unions which they operate. All grant awards guidelines, and other program materials develop the skills and talents of made under this NOFO are subject to for a complete understanding of the employees through specialized funds availability and are at the NCUA’s program. management programs and advanced discretion. training courses. The goal of this B. Award Information Table of Contents initiative is to enhance the operational Approximately $1.5 million in awards knowledge of credit union employees A. Program Description will be available through this NOFO. and support staff professional B. Award Information The NCUA reserves the right to: (i) development. C. Eligibility Information iv. Underserved Outreach: The D. Application and Submission Information Award more or less than the amounts E. Application Review Information cited above; (ii) fund, in whole or in Underserved Outreach initiative is F. Federal Award Administration part, any, all, or none of the applications designed to help credit unions G. Federal Awarding Agency submitted in response to this NOFO; implement innovative outreach and (iii) reallocate funds from the strategies that will improve the financial A. Program Description amount that is anticipated to be well-being of individuals living in The purpose of the CDRLF is to assist available under this NOFO to other underserved areas within a credit LICUs in providing basic financial programs, particularly if the NCUA union’s field of membership. This services to their members to stimulate determines that the number of awards initiative focuses on providing quality economic activities in their made under this NOFO is fewer than financial products and services to communities. The CDRLF consists of projected. General information about the underserved population segments such Congressional appropriations that are purpose of each funding initiative and as minority groups, youth & millennials, administered by the NCUA. Through the the maximum award amount is veterans, and immigrants. The NCUA’s CDRLF, the NCUA provides financial provided below. priority areas for 2020 Underserved support in the form of awards to LICUs. Outreach grants will allow credit unions These funds help improve and expand 1. Purpose of Funding Initiatives to fund projects that benefit individuals the availability of financial services to i. COVID–19 Emergency Support: The returning to the community following these members. COVID–19 Emergency Support initiative incarceration, promote first-time The NCUA will consider requests for is intended to help credit unions assist homeownership, and improve the various funding initiatives. More members experiencing economic access of financial products and services

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to people with disabilities. The goal of nine-character number used to identify this NOFO, the NCUA will consider an this initiative is for credit unions to your organization. The federal Applicant’s record of compliance with employ outreach strategies that produce government uses the DUNS number to past agreements. The NCUA, in its sole positive growth outcomes for the credit track how federal money is allocated. discretion, will determine whether to union and improve the financial health Registering for a DUNS number is FREE. consider an application from an of individuals. Applicants can obtain a DUNS number Applicant with a past record of v. MDI Mentoring: The MDI by visiting the Dun & Bradstreet (D&B) noncompliance, including any Mentoring initiative is intended to website or calling 1–866–705–5711. The deobligation (i.e., removal of unused encourage mentoring relationships NCUA will not consider an application awards) of funds. between LICUs (mentors) and small that does not include a valid DUNS a. If an Applicant is in default of a LICU MDIs (mentees). This initiative number issued by Dun and Bradstreet previously executed agreement with the was designed to encourage strong and (D&B). Such an application will be NCUA, the NCUA will not consider an experienced low-income designated deemed incomplete and will be application for funding under this credit unions to provide guidance to declined. NOFO. small low-income designated MDI credit 3. Employer Identification Number b. If an Applicant is a prior unions to increase their ability to thrive Participating Credit Union under the and serve low-income and underserved Each application must include a valid CDRLF and has unused awards as of the populations. No more than five awards and current Employer Identification date of application, the NCUA may are expected to be made under this Number (EIN) issued by the U.S. request a narrative from the Applicant NOFO. Internal Revenue Service (IRS). The that addresses the reason for its record NCUA will not consider an application of noncompliance. The NCUA, in its 2. Maximum Award Amount that does not include a valid and sole discretion, will determine whether The maximum amount for a CDRLF current EIN. Such an application will be the reason is sufficient to proceed with award is determined by the type of deemed incomplete and will be the review of the application. funding initiative. There is no minimum declined. Information on how to obtain amount for CDRLF awards. The an EIN may be found on the IRS’s D. Application And Submission maximum award amount for each website. Information funding initiative is provided below. 4. System for Award Management 1. Application i. COVID–19 Emergency Support— All Applicants are required by federal Under this NOFO, all applications $10,000 law to have an active registration with must be submitted online in the NCUA’s the federal government’s System for web-based application system, ii. Digital Services and Cybersecurity— Award Management (SAM) prior to CyberGrants, in order to be considered. $7,000 applying for funding. SAM is a web- Applications must be submitted online based, government-wide application at https://www.cybergrants.com/ncua/ iii. Training—$4,000 that collects, validates, stores, and applications. The application and disseminates business information related documents are also located on iv. MDI Mentoring—$25,000 about the federal government’s trading the NCUA’s website at https:// partners in support of the contract www.ncua.gov/services/Pages/ v. Underserved Outreach—$25,000 awards, grants, and electronic payment resources-expansion/grants-loans.aspx. C. Eligibility Information processes. An active SAM account 2. Minimum Application Content status and CAGE number is required to 1. Eligible Applicants apply for a CDRLF award. Credit unions A complete application will consist of This NOFO is open to credit unions that have an existing registration with similar components for each funding that meet the eligibility requirements SAM must recertify and maintain an initiative. At a minimum, each initiative defined in 12 CFR part 705. A credit active status annually. The SAM requires a narrative response that union must have a low-income registration and recertification process describes the Applicant’s proposed use designation obtained in accordance with is FREE. First-time SAM users can of the CDRLF award. The NCUA 12 CFR 701.34 or 741.204 in order to register by following the instructions in reserves the right to waive this participate in the CDRLF. the Quick Start Guide for New requirement for any funding initiatives i. Non-Federally Insured Applicants: Registrations. Existing users can with a defined list of allowable project Each Applicant that is a non-federally recertify or renew their SAM account activities. The NCUA will identify the insured, state-chartered credit union status by following the instructions in funding initiatives that do not require a must submit additional application the Quick Start Guide for Renewing narrative response in the grant round materials. These additional materials are Registrations. The NCUA will not guidelines. Other application contents more fully described in 12 CFR consider an applicant that does not have that are specific to a particular funding 705.7(b)(3) and in the application. an active SAM status. Such an initiative will be defined in the grant a. Non-federally insured, state- application will be deemed incomplete round guidelines found on NCUA’s chartered credit unions must agree to be and will be declined. website. examined by the NCUA. The specific 3. Submission Dates and Times terms and covenants pertaining to this 5. Other Eligibility Requirements condition will be provided in the award i. Financial Viability: Applicants must i. COVID–19 Emergency Support: The agreement of the Participating Credit meet the underwriting standards NCUA will accept applications Union. established by the NCUA, including beginning March 27, 2020, at 9:00 a.m. those pertaining to financial viability, as eastern time (ET) for this initiative. 2. Data Universal Numbering System set forth in the application and defined Applications must be submitted by May (DUNS) Number in 12 CFR 705.7(c). 22, 2020, at 11:59 p.m. ET. The Data Universal Numbering ii. Compliance with Past Agreements: ii. All Other Initiatives: The NCUA System (DUNS) number is a unique In evaluating funding requests under will accept applications beginning May

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1, 2020, at 9:00 a.m. eastern time (ET). 2. Administrative and National Policy Union Resources and Expansion at Applications must be submitted by June Requirements [email protected]. 30, 2020, at 11:59 p.m. ET. Late i. Award Agreement: The specific 2. Information Technology Support applications will not be considered. terms and conditions will be established People who have visual or mobility E. Application Review Information in the award agreement each impairments that prevent them from Participating Credit Union must sign 1. Eligibility and Completeness Review using the NCUA’s website should call prior to formally accepting an award. (703) 518–6610 for guidance (this is not The NCUA will review each Each Participating Credit Union under a toll free number). this NOFO must enter into an agreement application to determine whether it is with the NCUA before the NCUA will By the National Credit Union complete and that the Applicant meets disburse the award funds. The Administration Board on March 26, 2020. the eligibility requirements described in agreement includes the terms and Gerard Poliquin, the regulations, the grant round conditions of funding, including but not Secretary of the Board. guidelines, and in this NOFO. An limited to the: (i) Award amount; (ii) [FR Doc. 2020–06715 Filed 3–31–20; 8:45 am] incomplete application or one that does grant award details; (iii) roles and BILLING CODE P not meet the eligibility requirements responsibilities; (iv) accounting will be declined without further treatment; (v) signature pages; and (vi) consideration. reporting requirements. NATIONAL CREDIT UNION 2. Evaluation Criteria ii. Failure to Sign Agreement: The ADMINISTRATION NCUA, in its sole discretion, may Each funding initiative, due to its Community Development Revolving rescind an award if the Applicant fails Loan Fund Access for Credit Unions structure and impact, may have varying to sign and return the agreement or any degrees of evaluation criteria assigned. other requested documentation, within ACTION: Notice of funding opportunity. The evaluation criteria for each funding the time specified by the NCUA. initiative is fully described in the grant 3. Reimbursement Process FUNDING OPPORTUNITY TITLE: Community round guidelines. Development Revolving Loan Fund 3. Application Review Applicants that are approved for (CDRLF) Loans funding will be responsible for the CATALOG OF FEDERAL DOMESTIC The purpose of the application review complete and timely submission of the ASSISTANCE (CFDA) NUMBER: 44.002. post-award activities. This includes, but is to determine whether an application SUMMARY: The National Credit Union satisfies the criteria set forth for each it is not limited to, signing the award Administration (NCUA) is issuing this particular funding initiative. The NCUA agreement and completing a Notice of Funding Opportunity (NOFO) will evaluate each application in reimbursement request. Successful to announce the availability of loans accordance with the criteria and Applicants must submit a (awards) for low-income designated procedures described in the grant round reimbursement request in order to credit unions (LICUs) through the guidelines. The NCUA reserves the right receive the awarded funds. The CDRLF. The CDRLF serves as a source to contact the Applicant during its reimbursement requirements are of financial support in the form of loans review for the purpose of clarifying or different depending on the funding and technical assistance grants that confirming information contained in the initiative. The NCUA will define the better enable LICUs to support the application. If so contacted, the reimbursement requirements for each communities in which they operate. All Applicant must respond within the time funding initiative in the post-award awards made under this NOFO are specified by the NCUA or the NCUA, in guidelines. subject to funds availability and are at its sole discretion, may decline the The reimbursement request may the NCUA’s discretion. application without further require, all or a combination of, the consideration. following items: (i) Evidence of Table of Contents expenses, (ii) project related A. Program Description 4. Scoring and Funding Decision documentation, (iii) a summary of B. Award Information project accomplishments and outcomes, The NCUA will make its funding C. Eligibility Information or (iv) a certification form signed by a D. Application and Submission Information decision based on a scoring system that credit union official (e.g. CEO, manager, E. Application Review Information establishes a ranking position for each or Board Chairperson) authorized to F. Federal Award Administration application. The applications will be request the reimbursement and make G. Federal Awarding Agency ranked according to the scoring criteria the certifications. The NCUA, in its sole set forth for each funding initiative in A. Program Description discretion, may modify these the grant round guidelines. The purpose of the CDRLF is to assist requirements. In general, successful LICUs in providing basic financial Applicants are required to submit the F. Federal Award Administration services to their members to stimulate reimbursement request before the economic activities in their 1. NCUA Award Notice expiration date specified in the award communities. The CDRLF consists of agreement. The NCUA will notify each Applicant Congressional appropriations that are of its funding decision by email. In G. Federal Awarding Agency administered by the NCUA. Through the addition, the NCUA will announce the CDRLF, the NCUA provides financial 1. Methods of Contact successful applications through a press support in the form of awards to LICUs. release that includes a list of the Further information can be found at These funds help improve and expand Awardees. Applicants that are approved https://www.ncua.gov/services/Pages/ the availability of financial services to for funding will also receive resources-expansion/grants-loans.aspx. these members. The NCUA accepts loan instructions on how to proceed with the For questions related to the CDRLF, applications on a continuous basis post-award activities. email the NCUA’s Office of Credit subject to funding availability.

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Since its inception, Congress has program materials for a complete shorter at the NCUA’s discretion or at appropriated approximately $13.4 understanding of the program. the request of the credit union, but in no million for revolving loans through the case will the term exceed five years. B. Award Information CDRLF. The CDRLF’s revolving loan 3. Interest Rate component received its last The NCUA expects to award as many appropriation in fiscal year 2005 for qualified credit unions as possible The interest rate on CDRLF loans is $200,000. Approximately $7 million through this NOFO, subject to funding governed by the CDRLF Loan Interest will be available for loans under this availability. CDRLF loans are typically Rate Policy. The policy can be found on NOFO as of March 27, 2020. made at lower than market interest the NCUA’s website at https:// rates. www.ncua.gov/support-services/credit- 1. Permissible Uses of Loan Funds Approximately $7 million, derived union-resources-expansion/grants- The NCUA may consider requests for from prior-year appropriated and earned loans/loans. CDRLF loans are generally loan funds for various uses. A non- funds, will be available for qualified offered at a fixed rate for the full term. exhaustive list of examples of credit unions beginning March 27, 2020. The NCUA reserves the right to reduce permissible uses or projects is defined The amount of funding available for the interest rate when it benefits the in 12 CFR 705.4. The NCUA may CDRLF loans fluctuate whenever objectives of CDRLF priorities and/or consider other proposed uses of loan previously scheduled loans are fully initiatives. funds that are not listed if it determines amortized and/or if Congress makes an The NCUA may decide to lower the the Proposal to be consistent with the appropriation to the CDRLF revolving interest rate and change the loan terms purpose of the CDRLF. The list includes loan component. The NCUA reserves during emergency conditions as the following: the right to: (i) Award more or less than described under Section A Permissible i. Development of new products or the amounts cited above; (ii) fund, in Use of Loan Funds of this document. services for members, including new or whole or in part, any, all, or none of the 4. Repayment expanded share draft or credit card applications submitted in response to programs; this NOFO; and (iii) reallocate funds All loans must be repaid to the NCUA ii. Partnership arrangements with from the amount that is anticipated to regardless of how they are accounted for community-based service organizations be available under this NOFO to other by the Participating Credit Union. or government agencies; programs, particularly if the NCUA i. Principal: The entire principal is iii. Loan programs, including, but not determines that the number of awards due at maturity. limited to, microbusiness loans, payday made under this NOFO is fewer than ii. Interest: Interest is due in semi- loan alternatives, education loans, and projected. annual payments beginning six months real estate loans; The specific terms and conditions after the initial distribution of the loan. iii. Principal Prepayment: There is no iv. Acquisition, expansion, or governing a CDRLF award will be penalty for principal prepayment. improvement of office space or established in the loan documents that Principal prepayments may be made as equipment, including branch facilities, each Participating Credit Union must often as monthly. ATMs, and electronic banking facilities; sign prior to disbursement of funds. The v. Operational programs such as rest of this section contains general C. Eligibility Information security and disaster recovery; and award information regarding loans made 1. Eligible Applicants vi. Responding to emergencies such as through the CDRLF. pandemics, natural disasters, economic This NOFO is open to credit unions downturns, etc. The NCUA recognizes 1. Loan Amount that meet the eligibility requirements that these emergencies will impact the The NCUA makes loans based on the defined in 12 CFR part 705. A credit credit union industry to varying financial condition of the credit union. union must have a low-income degrees. The NCUA intends to support The applicable regulation does not designation obtained in accordance with the efforts of LICUs through emergency provide a maximum limit on loan 12 CFR 701.34 or 741.204 in order to funding needed to respond to applications for consideration, but in participate in the CDRLF. unexpected and unplanned events. practice the NCUA discourages loan i. Non-Federally Insured Applicants: Specific details will be defined and applications of higher than $500,000 to Each Applicant that is a non-federally provided in the applicable guidelines mitigate risk. There is no minimum loan insured, state-chartered credit union and posted on NCUA’s website. amount. CDRLF loan awards typically must submit additional application 2. Authority and Regulations range from $250,000 to $500,000. The materials. These additional materials are amount of the loan will be based on the more fully described in 12 CFR i. Authority: 12 U.S.C. 1772c–1, 1756, following factors: 705.7(b)(3) and in the application. 1757(5)(D), and (7)(I), 1766, 1782, 1784, i. Funds availability: a. Non-federally insured, state- 1785 and 1786; ii. Credit worthiness of the credit chartered credit unions must agree to be ii. Regulations: The regulation union; examined by the NCUA. The specific governing the CDRLF is found at 12 CFR iii. Financial need; terms and covenants pertaining to this part 705. In general, this regulation is iv. Demonstrated capability of the condition will be provided in the award used by the NCUA to govern the CDRLF credit union to provide financial and agreement of the Participating Credit and set forth the program requirements. related services to its members; and Union. Additional regulations related to the v. Concurrence from the credit 2. Matching Funds (if Applicable) low-income designation are found at 12 union’s NCUA regional office and/or the CFR parts 701.34 and 741.204. For the applicable the State Supervisory At its discretion, the NCUA may purposes of this NOFO, an ‘‘Applicant’’ Authority (SSA) for qualifying state- require the Applicant to submit a is a Participating Credit Union that chartered credit unions. functional plan to meet the matching submits a complete application to the funds requirement depending on the NCUA under the CDRLF. The NCUA 2. Maturity financial condition of the Applicant. encourages Applicants to review the CDRLF loans will generally mature in The NCUA anticipates that most regulations, this NOFO, and other five years. The loan period may be Applicants will not be required to

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obtain matching funds. 12 CFR 705.5(g) government uses the DUNS number to past agreements. The NCUA, in its sole of the NCUA’s regulations describe the track how federal money is allocated. discretion, will determine whether to overall requirements for matching Registering for a DUNS number is FREE. consider an application from an funds. Applicants can obtain a DUNS number Applicant with a past record of i. Matching Funds Requirements: The by visiting the Dun & Bradstreet (D&B) noncompliance, including any specific terms and covenants pertaining website or calling 1–866–705–5711. The deobligation (i.e. removal of unused to any matching funds requirement will NCUA will not consider an application awards) of funds. be provided in the loan agreement of the that does not include a valid DUNS a. If an Applicant is in default of a Participating Credit Union. Following, number issued by Dun and Bradstreet previously executed agreement with the are general matching fund requirements. (D&B). Such an application will be NCUA, the NCUA will not consider an The NCUA, in its sole discretion, may deemed incomplete and will be application for funding under this amend these requirements depending declined. NOFO. b. If an Applicant is a prior upon its evaluation of the Applicant, 4. Employer Identification Number but in no case will the amended Participating Credit Union under the requirements be greater than the Each application must include a valid CDRLF and has unused awards as of the conditions listed below. and current Employer Identification date of application, the NCUA may a. The amount of matching funds Number (EIN) issued by the U.S. request a narrative from the Applicant required must generally be in an amount Internal Revenue Service (IRS). The that addresses the reason for its record equal to the loan amount. NCUA will not consider an application of noncompliance. The NCUA, in its b. Matching funds must be from non- that does not include a valid and sole discretion, will determine whether governmental member or nonmember current EIN. Such an application will be the reason is sufficient to proceed with share deposits. deemed incomplete and will be the review of the application. c. Any loan monies matched by declined. Information on how to obtain an EIN may be found on the IRS’s D. Application and Submission nonmember share deposits are not Information subject to the 20% limitation on website. nonmember deposits defined in 12 CFR 5. System for Award Management 1. Application 701.32. All Applicants are required by federal Under this NOFO, all applications d. Participating Credit Unions must law to have an active registration with must be submitted online in the NCUA’s maintain the outstanding loan amount the federal government’s System for web-based application system, in the total amount of share deposits for Award Management (SAM) prior to CyberGrants, in order to be considered. the duration of the loan. Once the loan applying for funding. SAM is a web- Applications must be submitted online is repaid, nonmember share deposits based, government-wide application at https://www.cybergrants.com/ncua/ accepted to meet the matching that collects, validates, stores, and applications. The application and requirement are subject to requirements disseminates business information related documents are also located on defined in defined in 12 CFR 701.32. about the federal government’s trading the NCUA’s website at https:// ii. Criteria for Matching Funds: The partners in support of the contract www.ncua.gov/services/Pages/ NCUA will use the following criteria to awards, grants, and electronic payment resources-expansion/grants-loans.aspx. determine whether to require an processes. An active SAM account Applicant to have matching funds as a 2. Minimum Application Content status and CAGE number is required to condition of its loan. apply for a CDRLF award. Credit unions At a minimum, the application will a. CAMEL Composite Rating that have an existing registration with require credit unions to provide b. CAMEL Management Rating SAM must recertify and maintain an information about the following core c. CAMEL Asset Quality Rating active status annually. The SAM application contents: (i) Project title; (ii) d. Regional Director Concurrence registration and recertification process loan amount requested; (iii) total cost of e. Net Worth Ratio is FREE. First-time SAM users can the proposed project; (iv) project iii. Documentation of Matching register by following the instructions in activity or objective; and (v) proposed Funds: The NCUA may contact the the Quick Start Guide for New use of the loan funds. matching funds source to discuss the Registrations. Existing users can 3. Submission Dates and Times matching funds and the documentation recertify or renew their SAM account that the Applicant has provided. If the i. COVID–19 Emergency Support status by following the instructions in Loan: The NCUA will accept NCUA determines that any portion of the Quick Start Guide for Renewing the Applicant’s matching funds is applications beginning March 27, 2020, Registrations. The NCUA will not at 9:00 a.m. eastern time (ET) for this ineligible under this NOFO, the NCUA, consider an applicant that does not have in its sole discretion, may permit the initiative. Applications must be an active SAM status. Such an submitted by May 22, 2020, at 11:59 Applicant to offer alternative matching application will be deemed incomplete funds as a substitute for the ineligible p.m. ET. and will be declined. ii. All Other Loans: The NCUA matching funds. In this case, the accepts applications on a continuous Applicant must provide acceptable 6. Other Eligibility Requirements basis subject to funding availability. alternative matching funds i. Financial Viability: Applicants must documentation within 10 business days meet the underwriting standards E. Application Review Information of the NCUA’s request. established by the NCUA, including those pertaining to financial viability, as 1. Eligibility and Completeness Review 3. Data Universal Numbering System set forth in the application and defined The NCUA will review each (DUNS) Number in 12 CFR 705.7(c). application to determine whether it is The Data Universal Numbering ii. Compliance with Past Agreements: complete and that the Applicant meets System (DUNS) number is a unique In evaluating funding requests under the eligibility requirements described in nine-character number used to identify this NOFO, the NCUA will consider an the regulations, program guidelines, and your organization. The federal Applicant’s record of compliance with in this NOFO. An incomplete

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application or one that does not meet geographic diversity of the Applicants G. Federal Awarding Agency the eligibility requirements will be in its funding decisions. 1. Methods of Contact declined without further consideration. F. Federal Award Administration Further information can be found at 2. Evaluation Criteria 1. Federal Award Notice https://www.ncua.gov/services/Pages/ The evaluation criteria is fully The NCUA will notify each Applicant resources-expansion/grants-loans.aspx. described in 12 CFR 705.7(c). The of its funding decision by email. For questions related to the CDRLF, NCUA will evaluate each application on Applicants that are approved for email the NCUA’s Office of Credit accordance with the criteria described funding will also receive instructions on Union Resources and Expansion at in the regulation, this NOFO and how to proceed with disbursement of [email protected]. program guidelines: Financial the award. 2. Information Technology Support performance, compatibility, feasibility, and examination information and 2. Administrative and National Policy People who have visual or mobility applicable concurrence. Each initiative, Requirements impairments that prevent them from due to its structure and impact, have i. Loan Agreement: Each Participating using the NCUA’s website should call varying degrees of evaluation criteria Credit Union under this NOFO must (703) 518–6610 for guidance (this is not assigned which are reflected in the enter into an agreement with the NCUA a toll free number). guidelines for credit union’s before the NCUA will disburse the By the National Credit Union information. award funds. The agreement documents Administration Board on March 26, 2020. include, for example, a promissory note, Gerard Poliquin, 3. Application Review loan agreement, repayment schedule, Secretary of the Board. The purpose of the application review and security agreement (if applicable). [FR Doc. 2020–06714 Filed 3–31–20; 8:45 am] is to determine whether the NCUA The agreement will include the terms BILLING CODE 7535–01–P should support and fund the loan and conditions of funding, including request. During this phase of the review, but not limited to the: (i) Award the NCUA reviews the credit union’s amount; (ii) interest rate; (iii) repayment NATIONAL SCIENCE FOUNDATION prior financial and operational requirements; (iv) accounting treatment; performance, the collateral offered to (v) impact measures; and (vi) reporting Advisory Committee for Biological securitize the loan (if applicable), and requirements. Sciences; Notice of Meeting its longevity in operation. The NCUA ii. Failure to Sign Agreement: The NCUA, in its sole discretion, may In accordance with the Federal reserves the right to contact the Advisory Committee Act (Pub. L. 92– Applicant during its review for the rescind an award if the Applicant fails to sign and return the agreement or any 463, as amended), the National Science purpose of clarifying or confirming Foundation (NSF) announces the information contained in the other requested documentation, within the time specified by the NCUA. following meeting: application. If so contacted, the Name and Committee Code: Advisory Applicant must respond within the time iii. Multiple Disbursements: The NCUA may determine, in its sole Committee for Biological Sciences specified by the NCUA or the NCUA, in discretion, to fund a loan in multiple (#1110). its sole discretion, may decline the disbursements. In such cases, the Date and Time: April 30, 2020; 1:00 application without further process for disbursement will be p.m.–3:00 p.m. consideration. specified by the NCUA in the loan Place: National Science Foundation, 4. Examination Information and agreement. 2415 Eisenhower Avenue, Alexandria, Applicable Concurrence VA 22314. 3. Reporting Due to ongoing social distancing best The NCUA will not approve an award The reporting requirements are more practices because of COVID–19 the to a credit union for which it’s NCUA fully described in 12 CFR 705.9. meeting will be held virtually among regional examining office or SSA, if Annually, each Participating Credit the Advisory Committee members. applicable, indicates it has safety and Union will submit a report to the Public visitors will be able to listen soundness concerns. If the NCUA NCUA. The report will address the telephonically. Public attendees should regional office or SSA identifies a safety Participating Credit Union’s use of the contact Melody Jenkins at MJenkins@ and soundness concern, the NCUA, in loan funds; the impact of funding; and nsf.gov to register and receive conjunction with the regional office or explanation of any failure to meet information to join the meeting. SSA, will assess whether the condition objectives for use of proceeds, outcome, Type of Meeting: Open. of the Applicant is adequate to or impact. The NCUA, in its sole Contact Person: Brent Miller, National undertake the activities for which discretion, may modify these Science Foundation, 2415 Eisenhower funding is requested, and the requirements. However, such reporting Avenue, Room C 12000, Alexandria, VA obligations of the loan and its requirements will be modified only after 22314; Telephone Number: (703) 292– conditions. The NCUA, in its sole notice to affected credit unions. 8400. discretion, may defer decision on i. Report Form: Applicable credit Purpose of Meeting: The Advisory funding an application until the credit unions will be notified regarding the Committee for the Directorate for union’s safety and soundness conditions submission of the report form. A Biological Sciences (BIO) provides improve. Participating Credit Union is advice, recommendations, and oversight responsible for timely and complete 5. Funding Selection concerning major program emphases, submission of the report. The NCUA directions, and goals for the research- The NCUA will make its funding will use such information to monitor related activities of the divisions that selections based on a consistent scoring each Participating Credit Union’s make up BIO. tier for each Applicant. The NCUA will compliance with the requirements of its Agenda: Agenda items will include a consider the impact of the funding. In loan agreement and to assess the impact directorate business update, status addition, the NCUA may consider the of the CDRLF loan. update on the standard metrics for BIO

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proposal submissions and review, a Service request, the request’s acceptance Law 94–409, that the Securities and review of the charge for the Long-Term date, and the authority cited by the Exchange Commission Small Business Ecological Research 40-year review, a Postal Service for each request. For each Capital Formation Advisory Committee review of the BIO’s Office of the request, the Commission appoints an on Small and Emerging Companies will Assistant Director’s response to the officer of the Commission to represent hold a public meeting on Thursday Division of Environmental Biology’s the interests of the general public in the April 2, 2020, via video conference. Committee of Visitor Report, and proceeding, pursuant to 39 U.S.C. 505 PLACE: The meeting will begin at 12:00 discussion of the research communities’ (Public Representative). Section II also p.m. (ET) and will be open to the public. adaptation to COVID–19 restrictions. establishes comment deadline(s) The meeting will be conducted by Dated: March 27, 2020. pertaining to each request. remote means (videoconference) and/or The public portions of the Postal Crystal Robinson, at the Commission’s headquarters, 100 F Service’s request(s) can be accessed via Street NE, Washington, DC 20549. Committee Management Officer. the Commission’s website (http:// Members of the public may watch the [FR Doc. 2020–06794 Filed 3–31–20; 8:45 am] www.prc.gov). Non-public portions of webcast of the meeting on the BILLING CODE 7555–01–P the Postal Service’s request(s), if any, Commission’s website at www.sec.gov. can be accessed through compliance STATUS: This Sunshine Act notice is with the requirements of 39 CFR being issued because a majority of the POSTAL REGULATORY COMMISSION 3007.301.1 Commission may attend the meeting. [Docket Nos. MC2020–108 and CP2020–114] The Commission invites comments on MATTERS TO BE CONSIDERED: The agenda whether the Postal Service’s request(s) for the meeting includes matters relating New Postal Products in the captioned docket(s) are consistent to the effects of COVID–19 on small and with the policies of title 39. For AGENCY: Postal Regulatory Commission. emerging companies, which may request(s) that the Postal Service states include a recommendation of the ACTION: Notice. concern market dominant product(s), Committee. applicable statutory and regulatory CONTACT PERSON FOR MORE INFORMATION: SUMMARY: The Commission is noticing a requirements include 39 U.S.C. 3622, 39 For further information and to ascertain recent Postal Service filing for the U.S.C. 3642, 39 CFR part 3010, and 39 what, if any, matters have been added, Commission’s consideration concerning CFR part 3020, subpart B. For request(s) deleted or postponed; please contact negotiated service agreements. This that the Postal Service states concern Vanessa A. Countryman from the Office notice informs the public of the filing, competitive product(s), applicable of the Secretary at (202) 551–5400. invites public comment, and takes other statutory and regulatory requirements administrative steps. include 39 U.S.C. 3632, 39 U.S.C. 3633, Dated: March 30, 2020. DATES: Comments are due: April 3, 39 U.S.C. 3642, 39 CFR part 3015, and Vanessa A. Countryman, 2020. 39 CFR part 3020, subpart B. Comment Secretary. ADDRESSES: Submit comments deadline(s) for each request appear in [FR Doc. 2020–06931 Filed 3–30–20; 4:15 pm] electronically via the Commission’s section II. BILLING CODE 8011–01–P Filing Online system at http:// II. Docketed Proceeding(s) www.prc.gov. Those who cannot submit comments electronically should contact 1. Docket No(s).: MC2020–108 and SECURITIES AND EXCHANGE the person identified in the FOR FURTHER CP2020–114; Filing Title: USPS Request COMMISSION to Add Priority Mail Contract 599 to INFORMATION CONTACT section by [Release No. 34–88488; File No. SR–NYSE– telephone for advice on filing Competitive Product List and Notice of 2020–23] alternatives. Filing Materials Under Seal; Filing Acceptance Date: March 26, 2020; Filing Self-Regulatory Organizations; New FOR FURTHER INFORMATION CONTACT: Authority: 39 U.S.C. 3642, 39 CFR York Stock Exchange LLC; Notice of David A. Trissell, General Counsel, at 3020.30 et seq., and 39 CFR 3015.5; Filing and Immediate Effectiveness of 202–789–6820. Public Representative: Christopher C. Proposed Rule Change To Amend Rule SUPPLEMENTARY INFORMATION: Mohr; Comments Due: April 3, 2020. 7.35A To Allow the Exchange, for a This Notice will be published in the Table of Contents Temporary Period, To Publish Trader Federal Register. Updates With Auction Imbalance I. Introduction Information for IPO Auctions II. Docketed Proceeding(s) Erica A. Barker, Secretary. I. Introduction March 26, 2020. [FR Doc. 2020–06754 Filed 3–31–20; 8:45 am] Pursuant to Section 19(b)(1) 1 of the The Commission gives notice that the BILLING CODE 7710–FW–P Securities Exchange Act of 1934 Postal Service filed request(s) for the (‘‘Act’’),2 and Rule 19b–4 thereunder,3 Commission to consider matters related notice is hereby given that on March 26, to negotiated service agreement(s). The SECURITIES AND EXCHANGE 2020, New York Stock Exchange LLC request(s) may propose the addition or COMMISSION (‘‘NYSE’’ or ‘‘Exchange’’) filed with the removal of a negotiated service Securities and Exchange Commission agreement from the market dominant or Sunshine Act Meetings (‘‘Commission’’) the proposed rule the competitive product list, or the TIME AND DATE: Notice is hereby given, change as described in Items I and II modification of an existing product below, which Items have been prepared currently appearing on the market pursuant to the provisions of the Government in the Sunshine Act, Public by the Exchange. The Commission is dominant or the competitive product publishing this notice to solicit list. 1 See Docket No. RM2018–3, Order Adopting Section II identifies the docket Final Rules Relating to Non-Public Information, 1 15 U.S.C. 78s(b)(1). number(s) associated with each Postal June 27, 2018, Attachment A at 19–22 (Order No. 2 15 U.S.C. 78a. Service request, the title of each Postal 4679). 3 17 CFR 240.19b–4.

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comments on the proposed rule change closed as a precautionary measure to the DMM to perform any functions other from interested persons. reduce the spread of COVID–19. than effecting the IPO Auction manually. Pursuant to Rule 7.1(e), the I. Self-Regulatory Organization’s Background CEO notified the Board of Directors of Statement of the Terms of Substance of Since March 9, 2020, markets the Exchange of this determination. the Proposed Rule Change worldwide have been experiencing If the Trading Floor is partially The Exchange proposes to amend unprecedented market-wide declines reopened for an IPO Auction, the Rule 7.35A relating to IPO Auctions for and volatility because of the ongoing Exchange would permit entry to the a temporary period that begins March spread of COVID–19. Beginning on Trading Floor to a single employee from 26, 2020, and ends on the earlier of the March 16, 2020, to slow the spread of the DMM member organization assigned reopening of the Trading Floor facilities COVID–19 through social-distancing to such security so that this DMM can or after the Exchange closes on May 15, measures, significant limitations were access the Floor-based systems used to 2020. The proposed rule change is placed on large gatherings throughout effect an Auction manually. When available on the Exchange’s website at the country. For example, in New York effecting an IPO Auction, the DMM www.nyse.com, at the principal office of City, which is where the NYSE Trading would be expected to publish pre- the Exchange, and at the Commission’s Floor is located, public and private opening indications consistent with the Public Reference Room. schools, universities, churches, requirements specified in Rule 7.35A(d). restaurants, bars, movie theaters, and The Exchange will arrange for a Floor II. Self-Regulatory Organization’s other commercial establishments where Governor to be present for such Statement of the Purpose of, and large crowds can gather have been Auctions to approve the publication of Statutory Basis for, the Proposed Rule closed. any pre-opening indications.10 In Change On March 18, 2020, the CEO of the addition, Exchange staff on the Trading Exchange made a determination under In its filing with the Commission, the Floor will be in communication with Rule 7.1(c)(3) that beginning March 23, self-regulatory organization included the lead underwriter or financial 2020, the Trading Floor facilities located statements concerning the purpose of, advisor, as applicable, for such IPO at 11 Wall Street in New York City and basis for, the proposed rule change Auction and will convey to the DMM would close and the Exchange would and discussed any comments it received information that the underwriter would move, on a temporary basis, to fully on the proposed rule change. The text normally convey to the DMM via a Floor electronic trading.7 of those statements may be examined at Pursuant to Rule broker, such as when the underwriter the places specified in Item IV below. 7.1(e), the CEO notified the Board of has entered all interest for such auction. Directors of the Exchange of this The Exchange has prepared summaries, Proposed Rule Change set forth in sections A, B, and C below, determination. Because the Trading Floor facilities During normal operations, Floor of the most significant parts of such are now temporarily closed, Designated brokers perform a vital role during IPO statements. Market Makers (‘‘DMMs’’) are not on the Auctions to convey information that is A. Self-Regulatory Organization’s Trading Floor and therefore cannot available on the Trading Floor about Statement of the Purpose of, and engage in any manual actions, such as such auctions to their customers. Statutory Basis for, the Proposed Rule facilitating an Auction manually or Information available at the point of sale Change publishing pre-opening indications includes imbalance and paired quantity before a Core Open or Trading Halt information that the Exchange systems 1. Purpose Auction.8 The auction process for IPO and DMM calculate based on the buy The Exchange proposes, for a Auctions is manual; DMMs are not and sell interest in the Book at a given temporary period that begins on the permitted to effect an IPO Auction point in time. During any temporary effective date of this filing and ends on electronically.9 reopening of the Trading Floor to permit the earlier of the reopening of the On March 25, 2020, the CEO of the a DMM to effect an IPO Auction Trading Floor facilities or after the Exchange determined pursuant to Rule manually, Floor brokers will not be Exchange closes on May 15, 2020, that 7.1(c) that, for the period while the present and therefore unable to convey the Exchange would publish Trader Trading Floor is temporarily closed as a this information to their customers. Updates with Auction Imbalance precautionary measure to prevent the In the absence of Floor brokers, the Information 4 for IPO Auctions.5 spread of COVID–19, the Trading Floor Exchange proposes that for the Current rules provide that the will be partially reopened on trading temporary period while the Trading Exchange does not disseminate Auction days when an IPO Auction is scheduled, Floor has been closed and a DMM is Imbalance Information if a security is an to allow a DMM on the Trading Floor permitted limited entry to facilitate an IPO and has not had its IPO Auction.6 for the limited purpose of effecting such IPO Auction, the Exchange would The Exchange is proposing to publish IPO Auction manually. During this disseminate specified Auction specified Auction Imbalance temporary reopening, the Trading Floor Imbalance Information via Trader Information via Trader Update email for will not be open to Floor brokers or for Update. The Exchange recently amended Rule such auctions for the period when the 7 7.35A to add Commentary .01 that NYSE Trading Floor has temporarily The Exchange’s current rules establish how the Exchange will function fully-electronically. The describes changes related to DMM CEO also closed the NYSE American Options electronically-facilitated Auctions that 4 The term ‘‘Auction Imbalance Information’’ is Trading Floor, which is located at the same 11 Wall defined in Rule 7.35(4) to mean the information that Street facilities, and the NYSE Arca Options are in effect beginning March 23, 2020 is disseminated by the Exchange for an Auction via Trading Floor, which is located in San Francisco, and ending on the earlier of the a proprietary data feed during the times specified CA. See Press Release, dated March 18, 2020, in the Rule 7.35 Series. See Rule 7.35(c). available here: https://ir.theice.com/press/press- 10 See Rule 7.35A(d)(4)(A) (‘‘Publication of a pre- 5 An ‘‘IPO Auction’’ is defined in Rule releases/all-categories/2020/03-18-2020-204202110. opening indication requires the supervision and 7.35(a)(1)(D) to mean the Core Open Auction for the 8 While the Trading Floor is temporarily closed, approval of a Floor Governor.’’) The Exchange will first day of trading on the Exchange of a security DMMs participate electronically both intraday and arrange for a qualified ICE employee that has been that is an IPO. for Auctions. designated as a Floor Governor to perform this 6 See Rule 7.35(c)(3). 9 See Rule 7.35A(c)(1)(C). function. See Rule 46(b)(v).

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reopening of the Trading Floor facilities shares that cannot be paired at the The Exchange believes that, by clearly or after the Exchange closes on May 15, Imbalance Reference Price. stating that this relief will be in effect 2020.11 The Exchange proposes to • The Side of the Unpaired Quantity, through the earlier of the reopening of amend Rule 7.35A to add new which is the side (buy or sell) that the Trading Floor facilities or the close Commentary .02 to specify the Auction cannot be paired at the Imbalance of the Exchange on May 15, 2020, Imbalance Information that the Reference Price. market participants will have more Exchange would disseminate relating to The Exchange believes that, in the certainty regarding what information an IPO Auction during the period when absence of Floor brokers, this proposed would be available about IPO Auctions the Trading Floor is closed, as follows: rule change would promote that are conducted during the temporary For a temporary period that begins on transparency in advance of an IPO period while the Trading Floor is March 26, 2020 and ends on the earlier of the Auction that would be manually closed. reopening of the Trading Floor facilities or effected by the DMM while the Trading B. Self-Regulatory Organization’s after the Exchange closes on May 15, 2020, Floor is closed. Statement on Burden on Competition the Exchange will permit a DMM limited The Exchange would be able to The Exchange does not believe that entry to the Trading Floor to effect an IPO implement the proposed rule change Auction manually. For such an IPO Auction, the proposed rule change would impose immediately upon effectiveness of this the Exchange will disseminate the following any burden on competition that is not proposed rule change. Auction Imbalance Information provided by necessary or appropriate in furtherance the DMM via Trader Update: the Imbalance 2. Statutory Basis of the purposes of the Act. The Reference Price; the Paired Quantity; the proposed rule change is not designed to The proposed rule change is Unpaired Quantity; and the Side of the address any competitive issues but Unpaired Quantity. The Exchange will consistent with Section 6(b) of the rather is designed to ensure fair and publish such Trader Update(s) promptly after Act,15 in general, and furthers the orderly IPO Auctions on the Exchange each publication by the DMM of a pre- objectives of Section 6(b)(5) of the Act,16 by allowing the Exchange to opening indication for such security. The in particular, in that it is designed to disseminate specified Auction Trader Update will also include the pre- prevent fraudulent and manipulative opening indication range. Imbalance Information in advance of acts and practices, to promote just and such auctions during a temporary Because publishing such Trader equitable principles of trade, to foster period when the Exchange Trading Updates would be a manual process, the cooperation and coordination with Floor has been closed in response to Exchange proposes to disseminate a persons engaged in facilitating social-distancing measures designed to Trader Update following each transactions in securities, and to remove reduce the spread of the COVID–19 publication of a pre-opening indication impediments to and perfect the virus. by the DMM.12 The Exchange proposes mechanism of a free and open market to include in the Trader Update and a national market system. C. Self-Regulatory Organization’s information that a DMM would convey As a result of uncertainty related to Statement on Comments on the on the Trading Floor during normal the ongoing spread of COVID–19, the Proposed Rule Change Received From operations: U.S. equities markets are experiencing Members, Participants, or Others • The Imbalance Reference Price, unprecedented market volatility. In No written comments were solicited which is the reference price that is used addition, social-distancing measures or received with respect to the proposed for the applicable Auction to determine have been implemented throughout the rule change. the Auction Imbalance Information.13 country, including in New York City, to However, unlike the Imbalance reduce the spread of COVID–19. III. Date of Effectiveness of the Reference Price used for the Core Open Directly related to such social- Proposed Rule Change and Timing for Auction, which is a static number, the distancing measures, the CEO of the Commission Action Imbalance Reference Price that would Exchange made a determination under The Exchange has filed the proposed be included in a Trader Update for an Rule 7.1(c)(3) that beginning March 23, rule change pursuant to Section IPO Auction would be a prospective 2020, the Trading Floor facilities located 19(b)(3)(A)(iii) of the Act 17 and Rule opening price manually selected by the at 11 Wall Street in New York City 19b–4(f)(6) thereunder.18 Because the DMM based on the interest in the Book would close and the Exchange would proposed rule change does not: (i) at that time. The Imbalance Reference move, on a temporary basis, to fully Significantly affect the protection of Price would be updated by the DMM as electronic trading. investors or the public interest; (ii) buy and sell interest in the Book The Exchange believes that the impose any significant burden on updates. proposed rule change would remove competition; and (iii) become operative • The Paired Quantity, which is the impediments to and perfect the for 30 days from the date on which it volume of better-priced and at-priced mechanism of a free and open market was filed, or such shorter time as the buy shares that can be paired with and a national market system because it Commission may designate, if better-priced and at-priced sell shares at would promote fair and orderly IPO consistent with the protection of the Imbalance Reference Price.14 Auctions on the Exchange by allowing investors and the public interest, the • The Unpaired Quantity, which is the Exchange to disseminate specified proposed rule change has become the volume of at-priced buy or sell Auction Imbalance Information in effective pursuant to Section 19(b)(3)(A) advance of such auctions. The proposed of the Act 19 and Rule 19b–4(f)(6) 20 11 See Securities Exchange Act Release No. 88444 rule change would therefore promote thereunder. (March 20, 2020) (SR–NYSE–2020–22) (Notice of transparency in advance of an IPO filing and immediate effectiveness of proposed rule Auction that would be manually 17 15 U.S.C. 78s(b)(3)(A)(iii). change). effected by a DMM while the Trading 18 17 CFR 240.19b–4(f)(6). 12 Pre-opening indications are disseminated on Floor is closed. 19 15 U.S.C. 78s(b)(3)(A). both proprietary and SIP data feeds. See Rule 20 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 7.35A(d). 4(f)(6)(iii) requires the Exchange to give the 13 See Rule 7.35(a)(10). 15 15 U.S.C. 78f(b). Commission written notice of the Exchange’s intent 14 See Rule 7.35(a)(4)(B). 16 15 U.S.C. 78f(b)(5). to file the proposed rule change, along with a brief

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A proposed rule change filed under Commission notes that by clearly stating Paper Comments Rule 19b–4(f)(6) 21 normally does not that this relief will be in effect through • become operative for 30 days after the the earlier of the reopening of the Send paper comments in triplicate date of the filing. However, pursuant to Trading Floor facilities or the close of to Secretary, Securities and Exchange Rule 19b–4(f)(6)(iii),22 the Commission the Exchange on May 15, 2020, market Commission, 100 F Street NE, may designate a shorter time if such participants will have more certainty Washington, DC 20549–1090. action is consistent with the protection regarding what information would be All submissions should refer to File of investors and the public interest. The available about IPO Auctions that are Number SR–NYSE–2020–23. This file Exchange has asked the Commission to conducted during the temporary period number should be included on the waive the 30-day operative delay so that while the Trading Floor is partially the proposed rule change may become subject line if email is used. To help the reopened for the limited purpose of Commission process and review your operative immediately. facilitating an IPO Auction. The comments more efficiently, please use The Exchange represents that the Commission also notes that the proposal only one method. The Commission will proposed rule change is designed to is a temporary measure designed to post all comments on the Commission’s facilitate fair and orderly IPO Auctions respond to current, unprecedented internet website (http://www.sec.gov/ on the Exchange during a temporary market conditions. Finally, the period when the Exchange Trading Commission notes that waiving the 30- rules/sro.shtml). Copies of the Floor has been closed in response to day operative delay would allow the submission, all subsequent social-distancing measures designed to Exchange to implement the proposed amendments, all written statements reduce the spread of the COVID–19 rule change immediately and thereby with respect to the proposed rule virus. The Exchange proposes to permit enable it to enact the proposed change that are filed with the a DMM limited entry to the Trading procedures for its IPO Auction Commission, and all written Floor to facilitate an IPO manually, and, scheduled on March 27, 2020. For these communications relating to the in the absence of Floor brokers, to have reasons, the Commission believes that proposed rule change between the the Exchange disseminate specified waiver of the 30-day operative delay is Commission and any person, other than Auction Imbalance Information via those that may be withheld from the Trader Updates. The Exchange consistent with the protection of public in accordance with the represents that the information it would investors and the public interest. provisions of 5 U.S.C. 552, will be include in Trader Updates is the same Accordingly, the Commission hereby information that a DMM would waives the 30-day operative delay and available for website viewing and normally convey on the Trading Floor designates the proposal operative upon printing in the Commission’s Public 23 during regular operations. The Exchange filing. Reference Room, 100 F Street NE, believes that the proposed rule change At any time within 60 days of the Washington, DC 20549, on official would promote transparency in advance filing of the proposed rule change, the business days between the hours of of an IPO Auction that would be Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the manually effected by a DMM while the temporarily suspend such rule change if filing also will be available for Trading Floor is partially reopened for it appears to the Commission that such inspection and copying at the principal the limited purpose of facilitating an action is necessary or appropriate in the office of the Exchange. All comments IPO Auction, that could not otherwise public interest, for the protection of received will be posted without change. be conducted when the Trading Floor is investors, or otherwise in furtherance of Persons submitting comments are closed. The Exchange also represents the purposes of the Act. If the cautioned that we do not redact or edit that it is able to implement this Commission takes such action, the personal identifying information from proposed rule change immediately, that Commission shall institute proceedings comment submissions. You should an IPO Auction is currently scheduled to determine whether the proposed rule submit only information that you wish for March 27, 2020, and that waiver of change should be approved or to make available publicly. All the 30-day operative delay would allow disapproved. submissions should refer to File the Exchange to disseminate Trader Number SR–NYSE–2020–23, and Updates in connection with this IV. Solicitation of Comments should be submitted on or before April planned IPO Auction. The Commission 22, 2020. notes that by disclosing that the Interested persons are invited to Exchange will permit a DMM limited submit written data, views, and For the Commission, by the Division of entry to the Trading Floor to effect an arguments concerning the foregoing, Trading and Markets, pursuant to delegated IPO Auction manually, and by enabling including whether the proposed rule authority.24 the Exchange to disseminate the change is consistent with the Act. J. Matthew DeLesDernier, information as discussed above, the Comments may be submitted by any of the following methods: Assistant Secretary. proposed rule change would promote [FR Doc. 2020–06720 Filed 3–31–20; 8:45 am] transparency in advance of an IPO Electronic Comments BILLING CODE 8011–01–P Auction that would be manually effected by a DMM while the Trading • Use the Commission’s internet Floor is partially reopened for this comment form (http://www.sec.gov/ limited purpose. Further, the rules/sro.shtml); or • Send an email to rule-comments@ description and text of the proposed rule change, sec.gov. Please include File Number SR– at least five business days prior to the date of filing of the proposed rule change, or such shorter time NYSE–2020–23 on the subject line. as designated by the Commission. The Commission has waived that requirement for this proposed rule 23 For purposes only of waiving the 30-day change. operative delay, the Commission has considered the 21 17 CFR 240.19b–4(f)(6). proposed rule’s impact on efficiency, competition, 22 17 CFR 240.19b–4(f)(6)(iii). and capital formation. See 15 U.S.C. 78c(f). 24 17 CFR 200.30–3(a)(12), (59).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s in a primary listing markets’ closing COMMISSION Statement of the Purpose of, and auction.5 Statutory Basis for, the Proposed Rule 2. Statutory Basis [Release No. 34–88487; File No. SR– Change CboeBZX–2020–027] The Exchange believes that the 1. Purpose proposed rule change is consistent with Self-Regulatory Organizations; Cboe the objectives of Section 6 of the Act,6 BZX Exchange, Inc.; Notice of Filing The Exchange proposes to amend the in general, and furthers the objectives of and Immediate Effectiveness of a fee schedule applicable to its equities Section 6(b)(4),7 in particular, as it is Proposed Rule Change Relating To trading platform (‘‘BZX Equities’’) to designed to provide for the equitable Amend the Fee Schedule To Institute a introduce a fee code for orders that allocation of reasonable dues, fees and Fee Code Applicable to the Cboe participate in the Cboe Market Close.3 other charges among its Members and Market Close As proposed, orders executed in the issuers and other persons using its Cboe Market Close would yield fee code facilities. The Exchange also notes that March 26, 2020. ‘‘MC.’’ There would be no transaction it operates in a highly-competitive Pursuant to Section 19(b)(1) of the fees associated with such orders. market in which market participants can Securities Exchange Act of 1934 The Exchange plans to implement the readily direct order flow to competing (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Cboe Market Close on March 6, 2020 as venues if they deem fee levels at a notice is hereby given that on March 19, part of its ongoing efforts to improve particular venue to be excessive or 2020, Cboe BZX Exchange, Inc. (‘‘BZX’’ market structure for the benefit of incentives to be insufficient. The or ‘‘Exchange’’) filed with the Securities 4 proposed rule change reflects a and Exchange Commission investors. The Cboe Market Close is an innovative closing match process for competitive pricing structure designed (‘‘Commission’’) the proposed rule to incentivize market participants to change as described in Items I, II, and non-BZX Listed Securities that is designed to match buy and sell Market- direct their MOC orders to the Cboe III below, which Items have been Market Close, which the Exchange prepared by the Exchange. The On-Close (‘‘MOC’’) orders at the official closing price for such security believes would facilitate the execution Commission is publishing this notice to of those orders at the official closing published by the primary listing market. solicit comments on the proposed rule price. change from interested persons. The Exchange is introducing the Cboe In particular, the Exchange believes Market Close in response to requests I. Self-Regulatory Organization’s the proposal is reasonable because it from market participants, particularly provides Members a free alternative for Statement of the Terms of Substance of buy-side firms, for an alternative to the the Proposed Rule Change executing MOC orders at the official primary listing exchanges’ closing closing price. Currently, market Cboe BZX Exchange, Inc. (‘‘BZX’’ or auctions that still provides an execution participants may execute MOC orders the ‘‘Exchange’’) is filing with the at a security’s official closing price. on public exchanges at the official Securities and Exchange Commission Cboe Market Close is designed in closing price only by participating in (the ‘‘Commission’’) a proposed rule response to industry persistence and the primary listing market’s closing change to amend the fee schedule to interest in an alternative to the listing auction. As noted in the Approval institute a fee code applicable to the market’s closing auction. Order, BZX stated that the fees for Cboe Cboe Market Close. The text of the As noted in the Approval Order, BZX Market Close would be set and proposed rule change is provided in stated that the fees for Cboe Market maintained over time at a rate less than Exhibit 5. Close would be set and maintained over the fee charged by the applicable listing The text of the proposed rule change time at a rate less than the fee charged exchange for its own respective closing is also available on the Exchange’s by the applicable listing exchange for its mechanism. Accordingly, the proposal website (http://markets.cboe.com/us/ own respective closing mechanism. would allow all Members to participate equities/regulation/rule_filings/bzx/), at Accordingly, in conjunction with the in the Cboe Market Close without the Exchange’s Office of the Secretary, upcoming implementation of the Cboe charge, and therefore at a price that is and at the Commission’s Public Market Close, the Exchange proposes to less than the applicable closing auction Reference Room. introduce a new fee code for orders that fees that would be incurred on the II. Self-Regulatory Organization’s are executed in the Cboe Market Close, primary listing exchanges.8 The Statement of the Purpose of, and which would yield fee code ‘‘MC.’’ As Exchange also believes the proposal is Statutory Basis for, the Proposed Rule proposed, there would be no fee to reasonable because fostering price Change participate in the Cboe Market Close, 5 For example, Nasdaq offers tiered fees for both In its filing with the Commission, the thereby providing cost effective MOC and Limit-on-Close (‘‘LOC’’) order executions Exchange included statements executions at the official closing price in its closing auction process ranging from $0.0008 concerning the purpose of and basis for on a public exchange, and facilitating to $0.0016 per executed share. See Nasdaq Crossing the execution of those orders at a lower Network, Execution Fees for the Nasdaq Closing the proposed rule change and discussed Cross, Tiers A through G of the Nasdaq Price List. any comments it received on the rate than such orders would be charged NYSE offers tiered fees for MOC order executions proposed rule change. The text of these in its closing auction process ranging from $0.0004 statements may be examined at the 3 The Exchange initially filed the proposed fee to $0.0010. See Executions at the Close Equity Per Share Charge—per transaction (both sides)—of the places specified in Item IV below. The changes on March 5, 2020 (SR–CboeBZX–2020– 022). On March 13, 2020, the Exchange withdrew NYSE Price List. Exchange has prepared summaries, set that filing and re-filed (SR–CboeBZX–2020–024). 6 15 U.S.C. 78f. forth in sections A, B, and C below, of On March 19, 2020, the Exchange withdrew that 7 15 U.S.C. 78f(b)(4). the most significant aspects of such filing and submitted this filing. 8 For example, Nasdaq offers tiered fees for statements. 4 The Commission approved the Cboe Market executions in its closing auction process ranging Close on January 21, 2020. See Securities Exchange from $0.0008 to $0.0016 per executed share. See Act Release No. 88008 (January 21, 2020) 85 FR Tiers A through G of the Nasdaq fee schedule 1 15 U.S.C. 78s(b)(1). 4726 (January 27, 2020) (the ‘‘Approval Order’’) http://nasdaqtrader.com/ 2 17 CFR 240.19b–4. (SR–BatsBZX–2017–34). Trader.aspx?id=PriceListTrading2.

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competition for the execution of MOC closing price, and may facilitate the Commission highlighted the importance orders may facilitate the ability for ability for smaller and mid-size brokers of market forces in determining prices smaller and mid-size brokers to better to better compete for investors’ MOC and SRO revenues and, also, recognized compete for investors’ MOC order flow. order flow. In turn, greater choice that current regulation of the market In turn, greater choice among, and among, and participation by, broker- system ‘‘has been remarkably successful participation by, broker-dealers in dealers in handling MOC orders should in promoting market competition in its handling MOC orders should inure to inure to the benefit of end investors. broader forms that are most important to the benefit of end investors. Further, the Next, the Exchange believes the investors and listed companies.’’ 12 The Exchange believes the proposal may proposed rule change does not impose fact that this market is competitive has increase execution quality competition any burden on intermarket competition also long been recognized by the courts. for MOC orders by incentivizing other that is not necessary or appropriate in In NetCoalition v. Securities and venues, including the primary listing furtherance of the purposes of the Act. Exchange Commission, the D.C. Circuit exchanges, to continue to innovate and The purpose of Cboe Market Close is to stated as follows: ‘‘[n]o one disputes compete to attract MOC orders to their increase competition for the execution that competition for order flow is venues. of MOC orders. Specifically, the ‘fierce.’ . . . As the SEC explained, ‘[i]n Additionally, the Exchange believes Exchange believes the proposal may the U.S. national market system, buyers the proposal is equitable and not increase competition for MOC orders by and sellers of securities, and the broker- unfairly discriminatory because it incentivizing other venues, including dealers that act as their order-routing would apply equally to all Members the primary listing exchanges, to agents, have a wide range of choices of who choose to participate in the Cboe continue to innovate and compete to where to route orders for execution’; Market Close. The proposed fee change attract MOC orders to their venues.9 is designed to allow broad participation [and] ‘no exchange can afford to take its Further, as previously discussed, the market share percentages for granted’ in the Cboe Market Close, and there Exchange operates in a highly would be no differentiation in fees because ‘no exchange possesses a competitive market. Members have monopoly, regulatory or otherwise, in charged to Members. Rather, the numerous alternative venues that they Exchange’s proposal would allow all the execution of order flow from broker may participate on and direct their MOC dealers’. . . .’’.13 Accordingly, the Members to participate in the Cboe order flow, including primary listing Market Close without charge. In turn, Exchange does not believe the proposal markets and off-exchange venues and imposes any burden on competition that this would allow any interested Member 10 alternative trading systems. is not necessary or appropriate in to participate in the Cboe Market Close Lastly, the proposal is offered in furtherance of the purposes of the Act. on an equal and non-discriminatory conjunction with the launch of the Cboe basis. Market Close which is designed to C. Self-Regulatory Organization’s Lastly, while the Exchange’s proposal enhance competition for the execution Statement on Comments on the offers participation in the Cboe Market of MOC orders at the official closing Proposed Rule Change Received From Close at no cost to Members, the price. Market participants may only Members, Participants, or Others Exchange will continue to surveil for execute at the official closing price on potentially manipulative activities and a public exchange is through the The Exchange neither solicited nor will enhance its surveillance procedures primary listing market auction. received comments on the proposed and work with other SROs to detect and Generally, more than 70% of execution rule change. prevent manipulative activity through volume at the official closing price the use of Cboe Market Close. III. Date of Effectiveness of the occurs on the primary listing exchange. Proposed Rule Change and Timing for B. Self-Regulatory Organization’s Therefore, the proposal is designed to Commission Action Statement on Burden on Competition enhance competition among exchanges The Exchange does not believe that by offering market participants an The foregoing rule change has become the proposed rule change will impose alternative option to execute MOC effective pursuant to Section 19(b)(3)(A) any burden on intramarket or orders at the official closing price. of the Act 14 and paragraph (f) of Rule intermarket competition that is not Furthermore, market participants can 19b–4 15 thereunder. At any time within necessary or appropriate in furtherance readily choose to send their MOC orders 60 days of the filing of the proposed rule of the purposes of the Act. Rather, as to primary listing markets and off- change, the Commission summarily may discussed above, the Exchange believes exchange venues if they deem fee levels temporarily suspend such rule change if that the proposed change would at those other venues to be more it appears to the Commission that such encourage the submission of MOC favorable. For example, recent studies action is necessary or appropriate in the orders to a public exchange for have shown that Trade Reporting public interest, for the protection of execution at the official closing price. Facility (‘‘TRF’’) volumes using the investors, or otherwise in furtherance of The Exchange believes the proposed primary closing auction price have the purposes of the Act. If the rule change does not impose any burden reached as high as 30% on some Commission takes such action, the 11 on intramarket competition that is not occasions. Commission will institute proceedings necessary or appropriate in furtherance The Commission has repeatedly to determine whether the proposed rule of the purposes of the Act. Particularly, expressed its preference for competition change should be approved or the proposed change allows all over regulatory intervention in disapproved. Members to participate in the Cboe determining prices, products, and services in the securities markets. Market Close without charge. The 12 See Securities Exchange Act Release No. 51808 proposal is designed to encourage Specifically, in Regulation NMS, the (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005). Members to participate in the Cboe 13 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. 9 Market Close, which the Exchange Supra note 3. Cir. 2010) (quoting Securities Exchange Act Release 10 Id. No. 59039 (December 2, 2008), 73 FR 74770, 74782– believes will benefit all Members by 11 See BZX Statement in Support of the Division’s 83 (December 9, 2008) (SR–NYSEArca–2006–21)). fostering price competition for the Order Approving a Rule to Introduce Cboe Market 14 15 U.S.C. 78s(b)(3)(A). execution of MOC orders at the official Close, at 16 (April 12, 2018). 15 17 CFR 240.19b–4(f).

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IV. Solicitation of Comments For the Commission, by the Division of Exchange.6 This order institutes Trading and Markets, pursuant to delegated proceedings under Section 19(b)(2)(B) of 16 Interested persons are invited to authority. the Exchange Act 7 to determine submit written data, views, and J. Matthew DeLesDernier, whether to approve or disapprove the arguments concerning the foregoing, Assistant Secretary. proposed rule change, as modified by including whether the proposed rule [FR Doc. 2020–06740 Filed 3–31–20; 8:45 am] Amendment No. 1. change is consistent with the Act. BILLING CODE 8011–01–P Comments may be submitted by any of II. Description of the Proposal the following methods: SECURITIES AND EXCHANGE Section 102.01B, Footnote (E) of the Electronic Comments COMMISSION Manual states that the Exchange generally expects to list companies in • Use the Commission’s internet [Release No. 34–88485; File No. SR–NYSE– connection with a firm commitment comment form (http://www.sec.gov/ 2019–67] underwritten initial public offering rules/sro.shtml); or (‘‘IPO’’), upon transfer from another Self-Regulatory Organizations; New • Send an email to rule-comments@ York Stock Exchange LLC; Order market, or pursuant to a spin-off, but sec.gov. Please include File Number SR– also allows for the possibility of using Instituting Proceedings To Determine 8 CboeBZX–2020–027 on the subject line. Whether To Approve or Disapprove a a direct listing, as described below. Proposed Rule Change, as Modified by Currently, Footnote (E) states that the Paper Comments Amendment No. 1, To Amend Chapter Exchange recognizes that companies • One of the Listed Company Manual To that have not previously had their Send paper comments in triplicate common equity securities registered to Secretary, Securities and Exchange Modify the Provisions Related to Direct Listings under the Exchange Act, but which have Commission, 100 F Street NE, sold common equity securities in a Washington, DC 20549–1090. March 26, 2020. private placement, may wish to list their All submissions should refer to File I. Introduction common equity securities on the Number SR–CboeBZX–2020–027. This Exchange at the time of effectiveness of On December 11, 2019, New York a registration statement 9 filed solely for file number should be included on the Stock Exchange LLC (‘‘NYSE’’ or the subject line if email is used. To help the the purpose of allowing existing ‘‘Exchange’’) filed with the Securities 10 Commission process and review your shareholders to sell their shares. The and Exchange Commission Exchange has proposed to define this comments more efficiently, please use (‘‘Commission’’), pursuant to Section only one method. The Commission will type of direct listing already 19(b)(1) of the Securities Exchange Act contemplated by the Exchange’s rules as post all comments on the Commission’s of 1934 (‘‘Exchange Act’’) 1 and Rule 2 a ‘‘Selling Shareholder Direct Floor internet website (http://www.sec.gov/ 19b–4 thereunder, a proposed rule 11 rules/sro.shtml). Copies of the Listing.’’ In addition, the Exchange change to amend Chapter One of the has proposed to recognize an additional submission, all subsequent Listed Company Manual (‘‘Manual’’) to type of direct listing in which a amendments, all written statements modify the provisions related to direct company would sell shares itself in the with respect to the proposed rule listings. On December 13, 2019, the opening auction on the first day of change that are filed with the Exchange filed Amendment No. 1 to the trading on the Exchange in addition to, Commission, and all written proposed rule change, which amended or instead of, facilitating sales by selling communications relating to the and replaced the proposed rule change shareholders (a ‘‘Primary Direct Floor proposed rule change between the in its entirety. The proposed rule change, as modified by Amendment No. Commission and any person, other than 6 Comments received on the Notice are available those that may be withheld from the 1, was published for comment in the on the Commission’s website at: https:// public in accordance with the Federal Register on December 30, www.sec.gov/comments/sr-nyse-2019-67/ 3 provisions of 5 U.S.C. 552, will be 2019. On February 13, 2020, pursuant srnyse201967.htm. to Section 19(b(2) of the Exchange Act,4 7 15 U.S.C. 78s(b)(2)(B). available for website viewing and 8 See Section 102.01B, Footnote (E) of the printing in the Commission’s Public the Commission designated a longer period within which to either approve Manual. Reference Room, 100 F Street NE, 9 The reference to a registration statement refers the proposed rule change, disapprove Washington, DC 20549, on official to a registration statement effective under the the proposed rule change, or institute Securities Act of 1933 (‘‘Securities Act’’). business days between the hours of proceedings to determine whether to 10 See Section 102.01B, Footnote (E) of the 10:00 a.m. and 3:00 p.m. Copies of the disapprove the proposed rule change.5 Manual. See also Securities Exchange Act Release filing also will be available for The Commission has received twelve No. 82627 (February 2, 2018), 3 FR 5650 (February inspection and copying at the principal 8, 2018) (SR–NYSE–2017–30) (approving proposed comment letters on the proposed rule rule change to amend Section 102.01B of the office of the Exchange. All comments change, including a response from the Manual to modify the provisions relating to the received will be posted without change. qualifications of companies listing without a prior Exchange Act registration in connection with an Persons submitting comments are 16 17 CFR 200.30–3(a)(12). underwritten IPO and amend the Exchange’s rules 1 cautioned that we do not redact or edit 15 U.S.C. 78s(b)(1). to address the opening procedures on the first day personal identifying information from 2 17 CFR 240.19b–4. of trading for such securities). comment submissions. You should 3 See Securities Exchange Act Release No. 87821 11 See proposed Section 102.01B, Footnote (E) of (December 20, 2019), 84 FR 72065 (December 30, submit only information that you wish the Manual. Under the proposal, the Exchange 2019) (‘‘Notice’’). would remove a description of this type of direct to make available publicly. All 4 15 U.S.C. 78s(b)(2). listing as involving a company ‘‘whose stock is not submissions should refer to File 5 See Securities Exchange Act Release No. 88190 previously registered under the Exchange Act, Number SR–CboeBZX–2020–027, and (February 13, 2020), 85 FR 9891 (February 20, where such company is listing without a related 2020). The Commission designated March 29, 2020, underwritten offering upon effectiveness of a should be submitted on or before April as the date by which it should approve, disapprove, registration statement registered only the resale of 22, 2020. or institute proceedings to determine whether to shares sold by the company in earlier private disapprove the proposed rule change. placements.’’ See id.

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Listing’’).12 Under the proposal, the day of trading on the Exchange.17 Listing in which it demonstrates at the Exchange would, on a case by case Alternatively, where a company is time of initial listing (in the manner set basis, exercise discretion to list conducting a Primary Direct Floor forth in Section 102.01B, Footnote (E) of companies that are listing in connection Listing and sells shares in the opening the Manual) that it has at least $350 with a Selling Shareholder Direct Floor auction with a market value of less than million in aggregate market value of Listing or a Primary Direct Floor $100 million, the Exchange will publicly held shares.21 13 Listing. determine that such company has met Under the proposal, any such With respect to a Selling Shareholder its market value of publicly-held shares company that fails to demonstrate its Direct Floor Listing, the Exchange has requirement if the company provides a compliance with the applicable proposed to retain the existing Valuation evidencing a market value of requirements of Section 102.01A within standards regarding how the Exchange publicly-held shares of at least $250 the Distribution Standard Compliance will determine whether a company has million.18 According to the Exchange, Period will be deemed to be below met its market value of publicly-held these requirements would provide that compliance with listing requirements.22 shares listing requirement. The any company conducting a Primary Any such company will have the right Exchange will continue to determine Direct Floor Listing would be of a to submit a plan pursuant to the that such company has met the $100 suitable size for Exchange listing and provisions of Sections 802.02 or 802.03 million aggregate market value of that there would be sufficient liquidity publicly-held shares requirement based for the security to be suitable for auction of the Manual, as applicable, on a combination of both (i) an market trading.19 demonstrating its ability to gain independent third-party valuation In addition, the Exchange has compliance with the applicable (‘‘Valuation’’) of the company; and (ii) proposed to amend Section 102.01A of requirements of Section 102.01A of the the most recent trading price for the the Manual to provide certain Manual within a period not to exceed company’s common stock in a trading exceptions to the requirement that a six months from the end of the company listing in connection with a Distribution Standard Compliance system for unregistered securities 23 operated by a national securities Primary Direct Floor Listing or a Selling Period. exchange or a registered broker-dealer Shareholder Direct Floor Listing comply According to the Exchange, private (‘‘Private Placement Market’’).14 The with the applicable initial listing companies generally do not have as Exchange will attribute a market value distribution requirements, which many as 400 round lot holders, but that of publicly-held shares to the company require at least 400 round lot holders this typically is not a barrier to listing equal to the lesser of: (i) The value and 1.1 million publicly-held shares, at for a company undertaking an IPO calculable based on the Valuation; and the time of initial listing.20 In each of because the underwriters are able to (ii) the value calculable based on the the following cases, the Exchange has ensure that the shares sold in the IPO most recent trading price in a Private proposed to grant the company a grace are distributed to sufficient accounts to Placement Market.15 Alternatively, in period of up to 90 trading days from the meet the Exchange’s distribution the absence of any recent trading in a date of initial listing (‘‘Distribution standards.24 However, the Exchange Private Placement Market, the Exchange Standard Compliance Period’’) to asserts that, in the absence of an will determine that such company has comply with the applicable initial underwritten transaction at the time of met its market value of publicly-held listing distribution requirements: (i) A listing, the initial listing distribution shares requirement if the company company listing in connection with a standards may represent more of a provides a Valuation evidencing a Primary Direct Floor Listing in which it challenge for a private company market value of publicly-held shares of sells at least $250 million in market contemplating listing in connection at least $250 million.16 value of shares in the Exchange’s with a Selling Shareholder Direct Floor With respect to a Primary Direct Floor opening auction on the first day of Listing or a Primary Direct Floor Listing, the Exchange has proposed that trading on the Exchange; (ii) a company Listing.25 The Exchange believes that a it will deem a company to have met the listing in connection with a Primary Primary Direct Floor Listing in which applicable aggregate market value of Direct Floor Listing in which the the company sells at least $250 million publicly-held shares requirement if the aggregate amount of the market value of of its stock in the opening auction on company sells at least $100 million in shares sold by the company in the the day of listing would provide an market value of the shares in the opening auction and the market value of appropriately liquid trading market and Exchange’s opening auction on the first publicly-held shares demonstrated by make it highly likely that the company the company immediately prior to the would meet the initial listing 12 See proposed Section 102.01B, Footnote (E) of time of initial listing (in the manner set distribution standards quickly after the Manual. forth in Section 102.01B, Footnote (E) of initial listing.26 The Exchange notes that 13 See proposed Section 102.01B, Footnote (E) of the Manual) is at least $350 million; and the market value of publicly-held shares the Manual. (iii) a company listing in connection requirement for initial listings other 14 See proposed Section 102.01B, Footnote (E) of with a Selling Shareholder Direct Floor the Manual. For specific requirements regarding the than direct listings and IPOs is $100 Valuation and the independence of the valuation million, and that the proposed $350 agent conducting such Valuation, see Section 17 See proposed Section 102.01B, Footnote (E) of million requirement to use the 102.01B, Footnote (E) of the Manual. Section the Manual. 102.01B, Footnote (E) of the Manual also sets forth 18 See proposed Section 102.01B, Footnote (E) of Distribution Compliance Period is far specific factors for relying on a Private Placement the Manual. higher than what a newly-listed Market price. Generally, the Exchange will only rely 19 See Notice, supra note 3, 84 FR at 72067. company would have to demonstrate on a Private Placement Market price if it is 20 See proposed Section 102.01A of the Manual. consistent with a sustained history over a several Section 102.01A requires a company to have 400 21 See proposed Section 102.01A of the Manual. month period prior to listing evidencing a market holders of 100 shares or more (or of a unit of trading 22 See proposed Section 102.01A of the Manual; value in excess of the Exchange’s market value if less than 100 shares) and 1,100,000 publicly-held Notice, supra note 3, 84 FR at 72066. requirement. shares. Shares held by directors, officers, or their 23 15 See Section 102.01B, Footnote (E) of the immediate families and other concentrated holdings See proposed Section 102.01A of the Manual. Manual. of 10 percent or more are excluded in calculating 24 See Notice, supra note 3, 84 FR at 72066. 16 See Section 102.01B, Footnote (E) of the the number of publicly-held shares. See Section 25 See Notice, supra note 3, 84 FR at 72066. Manual. 102.01A of the Manual. 26 See Notice, supra note 3, 84 FR at 72066.

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under other circumstances.27 The publicly-held shares and distribution Another commenter noted that it had Exchange believes that this heightened requirements associated with direct generally supported permitting direct standard significantly increases the listings in order to ensure the listings, based on a belief that a direct likelihood that a liquid trading market development of a liquid trading listing should be a choice for companies will develop after a Selling Shareholder market.33 Finally, one commenter considering a public listing that could Direct Floor Listing or Primary Direct expressed general support for the be more cost-effective than an IPO while Floor Listing, and therefore makes it proposal, but offered a variety of still providing necessary investor likely that these companies will meet observations and concerns, including protections.39 However, this commenter the initial distribution standards within that the historical approach to IPO expressed concern that shareholder the Distribution Standard Compliance pricing is not sufficiently transparent, legal rights under Section 11 of the Period.28 creates the opportunity for dramatic Securities Act may be particularly III. Summary of Comment Letters price swings, and is not fair to all vulnerable in the case of direct listings, 34 Received qualified investors. In its view, all and that investors in direct listing investors should have the opportunity companies may have fewer legal The Commission has received twelve to participate in a seamless process that protections than investors in IPOs.40 comment letters on the proposed rule also provides transparency.35 The commenter stated that it could not change, including two letters from one Other commenters opposed the support direct listings as an alternative commenter and a letter responding to proposal. One commenter expressed the to IPOs if public companies could limit 29 the comments from the Exchange. view that allowing companies to raise their liability for damages caused by Four commenters generally supported 30 primary capital through a direct listing untrue statements of fact or material the proposal. One commenter stated ‘‘would be a complete end run around omissions of fact within registration that it supports alternative formats for the traditional underwriting process and statements associated with direct IPOs, including direct listing proposals . . . create a massive loophole in the listings.41 Finally, this commenter like the one proposed by the Exchange, regulatory regime that governs the specifically opposed the Distribution and expressed the view that issuers offerings of securities to the public.’’ 36 Standard Compliance Period proposed should be offered choices that match This commenter believed that approval by the Exchange. The commenter noted their objectives so long as they protect of the proposal would likely increase that the Exchange had provided no data the integrity of the markets and are fair the number of companies that forego the to support its argument that issuers with and clear to investors, using transparent traditional IPO process, and at least $350 million in public float processes.31 Another commenter significantly increase the risks for retail would quickly develop a liquid trading believed that allowing for multiple investors, including by circumventing market and comply with the initial pathways for private companies to 37 achieve exchange listing would the due diligence process. The listing distribution requirements within encourage more companies to commenter expressed concern that the 90-day grace period and stated that, direct listings could weaken certain without evidence, the $350 million participate in public equity markets and 42 provide investors a broader array of shareholder investor protections, and threshold ‘‘appears arbitrary.’’ attractive investment opportunities.32 A recommended that the Commission The Exchange responded to several of third commenter stated that it strongly make clear that financial advisors, the concerns raised by commenters. The supports proposals designed to facilitate exchanges, control shareholders, and Exchange disagrees that the absence of directors involved in a direct listing companies accessing the public equity 39 markets, and expressed the view that automatically incur statutory See Letter from Jeffrey P. Mahoney, General underwriter liability under the Counsel, Council of Institutional Investors (January the proposal appropriately updated the 16, 2020) (‘‘CII Letter’’), at 1–2. Securities Act and be required to hold 40 See CII Letter, supra note 39, at 2. 27 See Notice, supra note 3, 84 FR at 72066. the regulatory capital necessary to act as 41 See CII Letter, supra note 39, at 2–3. This 38 28 See Notice, supra note 3, 84 FR at 72066. a de facto underwriter. commenter was particularly concerned about 29 See supra note 6. positions taken by the issuer in a recent lawsuit 30 relating to the direct listing of Slack, and expressed See Letter from Stephen John Berger, Managing 33 See Citadel Letter, supra note 30, at 1. This the view that the issuer ‘‘relies on (1) attacking the Director, Global Head of Government & Regulatory commenter also referenced its role as the NYSE right of secondary market purchasers to bring a Policy, Citadel Securities (February 18, 2020) Designated Market Maker for both Spotify Section 11 claim; and (2) the inability to determine (‘‘Citadel Letter’’), at 1; Letter from Paul Technology S.A. and Slack Technologies, Inc., and what shares were ‘covered’ by Slack’s registration Abrahimzadeh and Russell Chong, Co-Heads, U.S. stated that its experience has demonstrated that a statement.’’ Id. at 2. Among other things, the Equity Capital Markets, Citigroup Global Markets direct listing can be an attractive alternative to the commenter urged the Commission to explore Inc. (February 26, 2020) (‘‘Citigroup Letter’’); Letter traditional IPO process. See id. from Matthew B. Venturi, Founder & CEO, establishing a system of traceable shares before 34 See ClearingBid Letter, supra note 30, at 1. ClearingBid, Inc. (January 21, 2020) (‘‘ClearingBid approving a direct listing regime. See id. at 2–3. 35 Letter’’), at 5; Letter from David Ludwig, Head of See ClearingBid Letter, supra note 30, at 5. This 42 See CII Letter, supra note 39, at 4. Several Americas Equity Capital Markets, Goldman Sachs commenter also believed that, coupled with greater additional commenters raised a variety of concerns Group, Inc. (February 7, 2020) (‘‘Goldman Sachs transparency for a truer indication of market with the proposal. For example, one commenter Letter’’). demand via real-time price discovery, fair and equal expressed the view that ‘‘bailing out’’ private market access can be provided to all investors, not 31 See Citigroup Letter, supra note 30. This market investors with reduced offering commenter also believed that the direct listing just the largest institutions. See id. requirements would incent companies to remain 36 format would afford broad participation in the Letter from Christopher A. Iacovella, Chief private longer, reduce transparency, and impair capital formation process and help establish a Executive Officer, ASA (December 12, 2019) (‘‘ASA price discovery. See Letter from Anonymous shareholder base that has a long-term interest in Letter I’’), at 1. (December 4, 2019). Another commenter took the partnering with management teams. See id. 37 See ASA Letter I, supra note 36, at 2. In this position that direct listings are a method for 32 See Goldman Sachs Letter, supra note 30. This commenter’s view, two recent high-profile direct insiders to ‘‘rip-off’’ IPO investors. See Letter from commenter also referenced the recent direct listings listings—Spotify and Slack—did not work out Allan Rosenbalm (December 4, 2019). Yet another by Spotify Technology S.A. and Slack particularly well for retail investors, and a robust commenter was critical of direct listings for a Technologies, Inc., and expressed the view that the underwriting process would have uncovered more variety of reasons, and expressed the view, among development of a direct listing approach to of these companies’ vulnerabilities before these other things, that they are ‘‘an attempt to bypass the becoming a public company has been a significant securities were offered to the public. See id. independent skilled investment banking and step forward in providing companies greater choice 38 See ASA Letter I, supra note 36, at 2; Letter investment management professionals when in their path to going public, and that the ability from Christopher A. Iacovella, Chief Executive establishing the initial market value of the to include a primary capital raise in a direct listing Officer, American Securities Association (March 5, company.’’ See Letter from Anonymous (January 3, will further enhance this flexibility. See id. 2020) (‘‘ASA Letter II’’), at 2–3. 2020).

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underwriters creates a loophole in the disapproval under consideration. The significantly increase the likelihood that regulatory regime that governs offerings Commission is instituting proceedings a liquid trading market will develop of securities to the public.43 According to allow for additional analysis and after the listing, which the Exchange to the Exchange, while underwriter input concerning the proposed rule believes makes it likely that these involvement is often necessary to the change’s consistency with the Exchange companies will meet the initial success of an IPO or other public Act 48 and, in particular, with Section distribution standards within the 90- offering, underwriter participation in 6(b)(5) of the Exchange Act, which trading day period. The Exchange, the public capital-raising process is not requires, among other things, that the however, does not offer any further required by the Securities Act, and rules of a national securities exchange explanation as to why a higher market companies that do not require the be designed to prevent fraudulent and value of shares would lead to a services of an underwriter are not manipulative acts and practices, to potentially substantial increase in the required to purchase them.44 In the promote just and equitable principles of number of shareholders in a relatively Exchange’s view, the due diligence trade, to remove impediments to and short time frame. In addition, the process in primary direct listings is the perfect the mechanism of a free and Exchange does not provide any data or responsibility of the gatekeepers who open market and a national market other evidence to support its belief that participate in the transaction, such as system, and, in general, to protect companies with the specified market the company’s board of directors, its investors and the public interest; and values are likely to have at least 400 senior management, and its are not designed to permit unfair round lot holders within 90 trading days independent accountants.45 The discrimination between customers, of listing, regardless of the number of Exchange further stated that a company issuers, brokers, or dealers.49 holders upon listing or other pursuing a Primary Direct Floor Listing The Commission has consistently characteristics of the company. Further, would go through the same process of recognized the importance of exchange the Exchange effectively is proposing publicly filing a registration statement listing standards. Among other things, not to enforce any minimum number of as an underwritten offering, and if a such listing standards help ensure that holders requirements for such company’s business model exhibits exchange-listed companies will have companies for 90 trading days, and has weaknesses, they will be exposed to the sufficient public float, investor base, not explained why potentially listing an public prior to listing.46 and trading interest to provide the depth issuer with a very small number of IV. Proceedings To Determine Whether and liquidity necessary to promote fair holders, and allowing it to trade for To Approve or Disapprove SR–NYSE– and orderly markets.50 many months, would not risk 2019–67 and Grounds for Disapproval The Exchange is proposing to provide undermining fair and orderly markets or Under Consideration new exceptions to its initial listing the protection of investors, or otherwise standards for companies listing in would be consistent with Section 6(b)(5) The Commission is instituting connection with a Primary Direct Floor and other relevant provisions of the proceedings pursuant to Section Listing or a Selling Shareholder Direct Exchange Act. Finally, by first listing 19(b)(2)(B) of the Exchange Act to Floor Listing. Specifically, such companies and only later enforcing determine whether the proposal should companies would be granted a grace compliance with the specified be approved or disapproved.47 period of up to 90 trading days to distribution standards, the Exchange Institution of such proceedings is comply with the requirements to have at would appear to be increasing the risk appropriate at this time in view of the least 400 round lot holders and 1.1 of delisting companies relatively soon legal and policy issues raised by the million publicly-held shares (i.e., the proposed rule change, as discussed after their listing, and the Exchange has Distribution Standard Compliance not offered any assessment of this risk below. Institution of disapproval Period), so long as they meet one of proceedings does not indicate that the or the impact such delistings may have three $250 million or $350 million on investors in those securities or on Commission has reached any market value of shares tests. In support conclusions with respect to any of the fair and orderly markets. of its proposal, the Exchange simply issues involved. The Exchange also has proposed that, expresses the belief that these Pursuant to Section 19(b)(2)(B) of the with respect to a Primary Direct Floor Exchange Act, the Commission is heightened market value standards Listing, a company will be deemed to have met the applicable $100 million providing notice of the grounds for 48 15 U.S.C. 78f(b)(5). aggregate market value of publicly-held 49 Id. 43 See Letter from Elizabeth K. King, Chief 50 The Commission has stated in approving shares requirement if the company sells Regulatory Officer, ICE, General Counsel & exchange listing requirements that the development at least $100 million in market value of Corporate Secretary, NYSE (March 16, 2020) and enforcement of adequate standards governing (‘‘NYSE Response Letter’’), at 2. shares in the Exchange’s opening the listing of securities on an exchange is an activity 44 auction on the first day of trading. The See NYSE Response Letter, supra note 43, at 2– of critical importance to the financial markets and 3. the investing public. In addition, once a security Exchange has not explained, however, 45 See NYSE Response Letter, supra note 43, at 2– has been approved for initial listing, maintenance how it would be assured that a company 3. The Exchange took the position that IPOs carry criteria allow an exchange to monitor the status and listing under this provision will actually a certain amount of risk for investors, that an trading characteristics of that issue to ensure that sell shares valued at $100 million or underwritten IPO does not insulate investors from it continues to meet the exchange’s standards for that risk, and that there is no reason to believe that market depth and liquidity so that fair and orderly more at the time the company is companies with direct listings will perform any markets can be maintained. See, e.g., Securities approved for listing, which necessarily better or worse than companies with underwritten Exchange Act Release Nos. 81856 (October 11, will be in advance of the Exchange’s IPOs. See id. at 3. 2017), 82 FR 48296, 48298 (October 17, 2017) (SR– opening auction. If the company is 46 See NYSE Response Letter, supra note 43, at 4. NYSE–2017–31); 81079 (July 5, 2017), 82 FR 32022, The Exchange also took the position that the 32023 (July 11, 2017) (SR–NYSE–2017–11). The unable to sell shares with the requisite absence of lock-up agreements with pre-IPO Commission notes that, in general, adequate listing valuation in the opening auction, then shareholders in Primary Direct Floor Listings does standards, by promoting fair and orderly markets, it may not in fact have met the initial not create short-term price instability, and at most are consistent with Section 6(b)(5) of the Exchange listing standards prior to listing and it shifts the timing of such instability from six Act, in that they are, among other things, designed months after the offering to closer to the time of to prevent fraudulent and manipulative acts and trading. This immediate compliance listing. See id. practices, promote just and equitable principles of issue, and the potential for delisting, 47 15 U.S.C. 78s(b)(2)(B). trade, and protect investors and the public interest. would appear to raise fair and orderly

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markets, investor protection, and other V. Commission’s Solicitation of amendments, all written statements issues similar to those discussed above Comments with respect to the proposed rule with respect to the Distribution The Commission requests that change that are filed with the Standard Compliance Period. The interested persons provide written Commission, and all written Exchange has not explained how this submissions of their views, data, and communications relating to the would be consistent with Section 6(b)(5) arguments with respect to the issues proposed rule change between the and other relevant provisions of the identified above, as well as any other Commission and any person, other than Exchange Act. concerns they may have with the those that may be withheld from the Finally, the proposal, for the first proposal. In particular, the Commission public in accordance with the provisions of 5 U.S.C. 552, will be time, would permit the Exchange to invites the written view of interested available for website viewing and conduct a Primary Direct Floor Listing, persons concerning whether the printing in the Commission’s Public either alone or in combination with a proposal is consistent with Section Reference Room, 100 F Street NE, Selling Shareholder Direct Floor Listing, 6(b)(5) or any other provision of the Washington, DC 20549, on official where the company being listed would Exchange Act, or the rules and regulations thereunder. Although there business days between the hours of sell shares in the opening auction on the do not appear to be any issues relevant 10:00 a.m. and 3:00 p.m. Copies of such first day of trading. In such a case, the to approval or disapproval that would filing also will be available for company could be the only seller (or a be facilitated by an oral presentation of inspection and copying at the principal dominant seller) participating in the views, data, and arguments, the office of the Exchange. All comments opening auction, and thus could be in Commission will consider, pursuant to received will be posted without change. a position to uniquely influence the Rule 19b–4, any request for an Persons submitting comments are price discovery process. The Exchange, opportunity to make an oral cautioned that we do not redact or edit however, has not explained how its presentation.55 personal identifying information from opening auction rules would apply in a Interested persons are invited to comment submissions. You should Primary Direct Floor Listing, or how the submit written data, views, and submit only information that you wish Exchange would assure that the opening arguments regarding whether the to make available publicly. All auction and subsequent trading promote proposal should be approved or submissions should refer to File fair and orderly markets, prevent disapproved by April 22, 2020. Any Number SR–NYSE–2019–67 and should manipulative acts and practices, protect person who wishes to file a rebuttal to be submitted on or before April 22, investors, and otherwise would be any other person’s submission must file 2020. Rebuttal comments should be consistent with Section 6(b)(5) and that rebuttal by May 6, 2020. submitted by May 6, 2020. other relevant provisions of the Comments may be submitted by any of the following methods: For the Commission, by the Division of Exchange Act. Trading and Markets, pursuant to delegated The Commission notes that, under the Electronic Comments authority.56 Commission’s Rules of Practice, the • Use the Commission’s internet J. Matthew DeLesDernier, ‘‘burden to demonstrate that a proposed comment form (http://www.sec.gov/ Assistant Secretary. rule change is consistent with the rules/sro.shtml); or [FR Doc. 2020–06732 Filed 3–31–20; 8:45 am] Exchange Act and the rules and • Send an email to rule-comments@ BILLING CODE 8011–01–P regulations issued thereunder . . . is on sec.gov. Please include File Number SR– the self-regulatory organization [‘SRO’] NYSE–2019–67 on the subject line. that proposed the rule change.’’ 51 The Paper Comments SECURITIES AND EXCHANGE description of a proposed rule change, COMMISSION its purpose and operation, its effect, and • Send paper comments in triplicate a legal analysis of its consistency with to Secretary, Securities and Exchange Sunshine Act Meetings applicable requirements must all be Commission, 100 F Street NE, sufficiently detailed and specific to Washington, DC 20549–1090. TIME AND DATE: Notice is hereby given, support an affirmative Commission All submissions should refer to File pursuant to the provisions of the finding,52 and any failure of an SRO to Number SR–NYSE–2019–67. This file Government in the Sunshine Act, Public provide this information may result in number should be included on the Law 94–409, that the Securities and the Commission not having a sufficient subject line if email is used. To help the Exchange Commission Investor basis to make an affirmative finding that Commission process and review your Advisory Committee will hold a public a proposed rule change is consistent comments more efficiently, please use meeting on Thursday April 2, 2020, by with the Exchange Act and the only one method. The Commission will remote means and/or at the applicable rules and regulations.53 post all comments on the Commission’s Commission’s headquarters, 100 F St. internet website (http://www.sec.gov/ NE, Washington, DC 20549. For these reasons, the Commission rules/sro.shtml). Copies of the believes it is appropriate to institute submission, all subsequent PLACE: The meeting will begin at 4:00 proceedings pursuant to Section p.m. (ET) and will be open to the public. 19(b)(2)(B) of the Exchange Act 54 to 55 Section 19(b)(2) of the Exchange Act, as The meeting will be conducted by determine whether the proposal should amended by the Securities Act Amendments of remote means and/or at the be approved or disapproved. 1975, Public Law 94–29 (June 4, 1975), grants the Commission’s headquarters, 100 F St. Commission flexibility to determine what type of proceeding—either oral or notice and opportunity NE, Washington, DC 20549. Members of 51 Rule 700(b)(3), Commission Rules of Practice, for written comments—is appropriate for the public may watch the webcast of the 17 CFR 201.700(b)(3). consideration of a particular proposal by a self- meeting on the Commission’s website at regulatory organization. See Securities Act 52 See id. www.sec.gov. Amendments of 1975, Senate Comm. on Banking, 53 See id. Housing & Urban Affairs, S. Rep. No. 75, 94th 54 15 U.S.C. 78s(b)(2)(B). Cong., 1st Sess. 30 (1975). 56 17 CFR 200.30–3(a)(57).

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STATUS: This Sunshine Act notice is II. Self-Regulatory Organization’s may utilize a non-primary market to being issued because a majority of the Statement of the Purpose of, and open all underlying securities from the Commission may attend the meeting. Statutory Basis for, the Proposed Rule primary market. The Exchange will Change select the non-primary market with the MATTERS TO BE CONSIDERED: The agenda In its filing with the Commission, the most liquidity in the aggregate for all for the meeting includes welcome underlying securities that trade on the remarks and a discussion regarding the Exchange included statements concerning the purpose of and basis for primary market for the previous two impact of the COVID–19 Novel calendar months, excluding the primary Coronavirus on investors and its the proposed rule change and discussed any comments it received on the and alternate markets. The Exchange implications (which may include a notes that in order to open an option recommendation of the Committee). proposed rule change. The text of these statements may be examined at the series it would require an equity CONTACT PERSON FOR MORE INFORMATION: places specified in Item IV below. The market’s underlying quote. If another For further information and to ascertain Exchange has prepared summaries, set equity market displays opening prices what, if any, matters have been added, forth in sections A, B, and C below, of for the underlying security, the deleted or postponed; please contact the most significant aspects of such Exchange proposes to utilize those Vanessa A. Countryman from the Office statements. quotes. This proposed change to the of the Secretary at (202) 551–5400. current System would allow the A. Self-Regulatory Organization’s Exchange to open in situations where Dated: March 30, 2020. Statement of the Purpose of, and the primary market is experiencing an Vanessa A. Countryman, Statutory Basis for, the Proposed Rule issue and also where an alternative Secretary. Change market designated by the primary [FR Doc. 2020–06946 Filed 3–30–20; 4:15 pm] 1. Purpose market may not be designated by the BILLING CODE 8011–01–P primary market or is unable to open. The Exchange proposes to amend ISE The Exchange believes that this Rules at Options 3, Section 8, titled proposal would effectively provide the SECURITIES AND EXCHANGE ‘‘Opening.’’ The Exchange proposes to Exchange with additional opportunities COMMISSION rename this rule ‘‘Options Opening to open the market and provide its Process.’’ Specifically, the Exchange is members with a venue in which to proposing to amend the definition of [Release No. 34–88484; File No. SR–ISE– transact options trading. The Exchange 2020–13] ‘‘market for the underlying security.’’ notes that utilizing a non-primary Today Options 3, Section 8(a)(2) market with the most liquidity in the Self-Regulatory Organizations; Nasdaq describes ‘‘market for the underlying aggregate for all underlying securities ISE, LLC; Notice of Filing and security’’ as ‘‘. . . either the primary for the previous two calendar months Immediate Effectiveness of Proposed listing market or the primary volume will ensure that the Exchange opens market (defined as the market with the Rule Change To Amend Options 3, with quotes which are representative of most liquidity in that underlying Section 8, Opening the volume on that primary market. The security for the previous two calendar Exchange believes that this proposal March 26, 2020. months), as determined by the Exchange will enable it to open in the event that by underlying and announced to the Pursuant to Section 19(b)(1) of the there are issues with the primary market membership on the Exchange’s Securities Exchange Act of 1934 or the alternate market assigned by the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 website.’’ The Exchange proposes to amend this primary. notice is hereby given that on March 24, The Exchange also proposes to make definition by replacing the term 2020, Nasdaq ISE, LLC (‘‘ISE’’ or a corresponding amendment to Options ‘‘primary volume market’’ with ‘‘an ‘‘Exchange’’) filed with the Securities 3, Section 8(c)(2) to replace the alternative market designated by the and Exchange Commission reference to ‘‘primary market’’ with the primary market.’’ The Exchange (‘‘Commission’’) the proposed rule defined term ‘‘market for the underlying anticipates that an alternative market change as described in Items I and II security.’’ would be necessary if the primary below, which Items have been prepared listing market were impaired.3 In the 2. Statutory Basis by the Exchange. The Commission is event that a primary market is impaired publishing this notice to solicit The Exchange believes that its and utilizes its designated alternative comments on the proposed rule change proposal is consistent with Section 6(b) market, the Exchange would utilize that 5 from interested persons. of the Act, in general, and furthers the market as the underlying.4 The objectives of Section 6(b)(5) of the Act,6 I. Self-Regulatory Organization’s Exchange further proposes an additional in particular, in that it is designed to Statement of the Terms of Substance of contingency. In the event that the promote just and equitable principles of the Proposed Rule Change primary market is unable to open, and trade and to protect investors and the an alternative market is not designated The Exchange proposes to amend ISE public interest by providing for (and/or the designated alternative alternative processes to determine the Rules at Options 3, Section 8, titled market does not open), the Exchange ‘‘Opening.’’ market for the underlying. The Exchange’s proposal to amend the The text of the proposed rule change 3 The Exchange notes that the primary listing definition of ‘‘market for the underlying is available on the Exchange’s website at market and the primary volume market as defined in ISE’s Rules could be the same market and security’’ within Options 3, Section http://ise.cchwallstreet.com/, at the therefore an alternative market is not available 8(a)(2) is consistent with the Act. principal office of the Exchange, and at under the current Rule. First, the Exchange’s proposal would the Commission’s Public Reference 4 For example, in the event that the New York remove the concept of a primary volume Room. Stock Exchange LLC was unable to open because of market and replace that concept with an an issue with its market and it designated NYSE Arca, Inc. (‘‘NYSE Arca’’) as its alternative market, 1 15 U.S.C. 78s(b)(1). then PHLX [sic] would utilize NYSE Arca as the 5 15 U.S.C. 78f(b). 2 17 CFR 240.19b–4. market for the underlying. 6 15 U.S.C. 78f(b)(5).

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alternative market designated by the additional venues for ISE to utilize as 19(b)(3)(A) of the Act 7 and Rule 19b– primary market. The Exchange notes part of its Opening Process and thereby 4(f)(6) thereunder.8 that it is most likely the case that the allow investors to transact on its market. A proposed rule change filed primary market is the primary volume The Exchange desires to open its market pursuant to Rule 19b–4(f)(6) under the market, so this term offers no despite any issues that may arise with Act 9 normally does not become contingency in most cases. The primary the underlying market. The Exchange is operative for 30 days after the date of its market has the ability to designate an proposing alternate methods to open its filing. However, Rule 19b–4(f)(6)(iii) 10 alternate primary market when the market to account for situations which permits the Commission to designate a primary market is experiencing may arise if the primary market is shorter time if such action is consistent difficulties. In those situations, the unable to open, and if the proposed with the protection of investors and the Exchange proposes to utilize the alternate designated market is unable to public interest. The Exchange has asked alternate primary market to open its open. The Exchange notes that once the the Commission to waive the 30-day market. For example, in the event that operative delay so that the Exchange market opens with an underlying price, the New York Stock Exchange LLC was may amend its rules to permit the the options market may continue to unable to open because of an issue with Exchange to utilize additional venues to its market and it designated NYSE Arca trade for the remainder of the trading open its market if the primary market as its alternative market, then ISE would day. The Exchange believes it benefits and any designated alternate market for utilize NYSE Arca as the market for the investors and the general public to have the underlying security are experiencing underlying security. the options market available to enter an issue and unable to open, thereby Second, the Exchange proposes new positions, or close open positions. allowing investors to transact on its another alternative in the event that the market in such a situation. The primary market does not open and an B. Self-Regulatory Organization’s Statement on Burden on Competition Exchange believes that having its alternate primary market is not options market available to enter new designated and/or is also unable to The Exchange does not believe that positions or close open positions would open. In this situation, the Exchange the proposed rule change will impose benefit investors and the general public. proposes to utilize a non-primary any burden on competition not For these reasons, the Commission market to open its market. The necessary or appropriate in furtherance believes that waiver of the 30-day Exchange will select the non-primary of the purposes of the Act. Amending operative delay is consistent with the market with the most liquidity in the protection of investors and the public aggregate for all underlying securities the definition of ‘‘market for the underlying security’’ within Options 3, interest. Therefore, the Commission from the primary market for the hereby waives the operative delay and previous two calendar months, Section 8(a)(2) does not burden competition. The Exchange’s proposal designates the proposal as operative excluding the primary and alternate 11 offers alternative paths to open the upon filing. markets. For example, in the event that At any time within 60 days of the Exchange in the event that the primary the New York Stock Exchange LLC was filing of the proposed rule change, the market or even a designated alternate unable to open because of an issue with Commission summarily may its market and it designated NYSE Arca primary market experiences an issue. temporarily suspend such rule change if as its alternative market, and the The Exchange’s proposal is intended to it appears to the Commission that such alternate primary was unable to open or create additional certainty that in the action is necessary or appropriate in the NYSE was unable to designate an event of an issue with the primary public interest, for the protection of alternate market because of system market, the Exchange would have other investors, or otherwise in furtherance of difficulties, then ISE would determine equity markets to look to with respect to the purposes of the Act. If the which non-primary market had the most underlying prices on which to open the Commission takes such action, the liquidity in the aggregate for all Exchange. This proposal also does not Commission shall institute proceedings underlying securities for the previous impact the ability of other options to determine whether the proposed rule two calendar months, excluding the markets to open. should be approved or disapproved. primary and alternate markets. The Exchange would utilize that market to C. Self-Regulatory Organization’s IV. Solicitation of Comments open all underlying securities from the Statement on Comments on the Interested persons are invited to primary market. The Exchange notes Proposed Rule Change Received From submit written data, views, and that in order to open an option series it Members, Participants, or Others arguments concerning the foregoing, would require an equity market’s including whether the proposed rule underlying quote. The Exchange notes No written comments were either change is consistent with the Act. that utilizing a non-primary market with solicited or received. the most liquidity in the aggregate for all III. Date of Effectiveness of the 7 15 U.S.C. 78s(b)(3)(A). underlying securities for the previous 8 two calendar months will ensure that Proposed Rule Change and Timing for 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Commission Action 4(f)(6)(iii) requires a self-regulatory organization to the Exchange opens based on the next give the Commission written notice of its intent to best alternative to the primary market Because the foregoing proposed rule file the proposed rule change, along with a brief given the circumstances. This description and text of the proposed rule change, change does not: (i) Significantly affect contingency will provide the Exchange at least five business days prior to the date of filing the protection of investors or the public of the proposed rule change, or such shorter time with the ability to open in situations interest; (ii) impose any significant as designated by the Commission. The Exchange where the primary market is has satisfied this requirement. experiencing an issue and also where an burden on competition; and (iii) become 9 17 CFR 240.19b–4(f)(6). alternative primary market may also be operative for 30 days from the date on 10 17 CFR 240.19b–4(f)(6)(iii). impacted. which it was filed, or such shorter time 11 For purposes only of waiving the 30-day as the Commission may designate, it has operative delay, the Commission also has The Exchange believes that this considered the proposed rule’s impact on proposal would protect investors and become effective pursuant to Section efficiency, competition, and capital formation. See the general public by providing 15 U.S.C. 78c(f).

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Comments may be submitted by any of SECURITIES AND EXCHANGE COVID–19, the Commission finds that the following methods: COMMISSION the exemption set forth below is consistent with the public interest, the [Release No. 34–88491] Electronic Comments protection of investors and the purposes • Use the Commission’s internet Order Under Section 15b of The of Section 15B of the Exchange Act. comment form (http://www.sec.gov/ Securities Exchange Act of 1934 Accordingly, it is ordered, pursuant to rules/sro.shtml); or Granting an Exemption for Municipal Section 15B(a)(4) of the Exchange Act: For time period specified in Section I, • Send an email to rule-comments@ Advisors From Specified Provisions of The Securities Exchange Act and Rule a registered municipal advisor is exempt sec.gov. Please include File Number SR– 15ba1–5(A)(1) Thereunder from the requirements under Exchange ISE–2020–13 on the subject line. Act Rule 15Ba1–(a)(5) to file an annual Paper Comments March 26, 2020. update to Form MA within 90 days of The Commission has been monitoring the end of its fiscal year, where the • Send paper comments in triplicate the effects of the current outbreak of conditions below are satisfied. to Secretary, Securities and Exchange coronavirus disease 19 (‘‘COVID–19’’). Conditions Commission, 100 F Street NE, In light of the current situation, we are Washington, DC 20549–1090. issuing this Order providing a (a) The municipal advisor is unable to temporary conditional exemption from meet the filing deadline for its annual All submissions should refer to File certain requirements of the Exchange update to Form MA due to Number SR–ISE–2020–13. This file Act for municipal advisors. In circumstances related to current or number should be included on the particular, the Commission recognizes potential effects of COVID–19. subject line if email is used. To help the that municipal advisors may face (b) The municipal advisor relying on Commission process and review your challenges in timely satisfying the this Order promptly notifies the comments more efficiently, please use provisions of Section 15B of the Commission staff via email at munis@ only one method. The Commission will Securities Exchange Act of 1934 sec.gov stating: post all comments on the Commission’s (‘‘Exchange Act’’) and Rule 15Ba1– i. That it is relying on this Order; and internet website (http://www.sec.gov/ 5(a)(1) thereunder concerning the filing ii. A brief description of the reasons rules/sro.shtml). Copies of the of a municipal advisor’s annual update why it could not file its annual update submission, all subsequent to Form MA as a result of COVID–19. to Form MA on a timely basis. amendments, all written statements Section 15B(a)(4) of the Exchange Act (c) The municipal advisor relying on with respect to the proposed rule provides that the Commission, by rule this Order must promptly disclose on its change that are filed with the or order, upon its own motion or upon public website (or if it does not have a Commission, and all written application, may conditionally or public website, promptly disclose to its communications relating to the unconditionally exempt any broker, clients) the information required in proposed rule change between the dealer, municipal securities dealer, or condition (b) above. Commission and any person, other than municipal advisor, or class of brokers, (d) The municipal advisor files the those that may be withheld from the dealers, municipal securities dealers, or annual update to Form MA required by public in accordance with the municipal advisors from any provision Rule 15Ba1–5(a)(1) under the Exchange provisions of 5 U.S.C. 552, will be of Section 15B or the rules or Act, as soon as practicable but not later available for website viewing and regulations thereunder, if the than 45 days after the original due date printing in the Commission’s Public Commission finds that such exemption for filing. is consistent with the public interest, Reference Room, 100 F Street NE, By the Commission. Washington, DC 20549, on official the protection of investors, and the Vanessa A. Countryman, business days between the hours of purposes of Section 15B. Secretary. 10:00 a.m. and 3:00 p.m. Copies of the I. Time Period for the Relief filing also will be available for [FR Doc. 2020–06742 Filed 3–31–20; 8:45 am] The relief specified in this Order is BILLING CODE 8011–01–P inspection and copying at the principal limited to filing obligations for which office of the Exchange. All comments the original due date for an annual received will be posted without change. update to Form MA is on or after the SECURITIES AND EXCHANGE Persons submitting comments are date of this Order but on or prior to June COMMISSION cautioned that we do not redact or edit 30, 2020. The Commission intends to personal identifying information from continue to monitor the current [Release No. 34–88482; File No. SR–FINRA– 2019–030] comment submissions. You should situation. The time period for the relief submit only information that you wish may, if necessary, be extended with any Self-Regulatory Organizations; to make available publicly. All additional conditions that are deemed submissions should refer to File Financial Industry Regulatory appropriate, and the Commission may Authority, Inc.; Order Approving a Number SR–ISE–2020–13 and should be issue other relief consistent with submitted on or beforeApril 22, 2020. Proposed Rule Change, as Modified by Section 15B(a)(4). Amendment No. 1, To Amend the For the Commission, by the Division of II. Form MA Annual Update Filing Membership Application Program Trading and Markets, pursuant to delegated Requirement for Registered Municipal (‘‘MAP’’) Rules To Address the Issue of 12 authority. Advisors Pending Arbitration Claims J. Matthew DeLesDernier, The disruptions resulting from March 26, 2020. Assistant Secretary. COVID–19 mentioned above could [FR Doc. 2020–06739 Filed 3–31–20; 8:45 am] hamper the efforts of municipal advisors I. Introduction BILLING CODE 8011–01–P to timely meet filing deadlines for On December 13, 2019, Financial annual updates to Form MA. In light of Industry Regulatory Authority, Inc. 12 17 CFR 200.30–3(a)(12). the current and potential effects of (‘‘FINRA’’) filed with the Securities and

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Exchange Commission (‘‘Commission’’), II. Description of the Proposed Rule becomes unpaid before a decision on an pursuant to Section 19(b)(1) of the Change 7 application constituting final action on 9 Securities Exchange Act of 1934 Background FINRA is served on the applicant. (‘‘Exchange Act’’) 1 and Rule 19b–4 Additionally, FINRA is proposing non- thereunder,2 a proposed rule change to The MAP Rules govern the way in substantive changes in specified MAP amend FINRA’s Membership which FINRA reviews a new rules.10 membership application (‘‘NMA’’) and a Application Program (‘‘MAP’’) rules to continuing membership application Proposed Rule Change for Presumption help further address the issue of (‘‘CMA’’).8 They are currently found To Deny an Application pending arbitration claims, as well as under the FINRA Rule 1000 Series as arbitration awards and settlement FINRA Rules 1011 through 1019. These FINRA is proposing an amendment to agreements related to arbitrations that rules require an applicant to the standard for admission and the have not been paid in full in accordance demonstrate its ability to comply with corresponding factors therein relating to with their terms. applicable securities laws and FINRA the presumption to deny an application The proposed rule change was rules, including observing high for new or continuing membership.11 published for comment in the Federal standards of commercial honor and just Currently, FINRA Rule 1014 sets forth Register on December 30, 2019.3 The and equitable principles of trade. The standards for admission FINRA must public comment period closed on MAP rules require FINRA to evaluate an consider in determining whether to January 21, 2020. The Commission applicant’s financial, operational, and approve an application. Under Rule received two comment letters in supervisory and compliance systems to 1014(a)(3), FINRA is required to response to the Notice, both generally ensure that the applicant meets the determine whether an applicant for new standards set forth in the rules. supporting the proposed rule change.4 or continuing membership and its FINRA’s proposed rule changes On January 31, 2020, FINRA responded associated persons are capable of would: (1) Amend Rule 1014 complying with the federal securities to the comment letters received in (Department Decision) to: (a) Create a 5 laws, the rules and regulations response to the Notice. On February 6, rebuttable presumption that an 2020, FINRA filed an amendment to the thereunder, and FINRA Rules. Rule application for new membership would 1014(a)(3) sets forth six factors that proposal (‘‘Amendment No. 1’’).6 On be denied if the applicant or its February 10, 2020, FINRA extended the FINRA must consider in making that associated persons are subject to a determination. Additionally, FINRA time period in which the Commission pending arbitration claim, and (b) notes that under Rule 1014(b)(1), where must approve the proposed rule change, permit an applicant to overcome a an applicant or its associated persons disapprove the proposed rule change, or presumption of denial by demonstrating are subject to certain regulatory events institute proceedings to determine its ability to satisfy an unpaid enumerated in Rule 1014(a)(3), a whether to approve or disapprove the arbitration award, other adjudicated presumption exists that the application proposed rule change to March 27, customer award, unpaid arbitration should be denied.12 However, FINRA 2020. This order approves the proposed settlement, or pending arbitration claim; notes that ‘‘the existence of a record of rule change, as modified by Amendment (2) create a new requirement for a a pending arbitration, as set forth in No. 1. member, that is not otherwise required Rule 1014(a)(3)(B), is currently not to submit an application for continuing among the enumerated factors that 1 membership for a specified change in 15 U.S.C. 78s(b)(1). trigger the presumption to deny an 2 17 CFR 240.19b–4. ownership, control or business application.’’ 13 3 See Exchange Act Release No. 87810 (Dec. 20, operations, including a business 2019), 84 FR 72088 (Dec. 30, 2019) (File No. SR– expansion, to seek a materiality The proposed amendment to Rule FINRA–2019–030) (‘‘Notice’’). consultation if the member or its 1014 would create the rebuttable 4 See Letter from Steven B. Caruso, Maddox Hargett Caruso, P.C., dated January 7, 2020 (‘‘Caruso associated persons have a defined presumption to deny an application in Letter’’); and letter from Christine Lazaro, Director ‘‘covered pending arbitration claim,’’ cases where the prospective applicant or of the Securities Arbitration Clinic and Professor of unpaid arbitration award, or an unpaid its associated persons are the subject of Clinical Legal Education, St. John’s University arbitration settlement; (3) amend Rule pending arbitration claims.14 This School of Law, dated January 21, 2020 (‘‘SJU Letter’’). Comment letters are available on the 1017 (Application for Approval of presumption of denial for a pending Commission’s website at https://www.sec.gov. Change in Ownership, Control, or arbitration claim would not apply to an 5 See Letter from Victoria Crane, Vice President Business Operations) to require a existing member firm filing a CMA.15 and Associate General Counsel, FINRA, to Vanessa member to demonstrate its ability to Instead, consistent with today’s Countryman, Secretary, U.S. Securities and Exchange Commission, dated January 31, 2020 satisfy an unpaid arbitration award or practice, FINRA would continue to (‘‘FINRA Letter’’). The FINRA Letter is available on unpaid settlement related to an consider whether an applicant or its FINRA’s website at http://www.finra.org, at the arbitration before effecting the proposed associated persons are the subject of a principal office of FINRA, on the Commission’s change thereunder; and (4) amend Rule website at https://www.sec.gov/comments/sr-finra- pending arbitration claim in 2019-030/srfinra2019030-6730822-207419.pdf, and 1013 (New Member Application and determining whether the applicant for at the Commission’s Public Reference Room. Interview) and Rule 1017 to require an continuing membership is capable of 6 Amendment No. 1 is available at https:// applicant to provide prompt written complying with applicable federal www.finra.org/sites/default/files/2020-02/SR- notification of any pending arbitration 16 _ securities laws and FINRA rules. FINRA-2019-030 Amendment1.pdf. With claim that is filed, awarded, settled, or Amendment No. 1, FINRA made a technical change to the text of the proposal reflecting a cross- 9 See Notice at 72088. 7 reference to FINRA Rule 1017(a)(5). Specifically, The subsequent description of the proposed rule 10 See id. change is substantially excerpted from FINRA’s FINRA’s initial proposal did not amend Rule 11 See id. 1017(a)(5), which currently cross-references Rule description in the Notice. See Notice, 83 FR at 12 Notice at 72089. 1011(k) defining ‘‘material change in business 72088–72093. 13 operations.’’ Amendment No. 1 changes that cross- 8 Unless otherwise specified, the term Id. reference to ‘‘Rule 1011(l)’’ to reflect the ‘‘application’’ refers to either an NMA (or Form 14 Id. renumbered paragraphs as proposed in amended NMA) or CMA (or Form CMA), depending on 15 Id. Rule 1011. context. 16 Id.

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Proposed Rule Change To Demonstrate proposed events (e.g., acquisition or associated persons: (1) Has a ‘‘covered Ability To Satisfy Unpaid Arbitration transfer of the member’s assets, or a pending arbitration claim’’ 28 (as that Awards, Other Adjudicated Customer business expansion) would be material term is defined in proposed Rule Awards, Unpaid Arbitration and thus require the member to file a 1011(c)(1) described below), an unpaid Settlements, or for New Member CMA when it plans to undergo an event arbitration award or an unpaid Applications, Pending Arbitration specified under Rule 1017.22 According settlement related to an arbitration, and Claims to FINRA, ‘‘[t]he characterization of a (2) the member is not otherwise FINRA is also proposing to clarify the contemplated change as material required to file a CMA, the member may various ways in which an applicant for depends on an assessment of all the not effect the contemplated business new or continuing membership may relevant facts and circumstances, expansion unless the member complies demonstrate its ability to satisfy an including, among others, the nature of with the proposed new requirements in 29 unpaid arbitration award, other the contemplated change, the effect the Rule 1017(a)(6)(B). Proposed Rule adjudicated customer award, unpaid contemplated change may have on the 1017(a)(6)(B) would require a member arbitration settlement, or a pending firm’s capital, the qualifications and firm to file a CMA for approval of the arbitration claim during the application experience of the firm’s personnel, and business expansion described in review process, and to preclude an the degree to which the firm’s existing proposed IM–1011–2 unless the member applicant from effecting any financial, operational, supervisory, and first submits a written request to FINRA contemplated change in ownership, compliance systems can accommodate seeking a materiality consultation for 23 control, or business operations until the contemplated change.’’ Where the contemplated business expansion. such demonstration is made and FINRA FINRA determines that a contemplated As part of the materiality consultation, approves the application.17 For change is material, FINRA instructs the FINRA would determine whether: (1) example, proposed IM–1014–1 would member to file a CMA if it intends to The member is not required to file a 24 allow applicants to demonstrate the proceed with the change. CMA in accordance with Rule 1017 and may effect the contemplated business ability to satisfy an unpaid arbitration Mandatory Materiality Consultation for expansion; or (2) the member is required award, other adjudicated customer Business Expansion To Add One or to file a CMA in accordance with Rule award, unpaid arbitration settlement, or More Associated Persons Involved in 1017 and the member may not effect the a pending arbitration claim, through an Sales (Proposed IM–1011–2 and contemplated business expansion escrow agreement, insurance coverage, a Proposed Rules 1011(c)(1) and unless FINRA approves the CMA.30 clearing deposit, a guarantee, a reserve 1017(a)(6)(B)) fund, or the retention of proceeds from Current Rule 1017 specifies the Mandatory Materiality Consultation for an asset transfer or such other forms of changes in a member’s ownership, Any Acquisition or Transfer of documentation that FINRA may control, or business operations that Member’s Assets (Proposed Rule determine to be acceptable.18 Proposed require a CMA and FINRA’s approval.25 1011(c)(2) and Proposed Rule IM–1014–1 would also allow an However, current IM–1011–1 creates a 1017(a)(6)(A)) applicant to overcome the presumption safe harbor for incremental increases in Currently, Rule 1017(a) requires a to deny the application by guaranteeing certain business expansions that are member to file a CMA for direct or that any funds used to evidence the presumed not to be material changes in indirect acquisitions or transfers of 25 applicant’s ability to satisfy any awards, business operations.26 Under this safe percent or more in the aggregate of the settlements, or claims will be used for harbor, a member, subject to specified member’s assets or any asset, business, that purpose.19 Any demonstration by an applicant of conditions and thresholds, may undergo or line of operation that generates such business expansions without filing revenues composing 25 percent or more its ability to satisfy these outstanding 27 obligations would be subject to a a CMA. in the aggregate of the member’s Proposed IM–1011–2 (Business reasonableness assessment by FINRA.20 earnings measured on a rolling 36- Expansions and Covered Pending month basis, unless both the seller and Proposed Rule Change To Mandate Arbitration Claims) would provide that acquirer are NYSE members.31 Materiality Consultations if a member is contemplating to add one FINRA is proposing to add a new To further incentivize members to pay or more associated persons involved in subparagraph (6)(A) to Rule 1017(a) to arbitration awards and settlements, sales and one or more of those provide that if a member is FINRA is proposing to mandate that a contemplating any direct or indirect member seek a materiality consultation 22 See Notice at 72090. A request for a materiality consultation, for which there is no fee, is a written 28 in two situations in which specified Proposed Rule 1011(c)(1) would define a request from a member firm for FINRA’s ‘‘covered pending arbitration claim’’ as an pending arbitration claims, unpaid determination on whether a contemplated change investment-related, consumer-initiated claim filed arbitration awards, or unpaid arbitration in business operations or activities is material and against the associated person in any arbitration settlements are involved.21 Currently, would therefore require a CMA or whether the forum that is unresolved; and whose claim amount contemplated change can fit within the framework the materiality consultation process is (individually or, if there is more than one claim, in of the firm’s current activities and structure without the aggregate) exceeds the hiring member’s excess voluntary, and exists to provide a the need to file a CMA. Id. net capital. See id. at 72091. member with the option of seeking 23 Notice at 72090 (citing Notice to Members 00– For purposes of this definition, FINRA explains guidance, or a materiality consultation, 73 (October 2000) (FINRA Requests Comment on a that the claim would only include claimed from FINRA on whether certain Proposal Regarding the Rules Governing the New compensatory loss amounts, not requests for pain and Continuing Membership Application Process)). and suffering, punitive damages, or attorney’s fees, 24 See id. As FINRA explains in the Notice, the and shall be the maximum amount for which the 17 See Notice at 72088. member is responsible for compliance with Rule associated person is potentially liable regardless of 18 Id. at 72089. Proposed IM–1014–1 would also 1017. If FINRA determines during the materiality whether the claim was brought against additional allow an applicant to provide a written opinion of consultation that the contemplated business change persons or the associated person reasonably expects an independent, reputable U.S. licensed counsel is material, then the member potentially could be to be indemnified, share liability, or otherwise knowledgeable in the area as to the value of the subject to disciplinary action for failure to file a lawfully avoid being held responsible for all or part arbitration claims. CMA under Rule 1017. Id. of such maximum amount. 19 Notice at 72090. 25 See id. 29 See id. at 72091. 20 Id. 26 See Notice at 72090. 30 See Notice at 72091. 21 See id. at 72089. 27 See id. 31 See id.

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acquisition or transfer of a member’s before a decision on the application Additional Proposed Changes assets or any asset, business, or line of constituting final action of FINRA is The proposal would also make non- operations where the transferring served on the applicant.37 FINRA substantive changes in the MAP rules by member or an associated person of the indicated that any such unpaid renumbering paragraphs in Rules 1011, transferring member: (1) Has a ‘‘covered arbitration award, other adjudicated 1014, and 1017, as well as updating 32 pending arbitration claim,’’ an unpaid customer award, unpaid arbitration cross-references.44 arbitration award or an unpaid settlement, or pending arbitration claim settlement related to an arbitration, and (for a new member applicant only) that III. Comment Summary (2) the member is not otherwise comes to light in this manner during the As noted above, the Commission required to file a CMA, the member may application review process would result received two comment letters on the not effect the contemplated transaction in FINRA being able to presumptively proposed rule change supporting the unless the member first submits a deny the application under the proposal.45 While both commenters written request to FINRA seeking a applicable factors set forth in Rule were generally supportive of the materiality consultation for the 1014(a)(3), and the ability of the proposal, they believed that further contemplated acquisition or transfer.33 action was necessary to address the As part of the materiality consultation, applicant to overcome such presumption by demonstrating its issue of unpaid financial obligations FINRA would determine whether: (1) that broker-dealers and their associated ability to satisfy the obligation.38 The member is not required to file a persons owe to their customers.46 CMA in accordance with Rule 1017 and Current Rule 1017(c) describes the may effect the contemplated acquisition timing and conditions for effecting a Supportive Comments of transfer; or (2) the member is required change under Rule 1017.39 Rule In one commenter’s view, the to file a CMA in accordance with Rule 1017(c)(1) requires a member to file a proposed rule changes represented a 1017 and the member may not effect the CMA for approval of a change in ‘‘fair, equitable and reasonable approach contemplated acquisition or transfer ownership or control at least 30 days that would expedite and facilitate the unless FINRA approves the CMA.34 before the change is expected to occur.40 efficiency of the arbitration process’’ and recommended that they should be Proposed Rule Change Requiring A member may effect the change prior ‘‘approved by the SEC on an expedited Notification of Unpaid Arbitration to the conclusion of FINRA’s review of basis.’’ 47 The second commenter noted Awards the CMA, however, FINRA may place interim restrictions on the member the proposed rules changes would The proposal would require an provide FINRA with ‘‘another tool with applicant for new or continuing based upon the standards in Rule 1014 pending a final determination. Under which it may scrutinize the business of membership to notify FINRA of any its members and new member Rule 1017(c)(2), a member may file a pending arbitration claims that are filed, applicants to ensure they can comply CMA to remove or modify a awarded, settled, or become unpaid with the relevant rules and regulations, membership agreement restriction at before FINRA renders a decision on the and that investors are protected.’’ 48 application.35 Current Rule 1013(a) lists any time, but any such existing items that must be submitted with an restriction shall remain in effect during Proposal Is Insufficient NMA and Rule 1017(b) sets forth the the pendency of the proceeding.41 As stated above, both commenters documents and other information Finally, Rule 1017(c)(3) permits a believed that FINRA needed to take required to accompany a CMA, member to file a CMA for approval of further action to address unpaid depending on the nature of the CMA.36 a material change in business operations financial obligations that broker-dealers FINRA is proposing to add Rules at any time, but the member may not and their associated persons owe to 1013(c) and 1017(h) to require an effect such change until the conclusion their customers.49 One commenter applicant to provide prompt of the proceeding, unless FINRA and the stated ‘‘it is clear that these rule notification, in writing, of any pending member otherwise agree.42 FINRA is amendments . . . will not completely arbitration claim involving the applicant proposing to add subparagraph (4) to solve the large number of customer or its associated persons that is filed, Rule 1017(c), providing that, awards that remain unpaid each awarded, settled, or becomes unpaid notwithstanding the existing timing and year.’’ 50 The second commenter conditions for effecting a change as suggested that either in this rulemaking 32 Proposed Rule 1011(c)(2) would define a described under Rule 1017(c)(1) through or a subsequent rulemaking, FINRA ‘‘covered pending arbitration claim’’ as an should consider addressing all investor investment-related, consumer-initiated claim filed (3), where a member or an associated against the transferring member or its associated person has an unpaid arbitration award settlements that have not been fully persons in any arbitration forum that is unresolved; or unpaid settlement related to an paid, such as a settled mediation claim and whose claim amount (individually or, if there arbitration at the time of filing a CMA, or a settlement resulting from a written 51 is more than one claim, in the aggregate) exceeds the member may not effect such change or oral complaint. The commenter the transferring member’s excess net capital. See id. believes that the proposal should cover at 72092. until demonstrating that it has the For purposes of this definition, FINRA explains ability to satisfy such obligations in these settlements because these types of that the claim would only include claimed accordance with Rule 1014 and settlements also may never be fully compensatory loss amounts, not requests for pain satisfied by a firm.52 and suffering, punitive damages or attorney’s fees, proposed IM–1014–1, as discussed and shall be the maximum amount for which the above, and obtaining FINRA’s approval 44 See id. at 72088. FINRA will also make associated person is potentially liable regardless of 43 of the CMA. conforming changes to Forms NMA and CMA. whether the claim was brought against additional 45 persons or the associated person reasonably expects See supra note 4. to be indemnified, share liability or otherwise 37 See id. 46 Id. lawfully avoid being held responsible for all or part 38 See id. at 72092. 47 Caruso Letter. of such maximum amount. 39 See id. 48 SJU Letter. 33 See Notice at 72091. 40 See id. 49 See Caruso Letter and SJU Letter. 34 See id. 41 See id. 50 Caruso Letter. 35 See id. at 72089. 42 See id. 51 See SJU Letter. 36 See id. at 72092. 43 See Notice at 72092. 52 See id.

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In response, FINRA recognizes that principles of trade, and, in general, to settlements, or claims will be used the issue of unpaid financial obligations protect investors and the public interest. specifically for that purpose. that broker-dealers and their associated Presumption To Deny an Application Materiality Consultation persons owe to their customers is not unique to the FINRA arbitration forum The Commission agrees with FINRA FINRA has expressed concern that, or the broker-dealer industry and that that this proposal to add a presumption under current Rule 1017 and the investors may have claims that arise to deny an NMA helps to address existing safe harbor for business outside of FINRA arbitration.53 But concerns related to prospective expansions to increase the number of FINRA also believes this particular rule applicants for new membership associated persons involved in sales,61 a filing is only one of the ways it is planning to hire principals and member could hire principals and proceeding to implement additional registered persons with pending registered representatives with steps to strengthen its rules on this arbitration claims without being able to substantial pending arbitration claims topic.54 In addition, FINRA noted that it adequately demonstrate: (1) How those without considering how the firm has ‘‘encouraged a continuing dialogue claims would be paid if they go to would supervise such individuals or the about addressing the challenges of award or result in a settlement; and (2) potential financial impact on the firm if customer recovery across the financial how the new member applicant would the individual, while employed at the services industry while directly be able to effectively supervise such hiring firm, engages in potential informing the further enhancement of individuals who may have a history of misconduct that results in a customer recovery in FINRA’s forum[.]’’ 55 For noncompliance. In particular, the arbitration.62 The Commission agrees example, FINRA cited to its 2018 White Commission agrees with FINRA that with FINRA that requiring a materiality Paper and ‘‘additional data regarding creating a presumption of denial in consultation for this type of business the circumstances under which awards connection with a pending arbitration expansion would allow FINRA to, may be unpaid, along with a discussion claim for an NMA would appropriately among other things, assess the nature of of potential regulatory and legislative shift the burden to the new member the anticipated activities of the responses.’’ 56 For these reasons, FINRA applicant to demonstrate how its principals and registered representatives declined to amend this proposal in pending arbitration claim would be paid with pending arbitration claims, unpaid response to commenters.57 should it go to award or result in a arbitration awards, or arbitration settlement. As FINRA notes, this settlements; the impact on the firm’s IV. Discussion and Commission proposed amendment promotes investor Findings supervisory and compliance systems, protection by requiring more thorough personnel, and finances; and any other After careful review of the proposed scrutiny of certain prospective member impact on investor protection raised by rule change and the comment letters, firms to help protect the potential adding such individuals. the Commission finds that the proposal customers of those firms.60 Additionally, the Commission agrees is consistent with the requirements of Demonstration of Ability To Pay that FINRA is better able to assess, the Exchange Act and the rules and among other things, the adequacy of any regulations thereunder that are The Commission agrees with FINRA plan a member firm has in place to applicable to a national securities that it would improve the efficiency of satisfy pending arbitration claims, association. 58 Specifically, the the MAP process to institute the unpaid arbitration awards, or unpaid Commission finds that the proposed proposal requiring evidence of an arbitration settlements, by requiring a applicant’s ability to satisfy unpaid rule change is consistent with Section materiality consultation when a member 59 arbitration awards, other adjudicated 15A(b)(6) of the Exchange Act, which firm is contemplating any direct or customer awards, unpaid arbitration requires, among other things, that indirect acquisition or transfer of assets settlements, or, in the case of NMAs, FINRA rules be designed to prevent involving a ‘‘covered pending pending arbitration claims. Specifically, fraudulent and manipulative acts and arbitration claim.’’ The Commission the Commission agrees with FINRA that practices, to promote just and equitable further agrees that this proposal helps this rule will increase the ability of reduce the risk that a firm with pending 53 applicants to anticipate the information See FINRA Letter. arbitration claims that ultimately 54 Id. See e.g., Exchange Act Release No. 88254 necessary to demonstrate their ability to produce awards or settlements could (Feb. 20, 2020), 85 FR 11157 (Feb 26, 2020) (File satisfy outstanding obligations or No. SR–FINRA–2019–027) (amending FINRA rules avoid satisfying those awards or potential obligations, and reduce the to expand customers’ options in arbitration with settlements by transferring assets need for applicants to submit additional respect to claims brought against inactive member without encumbrance and then closing firms and associated persons). information after the initial filing. The 55 down. The Commission agrees with FINRA Letter. Commission also believes the proposal 56 FINRA that a decrease in the ability of Id. In FINRA Perspectives on Customer could help reduce the number of unpaid Recovery, available at https://www.finra.org/sites/ firms to avoid satisfying their arbitration _ _ _ _ arbitration awards by permitting an default/files/finra perspectives on customer awards or settlements in this manner recovery.pdf. FINRA also makes available applicant to overcome the presumption may result in a higher likelihood that additional data on unpaid arbitration awards arising to deny an application by guaranteeing they are paid in full in accordance with in the forum for the past five years, available at that any funds used to evidence the https://www.finra.org/arbitration-mediation/ their terms. statistics-unpaid-customer-awardsfinra-arbitration applicant’s ability to satisfy any awards, (‘‘White Paper’’). In addition, FINRA has published Notification of Unpaid Arbitration a list of firms and associated persons responsible for 60 See Notice at 72093. FINRA noted that the Awards unpaid arbitration awards, available at https:// majority of new member applicants are unlikely to www.finra.org/arbitration-mediation/member-firms- be effected by the proposed amendments. FINRA The Commission agrees with FINRA and-associated-personsunpaid-customer- reviewed the 317 NMAs that it received from that requiring applicants to provide arbitration-awards. See FINRA Letter at note 3. January 2015 through December 2017 and found prompt notification to FINRA of a 57 See FINRA Letter. that of those 317 NMAs only 13 NMAs included a pending arbitration claim that is filed, 58 In approving this rule change, the Commission new member applicant or its associated persons has considered the rule’s impact on efficiency, that had a pending arbitration claim at the time of competition, and capital formation. See 15 U.S.C. FINRA’s receipt of the NMA. Under the proposed 61 See FINRA IM–1011–1 (Safe Harbor for 78c(f). amendments, FINRA could have presumptively Business Expansions). 59 15 U.S.C. 78o–3(b)(6). denied those NMAs. See id. at 72093, 72094. 62 See Notice at 72090.

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awarded, settled, or becomes unpaid 030), as modified by Amendment No. 1, SECURITIES AND EXCHANGE before a decision on the application is be, and hereby is,approved. COMMISSION served will improve FINRA’s ability to For the Commission, by the Division of oversee and review the pending Trading and Markets, pursuant to delegated [Release No. 34–88481; File No. SR– arbitrations of applicants to help ensure authority.66 CboeBZX–2019–107] that arbitration awards and settlements are paid in full in accordance with their J. Matthew DeLesDernier, Self-Regulatory Organizations; Cboe terms. Assistant Secretary. BZX Exchange, Inc.; Notice of Filing of In sum, the Commission agrees with [FR Doc. 2020–06722 Filed 3–31–20; 8:45 am] Amendment No. 1 and Order Instituting FINRA and the commenters who BILLING CODE 8011–01–P Proceedings To Determine Whether To supported the proposed rule change that Approve or Disapprove a Proposed it would help address the issue of Rule Change, as Modified by unpaid arbitration awards. Specifically, SECURITIES AND EXCHANGE Amendment No. 1, To Adopt Rule the proposal would link a firm’s or COMMISSION 14.11(m), Tracking Fund Shares, and associated person’s unpaid arbitration To List and Trade Shares of the awards, unpaid arbitration settlement, [Release No. 34–88483; File No. SR–MIAX– Fidelity Blue Chip Value ETF, Fidelity or specified pending arbitration claims 2020–02] Blue Chip Growth ETF, and Fidelity (collectively, ‘‘unpaid and potential New Millennium ETF financial obligations related to Self-Regulatory Organizations; Miami March 26, 2020. arbitration’’) to FINRA’s membership International Securities Exchange, application review process, in certain LLC; Notice of Withdrawal of a On December 12, 2019, Cboe BZX instances, to provide FINRA greater Proposed Rule Change To Amend Exchange, Inc. (‘‘Exchange’’ or ‘‘BZX’’) oversight.63 These changes will enable MIAX Chapter XVII, Consolidated Audit filed with the Securities and Exchange FINRA to more directly address Trail Compliance Rule Commission (‘‘Commission’’), pursuant concerns over unpaid and potential to Section 19(b)(1) of the Securities financial obligations related to March 27, 2020. Exchange Act of 1934 (‘‘Act’’ or ‘‘Exchange Act’’) 1 and Rule 19b–4 arbitration, as well as the adequacy of On January 24, 2020, Miami thereunder,2 a proposed rule change to the supervision of individuals with International Securities Exchange, LLC unpaid and potential financial adopt BZX Rule 14.11(m), and to list (‘‘MIAX Options’’) filed with the and trade shares (‘‘Shares’’) of the obligations related to arbitration in Securities and Exchange Commission situations where, for example: (1) A Fidelity Value ETF, Fidelity Growth (‘‘Commission’’), pursuant to Section ETF, and Fidelity Opportunistic ETF FINRA member firm hires individuals 19(b)(1) of the Securities Exchange Act with pending arbitration claims, where (individually, ‘‘Fund,’’ and, collectively, of 1934 (‘‘Act’’) 1 and Rule 19b–4 3 there are concerns about: (a) The ‘‘Funds’’), each a series of the Fidelity thereunder,2 a proposed rule change to payment of those claims should they go Beach Street Trust (‘‘Trust’’), under amend MIAX Options Chapter XVII, to award or result in settlement, and (b) proposed BZX Rule 14.11(m). The Consolidated Audit Trail Compliance the supervision of those individuals; proposed rule change was published for and (2) a member firm with pending Rule. The proposed rule change was comment in the Federal Register on 4 arbitration claims seeks to avoid published for comment in the Federal December 31, 2019. 3 payment of the claims should they go to Register on February 5, 2020. On On February 12, 2020, the Exchange award or result in a settlement by March 16, 2020, MIAX Options filed Amendment No. 1 to the proposed shifting its assets, or its managers and withdrew the proposed rule change rule change, which amended and owners, to another firm and closing (SR–MIAX–2020–02). replaced the proposed rule change in its entirety.5 On February 13, 2020, down. Additionally, the Commission For the Commission, by the Division of agrees with FINRA that amendments pursuant to Section 19(b)(2) of the Trading and Markets, pursuant to delegated 6 adopted here will enable FINRA to authority.4 Exchange Act, the Commission designated a longer period within which place greater emphasis on the adequacy J. Matthew DeLesDernier, of the supervision of individuals with to approve the proposed rule change, Assistant Secretary. pending arbitration claims given their disapprove the proposed rule change, or history of noncompliance. While the [FR Doc. 2020–06738 Filed 3–31–20; 8:45 am] institute proceedings to determine Commission acknowledges the concerns BILLING CODE 8011–01–P whether to disapprove the proposed 7 of commenters regarding the potential rule change. The Commission has for further action to address unpaid claims that arise outside of FINRA 1 15 U.S.C. 78s(b)(1). arbitration, as FINRA noted, this 2 17 CFR 240.19b–4. 3 In Amendment No. 1, the names of the Funds proposal represents one step in the were changed to Fidelity Blue Chip Value ETF, ongoing process of addressing these Fidelity Blue Chip Growth ETF, and Fidelity New issues and FINRA continues to evaluate Millennium ETF. See infra note 5. further action.64 4 See Securities Exchange Act Release No. 87856 (Dec. 23, 2019), 84 FR 72414 (‘‘Notice’’). V. Conclusion 5 Amendment No. 1 is available at: https:// www.sec.gov/comments/sr-cboebzx-2019-107/ It is therefore ordered pursuant to srcboebzx2019107.htm. Section 19(b)(2) of the Exchange Act 65 66 17 CFR 200.30–3(a)(12). 6 15 U.S.C. 78s(b)(2). that the proposal (SR–FINRA–2019– 1 15 U.S.C. 78s(b)(1). 7 See Securities Exchange Act Release No. 88195, 85 FR 9888 (Feb. 20, 2020). The Commission 2 17 CFR 240.19b–4. designated March 30, 2020, as the date by which 3 63 See Notice at 72089. See Securities Exchange Act Release No. 88096 the Commission shall approve or disapprove, or 64 See FINRA Letter. (January 30, 2020), 85 FR 6613. institute proceedings to determine whether to 65 15 U.S.C. 78s(b)(2). 4 17 CFR 200.30–3(a)(12). disapprove, the proposed rule change.

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received no comment letters on the permitting the listing and trading, or Proxy Basket securities and/or a cash proposed rule change. trading pursuant to unlisted trading amount with a value equal to the next The Commission is publishing this privileges, of Tracking Fund Shares, determined net asset value; and (iv) the notice and order to solicit comments on which are securities issued by an portfolio holdings for which are the proposed rule change, as modified actively managed open-end disclosed within at least 60 days by Amendment No. 1, from interested management investment company.10 following the end of every fiscal quarter. persons and to institute proceedings Proposed Rule 14.11(m)(1) provides Proposed Rule 14.11(m) pursuant to Section 19(b)(2)(B) of the that the Exchange will consider for Act 8 to determine whether to approve Proposed Rule 14.11(m)(3)(A) trading, whether by listing or pursuant or disapprove the proposed rule change, provides that the term ‘‘Tracking Fund to unlisted trading privileges, Tracking as modified by Amendment No. 1. Share’’ means a security that: (i) Fund Shares that meet the criteria of Represents an interest in an investment this Rule. I. Exchange’s Description of the company registered under the Proposed Rule 14.11(m)(2) provides Proposed Rule Change, as Modified by Investment Company Act of 1940 that this proposed Rule is applicable Amendment No. 1 (‘‘Investment Company’’) organized as only to Tracking Fund Shares. Except to The Exchange proposes a rule change an open-end management investment the extent inconsistent with this Rule, to adopt Rule 14.11(m), Tracking Fund company, that invests in a portfolio of or unless the context otherwise requires, Shares, and to list and trade shares of securities selected by the Investment the rules and procedures of the Board of the Fidelity Blue Chip Value ETF, Company’s investment adviser Directors shall be applicable to the Fidelity Blue Chip Growth ETF, and consistent with the Investment trading on the Exchange of such Fidelity New Millennium ETF, each a Company’s investment objectives and securities. Tracking Fund Shares are series of the Fidelity Beach Street Trust, policies; (ii) is issued in a specified included within the definition of under such proposed Rule 14.11(m). aggregate minimum number in return ‘‘security’’ or ‘‘securities’’ as such terms The text of the proposed rule change for a deposit of specified Proxy Basket are used in the Rules of the Exchange. is also available on the Exchange’s securities and/or a cash amount with a Proposed Rule 14.11(m)(2)(A)–(C) website (http://markets.cboe.com/us/ value equal to the next determined net provide that the Exchange will file equities/regulation/rule_filings/bzx/), at asset value; (iii) when aggregated in the separate proposals under Section 19(b) the Exchange’s Office of the Secretary, same specified minimum number, may of the Act before the listing of Tracking and at the Commission’s Public be redeemed at a holder’s request, Fund Shares; and that transactions in Reference Room. which holder will be paid specified Tracking Fund Shares will occur throughout the Exchange’s trading II. Self-Regulatory Organization’s Release Nos. 87062 (September 23, 2019), 84 FR hours; the minimum price variation for Statement of the Purpose of, and 51193 (September 27, 2019) (SR–CboeBZX–2019– quoting and entry of orders in Tracking Statutory Basis for, the Proposed Rule 047) and 87560 (November 18, 2019), 84 FR 64607 Fund Shares is $0.01. Change (November 22, 2019) (CboeBZX–2019–097). 10 The basis of this proposal are several Proposed Rule 14.11(m)(2)(D) In its filing with the Commission, the applications for exemptive relief that were filed provides that the Exchange will Exchange included statements with the Commission and for which public notice implement and maintain written was issued on November 14, 2019 and subsequent surveillance procedures for Tracking concerning the purpose of and basis for order granting certain exemptive relief to, among the proposed rule change and discussed others, Fidelity Management & Research Company Fund Shares and as part of these any comments it received on the and FMR Co., Inc., Fidelity Beach Street Trust, and surveillance procedures, the Investment proposed rule change. The text of these Fidelity Distributors Corporation (File No. 812– Company’s investment adviser will 14364), issued on December 10, 2019 (the upon request by the Exchange or statements may be examined at the ‘‘Application,’’ ‘‘Notice,’’ and ‘‘Order,’’ respectively, places specified in Item IV below. The and, collectively, the ‘‘Exemptive Order’’). See FINRA, on behalf of the Exchange, make Exchange has prepared summaries, set Investment Company Act Release Nos. 33683 and available to the Exchange or FINRA the 33712. The Order specifically notes that ‘‘granting daily Fund Portfolio of each series of forth in sections A, B, and C below, of the requested exemptions is appropriate in and the most significant aspects of such Tracking Fund Shares. consistent with the public interest and consistent Proposed Rule 14.11(m)(2)(E) statements. with the protection of investors and the purposes fairly intended by the policy and provisions of the provides that if the investment adviser A. Self-Regulatory Organization’s Act. It is further found that the terms of the to the Investment Company issuing Statement of the Purpose of, and proposed transactions, including the consideration Tracking Fund Shares is registered as a Statutory Basis for, the Proposed Rule to be paid or received, are reasonable and fair and do not involve overreaching on the part of any broker-dealer or is affiliated with a Change person concerned, and that the proposed broker-dealer, such investment adviser transactions are consistent with the policy of each will erect and maintain a ‘‘fire wall’’ 1. Purpose registered investment company concerned and with between the investment adviser and This Amendment No. 1 to SR– the general purposes of the Act.’’ The Exchange notes that it also referred to the application for personnel of the broker-dealer or broker- CboeBZX–2019–107 amends and exemptive relief orders (collectively, with the dealer affiliate, as applicable, with replaces in its entirety the proposal as Application, the ‘‘Applications’’) and notices respect to access to information originally submitted on December 12, thereof (collectively, with the Notice, the ‘‘Notices’’) concerning the composition of and/or 2019. The Exchange submits this for T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. (File No. 812–14214 and changes to the Fund Portfolio and/or the Amendment No. 1 in order to clarify Investment Company Act Release Nos. 33685 and Proxy Basket. Any person related to the certain points and add additional details 33713), Natixis ETF Trust II, et al. (File No. 812– investment adviser or Investment to the proposal. 14870 and Investment Company Act Release Nos. Company who makes decisions The Exchange proposes to add new 33684 and 33711), Blue Tractor ETF Trust and Blue pertaining to the Investment Company’s 9 Tractor Group, LLC (File No. 812–14625 and Rule 14.11(m) for the purpose of Investment Company Act Release Nos. 33682 and Fund Portfolio or has access to 33710), and Gabelli ETFs Trust, et al. (File No. 812– information regarding the Fund 8 15 U.S.C. 78s(b)(2)(B). 15036 and Investment Company Act Release Nos. Portfolio or changes thereto or the Proxy 9 The Exchange notes that it is proposing new 33681 and 33708). While there are certain Rule 14.11(m) because it has also proposed a new differences between the applications, the Exchange Basket must be subject to procedures Rule 14.11(k) and new Rule 14.11(l) under two believes that each would qualify as Tracking Fund designed to prevent the use and separate proposals. See Securities Exchange Act Shares under proposed Rule 14.11(m). dissemination of material nonpublic

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information regarding the Fund means the identities and quantities of maintain, or be subject to, procedures Portfolio or changes thereto or the Proxy the securities and other assets included designed to prevent the use and Basket. in a basket that is designed to closely dissemination of material non-public Proposed Rule 14.11(m)(2)(F) track the daily performance of the Fund information regarding the actual provides that a person or entity, Portfolio, as provided in the exemptive components of the Proxy Basket; (ii)(a) including a custodian, Reporting relief under the 1940 Act applicable to the Fund Portfolio will at a minimum be Authority, distributor, or administrator, a series of Tracking Fund Shares. The publicly disclosed within at least 60 who has access to information regarding Proxy Basket also serves as the creation days following the end of every fiscal the Fund Portfolio or changes thereto or and redemption basket for a series of quarter and will be made available to all the Proxy Basket, must be subject to Tracking Fund Shares. The Proxy Basket market participants at the same time; procedures designed to prevent the use will be constructed as provided in the and (b) the Reporting Authority that and dissemination of material applicable exemptive relief under the provides the Fund Portfolio must nonpublic information regarding the 1940 Act and will be fully described in implement and maintain, or be subject applicable Fund Portfolio or changes the proposal required under Rule to, procedures designed to prevent the thereto or the Proxy Basket. Moreover, 14.11(m)(2)(A). The website for each use and dissemination of material non- if any such person or entity is registered series of Tracking Fund Shares shall public information regarding the actual as a broker-dealer or affiliated with a disclose the following information components of the Fund Portfolio; (iii) broker-dealer, such person or entity will regarding the Proxy Basket as required upon termination of an Investment erect and maintain a ‘‘fire wall’’ under this Rule 14.11(m), to the extent Company, the Exchange requires that between the person or entity and the applicable: (i) Ticker symbol; (ii) CUSIP Tracking Fund Shares issued in broker-dealer with respect to access to or other identifier; (iii) Description of connection with such entity be removed information concerning the composition the holding; (iv) Identity of the security, from listing on the Exchange; and (iv) and/or changes to such Fund Portfolio commodity, index, or other asset upon voting rights shall be as set forth in the or Proxy Basket. which the derivative is based; (v) The applicable Investment Company Proposed Rule 14.11(m)(3)(B) strike price for any options; (vi) The prospectus or Statement of Additional provides that the term ‘‘Fund Portfolio’’ quantity of each security or other asset Information. means the identities and quantities of held as measured by: (a) Par value; (b) Additionally, proposed Rule the securities and other assets held by Notional value; (c) Number of shares; (d) 14.11(m)(4)(B)(iii) provides that the the Investment Company that will form Number of contracts; (e) Number of Exchange will consider the suspension the basis for the Investment Company’s units; (vii) Maturity date; (viii) Coupon of trading in and will commence calculation of net asset value at the end rate; (ix) Effective date; (x) Market value; delisting proceedings for a series of of the business day. and (xi) Percentage weighting of the Tracking Fund Shares pursuant to Rule Proposed Rule 14.11(m)(3)(C) holding in the portfolio. 14.12 under any of the following provides that the term ‘‘Reporting Proposed Rule 14.11(m)(4)(A) circumstances: (a) If, following the Authority’’ in respect of a particular provides the initial listing criteria for a initial twelve-month period after series of Tracking Fund Shares means series of Tracking Fund Shares, which commencement of trading on the the Exchange, an institution, or a include the following: (A) Each series of Exchange of a series of Tracking Fund reporting service designated by the Tracking Fund Shares will be listed and Shares, there are fewer than 50 Exchange or by the exchange that lists traded on the Exchange subject to beneficial holders of the series of a particular series of Tracking Fund application of the following initial Tracking Fund Shares for 30 or more Shares (if the Exchange is trading such listing criteria: (i) For each series, the consecutive trading days; (b) if either series pursuant to unlisted trading Exchange will establish a minimum the Proxy Basket or Fund Portfolio is privileges) as the official source for number of Tracking Fund Shares not made available to all market calculating and reporting information required to be outstanding at the time of participants at the same time; (c) if the relating to such series, including, but commencement of trading on the Investment Company issuing the not limited to, the Proxy Basket; the Exchange; (ii) the Exchange will obtain Tracking Fund Shares has failed to file Fund Portfolio; the amount of any cash a representation from the issuer of each any filings required by the Commission distribution to holders of Tracking Fund series of Tracking Fund Shares that the or if the Exchange is aware that the Shares, net asset value, or other net asset value per share for the series Investment Company is not in information relating to the issuance, will be calculated daily and that each of compliance with the conditions of any redemption or trading of Tracking Fund the following will be made available to exemptive order or no-action relief Shares. A series of Tracking Fund all market participants at the same time granted by the Commission or the Shares may have more than one when disclosed: The net asset value, the Commission Staff under the 1940 Act to Reporting Authority, each having Proxy Basket, and the Fund Portfolio; the Investment Company with respect to different functions. and (iii) all Tracking Fund Shares shall the series of Tracking Fund Shares; (d) Proposed Rule 14.11(m)(3)(D) have a stated investment objective, if any of the requirements set forth in provides that the term ‘‘Normal Market which shall be adhered to under Normal this rule are not continuously Conditions’’ includes, but is not limited Market Conditions. maintained; (e) if any of the applicable to, the absence of trading halts in the Proposed Rule 14.11(m)(4)(B) Continued Listing Representations for applicable financial markets generally; provides that each series of Tracking the issue of Tracking Fund Shares are operational issues (e.g., systems failure) Fund Shares will be listed and traded not continuously met; or (f) if such other causing dissemination of inaccurate on the Exchange subject to application event shall occur or condition exists market information; or force majeure of the following continued listing which, in the opinion of the Exchange, type events such as natural or manmade criteria: (i)(a) The Proxy Basket will be makes further dealings on the Exchange disaster, act of God, armed conflict, act disseminated at least once daily and inadvisable. of terrorism, riot or labor disruption or will be made available to all market Proposed Rule 14.11(m)(5) provides any similar intervening circumstance. participants at the same time; and (b) that Neither the Exchange, the Reporting Proposed Rule 14.11(m)(3)(E) the Reporting Authority that provides Authority, when the Exchange is acting provides that the term ‘‘Proxy Basket’’ the Proxy Basket must implement and in the capacity of a Reporting Authority,

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nor any agent of the Exchange shall making specific reference to a series of way.12 A series of Tracking Fund Shares have any liability for damages, claims, Tracking Fund Shares as an investment will disclose the Proxy Basket on a daily losses or expenses caused by any errors, vehicle must include a statement in basis which, as described above, is omissions, or delays in calculating or substantially the following form: ‘‘A designed to closely track the disseminating any current portfolio circular describing the terms and performance of the holdings of the value; the current value of the portfolio characteristics of (the series of Tracking Investment Company, instead of the of securities required to be deposited to Fund Shares) has been prepared by the actual holdings of the Investment the open-end management investment (open-end management investment Company, as provided by a series of company in connection with issuance of company name) and is available from Managed Fund Shares.13 Tracking Fund Shares; the amount of your broker. It is recommended that you For the arbitrage mechanism for any any dividend equivalent payment or obtain and review such circular before ETF to function effectively, authorized cash distribution to holders of Tracking purchasing (the series of Tracking Fund participants, arbitrageurs, and other Fund Shares; net asset value; or other Shares).’’ A member carrying an market participants (collectively, information relating to the purchase, omnibus account for a non-member ‘‘Market Makers’’) need sufficient redemption, or trading of Tracking Fund broker-dealer is required to inform such information to accurately value shares Shares, resulting from any negligent act non-member that execution of an order of a fund to transact in both the primary or omission by the Exchange, the to purchase a series of Tracking Fund and secondary market. The Proxy Reporting Authority when the Exchange Shares for such omnibus account will be Basket, constructed as provided in the is acting in the capacity of a Reporting deemed to constitute agreement by the applicable exemptive relief, is designed Authority, or any agent of the Exchange, non-member to make such written to closely track the daily performance of or any act, condition, or cause beyond description available to its customers on the Fund Portfolio. the reasonable control of the Exchange, the same terms as are directly applicable Given the correlation between the its agent, or the Reporting Authority, to members under this rule. Upon Proxy Basket and the Fund Portfolio,14 when the Exchange is acting in the request of a customer, a member shall capacity of a Reporting Authority, also provide a prospectus for the 12 The Exchange notes that there are two particular series of Tracking Fund additional differences between proposed Rule including, but not limited to, an act of 14.11(m) and Rule 14.11(i): (i) Proposed Rule God; fire; flood; extraordinary weather Shares. 14.11(m) would require a rule filing under Section conditions; war; insurrection; riot; Proposed Rule 14.11(m)(7) provides 19(b) prior to listing any product on the Exchange strike; accident; action of government; that if the investment adviser to the meaning that no series of Tracking Fund Shares could be listed on the Exchange pursuant to Rule communications or power failure; Investment Company issuing Tracking Fund Shares is affiliated with a broker- 19b–4(e) and there are no proposed rules equipment or software malfunction; or comparable to the quantitative portfolio holdings any error, omission, or delay in the dealer, such investment adviser shall standards from Rule 14.11(i); and (ii) proposed Rule reports of transactions in one or more erect and maintain a ‘‘fire wall’’ 14.11(m) would not require the dissemination of an intraday indicative value. The Exchange has underlying securities. between the investment adviser and the broker-dealer with respect to access to submitted a proposal to eliminate the requirement for series of Managed Fund Shares and generally Proposed Rule 14.11(m)(6) provides information concerning the composition that the provisions of this subparagraph agrees with the Commission’s sentiment that the and/or changes to such Investment intraday indicative value is not necessary to apply only to series of Tracking Fund Company portfolio and Proxy Basket. support the arbitrage mechanism. See SR– Shares that are the subject of an order Personnel who make decisions on the CboeBZX–2019–104 and Investment Company Act Release No. 10695 (October 24, 2019) (84 FR by the Commission exempting such Investment Company’s portfolio series from certain prospectus delivery 57162). composition and/or Proxy Basket must 13 requirements under Section 24(d) of the Proposed Rule 14.11(m)(4)(B)(iii) will, be subject to procedures designed to however, require each series of Tracking Fund Investment Company Act of 1940 (the prevent the use and dissemination of Shares to at a minimum disclose the entirety of its ‘‘1940 Act’’) and are not otherwise portfolio holdings within at least 60 days following material nonpublic information the end of every fiscal quarter in accordance with subject to prospectus delivery regarding the applicable Investment requirements under the Securities Act of normal disclosure requirements otherwise Company portfolio and/or Proxy Basket. applicable to open-end investment companies 1933. The Exchange will inform its registered under the 1940 Act. members regarding application of these Policy Discussion—Proposed Rule Form N–PORT requires reporting of a fund’s provisions of this subparagraph to a 14.11(m) complete portfolio holdings on a position-by- particular series of Tracking Fund position basis on a quarterly basis within 60 days The purpose of the structure of after fiscal quarter end. Investors can obtain a Shares by means of an information Tracking Fund Shares is to provide fund’s Statement of Additional Information, its circular prior to commencement of investors with the traditional benefits of Shareholder Reports, its Form N–CSR, filed twice trading in such series. The Exchange ETFs 11 while protecting funds from the a year, and its Form N–CEN, filed annually. A requires that members provide to all fund’s SAI and Shareholder Reports are available potential for front running or free riding free upon request from the Investment Company, purchasers of a series of Tracking Fund of portfolio transactions, which could and those documents and the Form N–PORT, Form Shares a written description of the terms adversely impact the performance of a N–CSR, and Form N–CEN may be viewed on-screen and characteristics of those securities, in fund. While each series of Tracking or downloaded from the Commission’s website at a form prepared by the open-end www.sec.gov. Fund Shares will be actively managed 14 As provided in the Notices, funds and their management investment company and, to that extent, similar to Managed respective advisers will take remedial actions as issuing such securities, not later than Fund Shares (as defined in Rule necessary if the funds do not function as the time a confirmation of the first 14.11(i)), Tracking Fund Shares differ anticipated. For the first three years after a launch, transaction in such series is delivered to a fund will establish certain thresholds for its level from Managed Fund Shares in one key of tracking error, premiums/discounts, and spreads, such purchaser. In addition, members so that, upon the fund’s crossing a threshold, the shall include such a written description 11 For purposes of this filing, the term ETF will adviser will promptly call a meeting of the fund’s with any sales material relating to a include only Portfolio Depositary Receipts as board of directors and will present the board or series of Tracking Fund Shares that is defined in Rule 14.11(b), Index Fund Shares as committee with recommendations for appropriate defined in Rule 14.11(c), and Managed Fund Shares remedial measures. The board would then consider provided to customers or the public. as defined in Rule 14.11(i), along with the the continuing viability of the fund, whether Any other written materials provided by equivalent products defined in the rules of other shareholders are being harmed, and what, if any, a member to customers or the public national securities exchanges. Continued

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the Exchange believes that the Proxy the market may be limited, such ETFs provide sufficient safeguards to prevent Basket would serve as a pricing signal have generally maintained an effective such leakage and misuse of information. to identify arbitrage opportunities when arbitrage mechanism and traded The Exchange believes that these its value and the secondary market price efficiently. proposed rules are designed to prevent of the shares of a series of Tracking As provided in the Notice, the fraudulent and manipulative acts and Fund Shares diverge. If shares began Commission believes that an arbitrage practices related to the listing and trading at a discount to the Proxy mechanism based largely on the trading of Tracking Fund Shares Basket, an authorized participant could combination of a daily disclosed Proxy because they provide meaningful purchase the shares in secondary market Basket and at a minimum quarterly requirements about both the data that transactions and, after accumulating disclosure of the Fund Portfolio can will be made publicly available about enough shares to comprise a creation work in an efficient manner to maintain the Shares as well as the information unit,15 redeem them in exchange for a a fund’s secondary market prices close that will only be available to certain redemption basket reflecting the Net to its NAV.16 Consistent with the parties and the controls on such Asset Value (‘‘NAV’’) per share of the Commission’s view, the Exchange information. Specifically, the Exchange Fund Portfolio. The purchases of shares believes that because the arbitrage believes that the requirements related to would reduce the supply of shares in mechanism for Tracking Fund Shares information protection enumerated the market, and thus tend to drive up will be sufficient to keep secondary under proposed Rule 14.11(m)(2)(F) will the shares’ market price closer to the market prices in line with NAV and act as a strong safeguard against any fund’s NAV. Alternatively, if shares are because the proposed rules are except as misuse and improper dissemination of trading at a premium, the transactions described above nearly identical to the information related to a Fund Portfolio, in the arbitrage process are reversed. generic listing standards for Managed the Proxy Basket, or changes thereto. Market Makers also can engage in Fund Shares, proposed Rule 14.11(m) is The requirement that any person or arbitrage without using the creation or consistent with the Act. entity implement procedures to prevent redemption processes. For example, if a The Exchange notes that a significant the use and dissemination of material fund is trading at a premium to the amount of information about each fund nonpublic information regarding the Proxy Basket, Market Makers may sell and its Fund Portfolio is publicly Fund Portfolio or Proxy Basket will act shares short and take a long position in available at all times. Each series will to prevent any individual or entity from the Proxy Basket securities, wait for the disclose the Proxy Basket, which is sharing such information externally and trading prices to move toward parity, designed to closely track the daily the internal ‘‘fire wall’’ requirements and then close out the positions in both performance of the Fund Portfolio, on a applicable where an entity is a the shares and the securities, to realize daily basis. Each series of Tracking registered broker-dealer or affiliated a profit from the relative movement of Fund Shares will at a minimum with a broker-dealer will act to make their trading prices. Similarly, a Market publicly disclose the entirety of its sure that no entity will be able to misuse Maker could buy shares and take a short portfolio holdings, including the name, the data for their own purposes. As position in the Proxy Basket securities identifier, market value and weight of such, the Exchange believes that this in an attempt to profit when shares are each security and instrument in the proposal is designed to prevent trading at a discount to the Proxy portfolio within at least 60 days fraudulent and manipulative acts and Basket. following the end of every fiscal quarter practices. in a manner consistent with normal Overall, the Exchange believes that Surveillance the arbitrage process would operate disclosure requirements otherwise similarly to the arbitrage process in applicable to open-end investment The Exchange believes that its place today for existing ETFs that use companies registered under the 1940 surveillance procedures are adequate to in-kind baskets for creations and Act. The website will include additional properly monitor the trading of Tracking redemptions that do not reflect the quantitative information updated on a Fund Shares on the Exchange during all ETF’s complete holdings but daily basis, including, on a per Share trading sessions and to deter and detect nonetheless produce performance that is basis for each Fund, the prior Business violations of Exchange rules and the highly correlated to the performance of Day’s NAV and the Closing Price or Bid/ applicable federal securities laws. the ETF’s actual portfolio. The Exchange Ask Price at the time of calculation of Trading of Tracking Fund Shares has observed highly efficient trading of such NAV, and a calculation of the through the Exchange will be subject to ETFs that invest in markets where premium or discount of the Closing the Exchange’s surveillance procedures security values are not fully known at Price or Bid/Ask Price against such for derivative products. The Exchange the time of ETF trading, and where a NAV. The website will also disclose any will require the issuer of each series of perfect hedge is not possible, such as information regarding the bid/ask Tracking Fund Shares listed on the international equity and fixed-income spread for each Fund as may be required Exchange to represent to the Exchange that it will advise the Exchange of any ETFs. While the ability to value and for other ETFs under Rule 6c–11 under failure by a Fund to comply with the hedge many of these existing ETFs in the 1940 Act, as amended. While not providing daily disclosure continued listing requirements, and, pursuant to its obligations under action would be appropriate. Specifically, the of the Fund Portfolio could open the Applications and Notices provide that such a door to potential information leakage Section 19(g)(1) of the Exchange Act, the meeting would occur: (1) If the tracking error and misuse of material non-public Exchange will surveil for compliance exceeds 1%; or (2) if, for 30 or more days in any information, the Exchange believes that with the continued listing requirements. quarter or 15 days in a row (a) the absolute If a Fund is not in compliance with the difference between either the market closing price proposed Rules 14.11(m)(2)(E) and (F) or bid/ask price, on one hand, and NAV, on the applicable listing requirements, the other, exceeds 2%, or (b) the bid/ask spread exceeds 16 See Notice at 17. The Commission also notes Exchange will commence delisting 2%. that as long as arbitrage continues to keep the procedures under Exchange Rule 14.12. 15 Tracking Fund Shares will be purchased or Fund’s secondary market price and NAV close, and In addition, the Exchange also has a redeemed only in large aggregations, or ‘‘creation does so efficiently so that spreads remain narrow, units,’’ and the Proxy Basket will constitute the that investors would benefit from the opportunity general policy prohibiting the names and quantities of instruments for both to invest in active strategies through a vehicle that distribution of material, non-public purchases and redemptions of Creation Units. offers the traditional benefits of ETFs. information by its employees.

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As noted in proposed Rule last sale information for the Shares will Fidelity Management & Research 14.11(m)(2)(D), the Investment be available via the Consolidated Tape Company or FMR Co., Inc. (the Company’s investment adviser will Association (‘‘CTA’’) high-speed line. ‘‘Adviser’’) will be the investment upon request make available to the adviser to the Funds. The Adviser is not Trading Rules Exchange and/or FINRA, on behalf of registered as a broker-dealer, but is the Exchange, the daily portfolio The Exchange deems Tracking Fund affiliated with numerous broker-dealers. holdings of each series of Managed Shares to be equity securities, thus The Adviser represents that a fire wall Portfolio Shares. The Exchange believes rendering trading in the Shares subject exists and will be maintained between that this is appropriate because it will to the Exchange’s existing rules the respective personnel at the Adviser provide the Exchange or FINRA, on governing the trading of equity and affiliated broker-dealers with behalf of the Exchange, with access to securities. As provided in proposed respect to access to information the daily Fund Portfolio of any series of Rule 14.11(m)(2)(C), the minimum price concerning the composition and/or Tracking Fund Shares upon request on variation for quoting and entry of orders changes to each Fund’s portfolio and an as needed basis. The Exchange in securities traded on the Exchange is Proxy Basket. Personnel who make believes that the ability to access the $0.01. decisions on a Fund’s portfolio information on an as needed basis will Information Circular composition and/or Proxy Basket shall provide it with sufficient information to be subject to procedures designed to perform the necessary regulatory Prior to the commencement of trading prevent the use and dissemination of functions associated with listing and of a series of Tracking Fund Shares, the material non-public information trading series of Tracking Fund Shares Exchange will inform its members in an regarding such portfolio and/or Proxy on the Exchange, including the ability to Information Circular (‘‘Circular’’) of the Basket. The Funds’ sub-advisers, FMR monitor compliance with the initial and special characteristics and risks Investment Management (UK) Limited, continued listing requirements as well associated with trading the Shares. Fidelity Management & Research (Hong as the ability to surveil for manipulation Specifically, the Circular will discuss Kong) Limited, and Fidelity of the shares. the following: (1) The procedures for Management & Research (Japan) Limited purchases and redemptions of Shares; (each a ‘‘Sub-Adviser’’ and, collectively, Trading Halts (2) BZX Rule 3.7, which imposes the ‘‘Sub-Advisers’’), are not registered As described above, proposed Rule suitability obligations on Exchange as a broker-dealer but are affiliated with 14.11(m)(4)(B)(iv) provides that if the members with respect to recommending numerous broker-dealers. Sub-Adviser Exchange becomes aware that one of the transactions in the Shares to customers; personnel who make decisions following is not being made available to (3) how information regarding the Proxy regarding a Fund’s portfolio and/or all market participants at the same time, Basket is disseminated; (4) the Proxy Basket are subject to procedures respectively: The net asset value, the requirement that members deliver a designed to prevent the use and Proxy Basket, or the Fund Portfolio with prospectus to investors purchasing dissemination of material nonpublic respect to a series of Tracking Fund newly issued Shares prior to or information regarding the Fund’s Shares; then the Exchange will halt concurrently with the confirmation of a portfolio and/or Proxy Basket. In the trading in such series until such time as transaction; (5) trading information; and event that (a) the Adviser or a Sub- the net asset value, the Proxy Basket, or (6) that the Fund Portfolio of the Shares Adviser becomes registered as a broker- the Fund Portfolio is available to all are not disclosed on a daily basis. dealer or newly affiliated with a broker- market participants, as applicable. In addition, the Circular will dealer; or (b) any new adviser or sub- reference that Funds are subject to Availability of Information adviser is a registered broker-dealer or various fees and expenses described in becomes newly affiliated with a broker- As noted above, Form N–PORT the Registration Statement. The Circular dealer; it will implement and maintain requires reporting of a fund’s complete will discuss any exemptive, no-action, a fire wall with respect to its relevant portfolio holdings on a position-by- and interpretive relief granted by the personnel or such broker-dealer affiliate, position basis on a quarterly basis Commission from any rules under the as applicable, regarding access to within 60 days after fiscal quarter end. Act. The Circular will also disclose that information concerning the composition Investors can obtain a fund’s Statement the NAV for the Shares will be and/or changes to the portfolio and/or of Additional Information, its calculated after 4:00 p.m., E.T. each Proxy Basket, and will be subject to Shareholder Reports, its Form N–CSR, trading day. procedures designed to prevent the use filed twice a year, and its Form N–CEN, The Shares and dissemination of material non- filed annually. A fund’s SAI and public information regarding such Shareholder Reports are available free The Shares are offered by the Trust, which is organized as a business trust portfolio and/or Proxy Basket. Each upon request from the Investment Fund intends to qualify each year as a Company, and those documents and the under the laws of The Commonwealth of Massachusetts. The Trust is registered regulated investment company under Form N–PORT, Form N–CSR, and Form Subchapter M of the Internal Revenue N–CEN may be viewed on-screen or with the Commission as an open-end investment company and will file a Code of 1986, as amended. downloaded from the Commission’s The Shares will conform to the initial registration statement on behalf of the website at www.sec.gov. and continued listing criteria under Funds on Form N–1A (‘‘Registration Information regarding market price Rule 14.11(l) as well as all terms in the Statement’’) with the Commission.17 and trading volume of the Shares will be Exemptive Order. The Exchange continually available on a real-time represents that, for initial and/or 17 The Trust intends to file a post-effective basis throughout the day on brokers’ amendment to the Registration Statement in the continued listing, each Fund will be in computer screens and other electronic near future. The descriptions of the Funds and the compliance with Rule 10A–3 under the services. Information regarding the Shares contained herein are based, in part, on Act.18 A minimum of 100,000 Shares of previous day’s closing price and trading information that will be included in the each Fund will be outstanding at the Registration Statement. The Commission has issued volume information for the Shares will an order granting certain exemptive relief to the commencement of trading on the be published daily in the financial Trust under the Investment Company Act of 1940 section of newspapers. Quotation and (15 U.S.C. 80a–1). 18 See 17 CFR 240.10A–3.

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Exchange. The Exchange will obtain a Fund will not invest in derivative The Exchange notes that the Fund’s representation from the issuer of the instruments or enter into short holdings will meet the generic listing Shares of each Fund that the NAV per positions.21 standards applicable to series of share of each Fund will be calculated The Exchange notes that the Fund’s Managed Fund Shares under Rule daily and will be made available to all holdings will meet the generic listing 14.11(i)(4)(C). While such standards do market participants at the same time. standards applicable to series of not apply directly to series of Tracking Fund Shares, the Exchange believes that Fidelity Blue Chip Value ETF Managed Fund Shares under Rule 14.11(i)(4)(C). While such standards do the overarching policy issues related to Notwithstanding the following not apply directly to series of Tracking liquidity, market cap, diversity, and description, the Fund’s holdings will Fund Shares, the Exchange believes that concentration of portfolio holdings that conform to the permissible investments the overarching policy issues related to Rule 14.11(i)(4)(C) is intended to as set forth in the Application and liquidity, market cap, diversity, and address are equally applicable to series Order. The Fund seeks long-term growth concentration of portfolio holdings that of Tracking Fund Shares. of capital. In order to achieve its Rule 14.11(i)(4)(C) is intended to investment objective, under Normal Fidelity New Millennium ETF address are equally applicable to series Market Conditions, the Fund will invest Notwithstanding the following of Tracking Fund Shares. at least 80% of its assets in: (i) Blue chip description, the Fund’s holdings will companies (companies whose stock is Fidelity Blue Chip Growth ETF conform to the permissible investments included in the S&P 500® Index or the as set forth in the Application and Notwithstanding the following Dow Jones Industrial AverageSM Order. The Fund seeks long-term growth description, the Fund’s holdings will (DJIASM), and companies with market of capital. In order to achieve its capitalizations of at least $1 billion if conform to the permissible investments investment objective, under Normal not included in either index); (ii) as set forth in the Application and Market Conditions, the Fund will companies that the Adviser believes are Order. The Fund seeks long-term growth primarily invest in (i) companies that undervalued in the marketplace in of capital. In order to achieve its may benefit from opportunities created relation to factors such as assets, sales, investment objective, under Normal by long-term changes in the marketplace earnings, growth potential, or cash flow, Market Conditions, the Fund will invest by examining technological advances, or in relation to securities of other at least 80% of its assets in: (i) Blue chip product innovation, economic plans, companies in the same industry (stocks companies (companies whose stock is demographics, social attitudes, and ® of these companies are often called included in the S&P 500 Index or the other factors, which can lead to ‘‘value’’ stocks) listed on a U.S. national Dow Jones Industrial AverageSM investments in small and medium-sized securities exchange or a foreign (DJIASM), and companies with market companies; (ii) both ‘‘growth’’ and exchange that trade on such exchange capitalizations of at least $1 billion if ‘‘value’’ stocks based on fundamental contemporaneously with the Fund’s not included in either index) (ii) analysis of factors such as each issuer’s Shares; and (ii) cash and Cash companies that the Adviser believes financial condition and industry Equivalents.19 have above-average growth potential position, as well as market and The Fund may also invest the Fund’s (stocks of these companies are often economic conditions that are listed on assets in other securities and financial called ‘‘growth’’ stocks) that are listed a U.S. national securities exchange or a instruments, as summarized below. on a U.S. national securities exchange or foreign exchange that trade on such Under Normal Market Conditions, the a foreign exchange that trade on such exchange contemporaneously with the Fund may invest up to 5% of its assets exchange contemporaneously with the Fund’s Shares; and (iii) cash and Cash in U.S. exchange-traded index futures. Fund’s Shares; and (iii) cash and Cash Equivalents. The Fund may invest in ETFs to Equivalents. The Fund may also invest the Fund’s facilitate creations and redemptions The Fund may also invest the Fund’s assets in other securities and financial using the Proxy Basket, as defined assets in other securities and financial instruments, as summarized below. above.20 Except as described above, the instruments, as summarized below. Under Normal Market Conditions, the Under Normal Market Conditions, the Fund may invest up to 5% of its assets 19 For purposes of this proposal and as defined in Fund may invest up to 5% of its assets in U.S. exchange-traded index futures. Rule 14.11(i)(4)(C)(iii), Cash Equivalents are short- in U.S. exchange-traded index futures The Fund may invest in ETFs to term instruments with maturities of less than three facilitate creations and redemptions months that are: (i) U.S. Government securities, The Fund may invest in ETFs to including bills, notes, and bonds differing as to facilitate creations and redemptions using the Proxy Basket, as defined maturity and rates of interest, which are either using the Proxy Basket, as defined above. Except as described above, the issued or guaranteed by the U.S. Treasury or by U.S. Fund will not invest in derivative Government agencies or instrumentalities; (ii) above. Except as described above, the Fund will not invest in derivative instruments or enter into short certificates of deposit issued against funds 23 deposited in a bank or savings and loan association; instruments or enter into short positions. (iii) bankers acceptances, which are short-term positions.22 The Exchange notes that the Fund’s credit instruments used to finance commercial holdings will meet the generic listing transactions; (iv) repurchase agreements and reverse standards applicable to series of repurchase agreements; (v) bank time deposits, about the types of instruments in which the Fund which are monies kept on deposit with banks or invests given that Representative ETFs will Managed Fund Shares under Rule savings and loan associations for a stated period of themselves invest in the types of securities 14.11(i)(4)(C). While such standards do time at a fixed rate of interest; (vi) commercial included in the Fund’s portfolio. not apply directly to series of Tracking paper, which are short-term unsecured promissory 21 The Adviser notes that the Fund may by virtue Fund Shares, the Exchange believes that notes; and (vii) money market funds. of its holdings be issued warrants and rights. The the overarching policy issues related to 20 Given that the Tracking Basket would normally Fund will not purchase such instruments and will serve as a Fund’s Creation Basket, a Fund may dispose of such holdings as the Adviser determines liquidity, market cap, diversity, and acquire Representative ETFs to create or redeem is in the best interest of the Fund’s shareholders. Shares. A Fund would not hold Representative 22 The Adviser notes that the Fund may by virtue 23 The Adviser notes that the Fund may by virtue ETFs for investment purposes. While the Adviser of its holdings be issued warrants and rights. The of its holdings be issued warrants and rights. The will not hold Representative ETFs in a Fund’s Fund will not purchase such instruments and will Fund will not purchase such instruments and will portfolio for investment purposes, Representative dispose of such holdings as the Adviser determines dispose of such holdings as the Adviser determines ETFs will nonetheless convey accurate information is in the best interest of the Fund’s shareholders. is in the best interest of the Fund’s shareholders.

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concentration of portfolio holdings that and the Fund), turnover cost, and basket Rule 14.11(i)(4)(C) is intended to Rule 14.11(i)(4)(C) is intended to creation cost.25 Typically, the Proxy address are equally applicable to series address are equally applicable to series Basket is expected to be rebalanced on of Tracking Fund Shares and, as such, of Tracking Fund Shares. schedule with the public disclosure of any such concerns related to the the Fund’s holdings; however, a new portfolio are mitigated. Proxy Basket for the Proposed Funds optimized Proxy Basket may be Separately and in addition to the For the Funds, the Proxy Basket will generated as frequently as daily, and rationale supporting the arbitrage consist of a combination of the Fund’s therefore, rebalancing may occur more mechanism for Tracking Fund Shares recently disclosed portfolio holdings frequently at the Adviser’s discretion. In more broadly above, the Exchange also and representative ETFs. ETFs selected determining whether to rebalance a new believes that the particular instruments for inclusion in the Proxy Basket will be optimized Proxy Basket, the Adviser that may be included in each Fund’s consistent with the Fund’s objective and will consider various factors, including portfolio and Proxy Basket do not raise selected based on certain criteria, liquidity of the securities in the Proxy any concerns related to the Proxy including, but not limited to, liquidity, Basket, tracking error, and the cost to Baskets being able to closely track the assets under management, holding create and trade the Proxy Basket.26 For NAV of the Funds because such limits and compliance considerations. example, if the Adviser determines that instruments include only instruments Representative ETFs can provide a a new Proxy Basket would reduce the that trade on an exchange useful mechanism to reflect a Fund’s variability of return differentials contemporaneously with the Shares. In holdings’ exposures within the Proxy between the Proxy Basket and the Fund addition, a Fund’s Proxy Basket will be Basket without revealing a Fund’s exact when balanced against the cost to trade optimized so that it reliably and positions.24 The Exchange notes that the new Proxy Basket, rebalancing may consistently correlates to the each Fund’s NAV will form the basis for be appropriate. The Adviser will performance of the Fund. The Notice creations and redemptions for the Funds periodically review the Proxy Basket specifically states that ‘‘in order to and creations and redemptions will parameters and Proxy Basket facilitate arbitrage, each Fund’s portfolio work in a manner substantively performance and process. and Tracking Basket will only include identical to that of series of Managed As noted above, each Fund will also certain securities that trade on an Fund Shares. The Adviser expects that disclose the entirety of its portfolio exchange contemporaneously with the the Shares of the Funds will generally holdings, including the name, identifier, Fund’s Shares. Because the securities be created and redeemed in-kind, with market value and weight of each would be exchange traded, market limited exceptions. The names and security and instrument in the portfolio, participants would be able to accurately quantities of the instruments that at a minimum within at least 60 days price and readily trade the securities in constitute the basket of securities for following the end of every fiscal quarter. the Tracking Basket for purposes of creations and redemptions will be the As described above, the Exchange notes assessing the intraday value of the same as a Fund’s Proxy Basket, except that the concept of the Proxy Basket Fund’s portfolio holdings and to hedge to the extent purchases and redemptions employed under this structure is their positions in the Fund’s Shares.’’ 27 are made entirely or in part on a cash designed to provide investors with the The Exchange and Adviser agree with basis. In the event that the value of the traditional benefits of ETFs while the Commission’s conclusion. Proxy Basket is not the same as a Fund’s protecting the Funds from the potential The Adviser anticipates that the NAV, the creation and redemption for front running or free riding of returns between a Fund and its baskets will consist of the securities portfolio transactions, which could respective Proxy Basket will have a included in the Proxy Basket plus or adversely impact the performance of a consistent relationship and that the minus an amount of cash equal to the Fund. deviation in the returns between a Fund and its Proxy Basket will be sufficiently difference between the NAV and the Policy Discussion—Proposed Funds value of the Proxy Basket, as further small such that the Proxy Basket will described below. As discussed above, each Fund’s provide Market Makers with a reliable The Proxy Basket will be constructed holdings will meet the generic listing hedging vehicle that they can use to utilizing a covariance matrix based on standards applicable to series of effectuate low-risk arbitrage trades in an optimization process to minimize Managed Fund Shares under Rule Fund Shares. The Exchange believes deviations in the return of the Proxy 14.11(i)(4)(C). While such standards do that the disclosures provided by the Basket relative to the Fund. The not apply directly to series of Tracking Funds will allow Market Makers to proprietary optimization process Fund Shares, the Exchange believes that understand the relationship between the mathematically seeks to minimize three the overarching policy issues related to performance of a Fund and its Proxy key parameters that the Adviser believes liquidity, market cap, diversity, and are important to the effectiveness of the concentration of portfolio holdings that 27 The Exchange notes that the instruments enumerated herein are consistent with the Proxy Basket as a hedge: tracking error 25 investable universe contemplated in the Notice. (standard deviation of return Tracking error measures the deviations Specifically, the Notice provides that ‘‘Each Fund between the Proxy Basket and Fund. Turnover cost differentials between the Proxy Basket may invest only in ETFs, Exchange-traded notes, and basket creation cost are measures of the cost to Exchange-traded common stocks, common stocks create and maintain the Proxy Basket as a hedge. listed on a foreign exchange that trade on such 24 The set of ETFs that are ‘‘representative’’ to be 26 The Adviser uses a trading cost model to exchange contemporaneously with the Shares, used in the Proxy Basket will depend on certain develop estimates of costs to trade a new Proxy Exchange-traded preferred stocks, Exchange-traded factors, including the Fund’s investment objective, Basket. There are essentially two elements to this American depositary receipts, Exchange-traded real past holdings, and benchmark, and may change cost: (1) The cost to purchase securities constituting estate investment trusts, Exchange-traded from time to time. For example, a U.S. diversified the Proxy Basket, i.e., the cost to put on the hedge commodity pools, Exchange-traded metals trusts, fund benchmarked to a diversified U.S. index for the Authorized Participant, and (2) the cost of Exchange-traded currency trusts, and exchange- would use liquid U.S. exchange-traded ETFs to any adjustments that need to be made to the traded futures that trade contemporaneously with capture size (large, mid or small capitalization), composition of the Proxy Basket, i.e., the cost to the the Shares, as well as cash and cash equivalents style (growth or value) and/or sector exposures in Authorized Participant to change or maintain the . . . All futures contracts that a Fund may invest the Fund’s portfolio. Leveraged and inverse ETFs hedge position. The inclusion of the trading cost in will be traded on a U.S. futures exchange. For will not be included in the Proxy Basket. ETFs may model in the optimization process is intended to these purposes, an ‘‘Exchange’’ is a national constitute no more than 50% of the Proxy Basket’s result in a Proxy Basket that is cost effective and securities exchange as defined in section 2(a)(26) of assets. liquid without compromising its tracking ability. the [1940] Act.’’ See Notice at 10.

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Basket. Market Makers will be able to securities. Moreover, U.S.-listed equity 2. Statutory Basis estimate the value of and hedge securities held by the Funds will trade The Exchange believes that the positions in a Fund’s Shares, which the on markets that are a member of proposal is consistent with Section 6(b) Exchange believes will facilitate the Intermarket Surveillance Group (‘‘ISG’’) of the Act 29 in general and Section arbitrage process and help ensure that or affiliated with a member of ISG or 6(b)(5) of the Act 30 in particular in that with which the Exchange has in place the Fund’s Shares normally will trade at it is designed to prevent fraudulent and market prices close to their NAV. The a comprehensive surveillance sharing manipulative acts and practices, to Exchange also believes that competitive agreement.28 All futures contracts that promote just and equitable principles of market making, where traders are the Funds may invest in will be traded trade, to foster cooperation and looking to take advantage of differences on a U.S. futures exchange. The coordination with persons engaged in in bid-ask spread, will aid in keeping Exchange or the Financial Industry facilitating transactions in securities, to spreads tight. Regulatory Authority (‘‘FINRA’’), on remove impediments to and perfect the The Exchange notes that a significant behalf of the Exchange, or both, will mechanism of a free and open market amount of information about each fund communicate as needed regarding and a national market system and, in and its Fund Portfolio is publicly trading in the Shares, underlying U.S. general, to protect investors and the available at all times. Each series will exchange-listed equity securities, and disclose the Proxy Basket, which is U.S. exchange-listed futures with other public interest. designed to closely track the daily markets and other entities that are The Exchange believes that proposed performance of the Fund Portfolio, on a members of the Intermarket Rule 14.11(m) is designed to prevent daily basis. Each series of Tracking Surveillance Group (‘‘ISG’’), and the fraudulent and manipulative acts and Fund Shares will at a minimum Exchange or FINRA, on behalf of the practices in that the proposed rules publicly disclose the entirety of its Exchange, or both, may obtain trading relating to listing and trading of portfolio holdings, including the name, information regarding trading such Tracking Fund Shares provide specific identifier, market value and weight of instruments from such markets and initial and continued listing criteria each security and instrument in the other entities. In addition, the Exchange required to be met by such securities. portfolio within at least 60 days may obtain information regarding Proposed Rule 14.11(m)(4)(A) provides following the end of every fiscal quarter trading in the Shares, underlying equity the initial listing criteria for a series of in a manner consistent with normal securities, and U.S. exchange-listed Tracking Fund Shares, which include disclosure requirements otherwise futures from markets and other entities the following: (A) Each series of applicable to open-end investment that are members of ISG or with which Tracking Fund Shares will be listed and companies registered under the 1940 the Exchange has in place a traded on the Exchange subject to Act. The website will include additional comprehensive surveillance sharing application of the following initial quantitative information updated on a agreement. listing criteria: (i) For each series, the daily basis, including, on a per Share All statements and representations Exchange will establish a minimum basis for each Fund, the prior Business made in this filing regarding the number of Tracking Fund Shares Day’s NAV and the Closing Price or Bid/ description of the portfolio or reference required to be outstanding at the time of Ask Price at the time of calculation of assets, limitations on portfolio holdings commencement of trading on the such NAV, and a calculation of the or reference assets, dissemination and Exchange; (ii) the Exchange will obtain premium or discount of the Closing availability of reference asset and a representation from the issuer of each Price or Bid/Ask Price against such intraday indicative values (as series of Tracking Fund Shares that the NAV. The website will also disclose any applicable), or the applicability of net asset value per share for the series information regarding the bid/ask Exchange listing rules specified in this will be calculated daily and that each of spread for each Fund as may be required filing shall constitute continued listing the following will be made available to for other ETFs under Rule 6c–11 under requirements for the Shares. The issuer all market participants at the same time the 1940 Act, as amended. has represented to the Exchange that it when disclosed: The net asset value, the will advise the Exchange of any failure Proxy Basket, and the Fund Portfolio. Additional Information by the Funds or Shares to comply with Proposed Rule 14.11(m)(4)(B) The Exchange represents that the the continued listing requirements, and, provides that each series of Tracking Shares of the Funds will continue to pursuant to its obligations under Fund Shares will be listed and traded comply with all other proposed Section 19(g)(1) of the Act, the Exchange on the Exchange subject to application requirements applicable to Tracking will surveil for compliance with the of the following continued listing Fund Shares, including the continued listing requirements. FINRA criteria: (i)(a) The Proxy Basket will be dissemination of key information such conducts certain cross-market disseminated at least once daily and as the Proxy Basket, the Fund Portfolio, surveillances on behalf of the Exchange will be made available to all market and Net Asset Value, suspension of pursuant to a regulatory services participants at the same time; and (b) trading or removal, trading halts, agreement. The Exchange is responsible the Reporting Authority that provides surveillance, minimum price variation for FINRA’s performance under this the Proxy Basket must implement and for quoting and order entry, the regulatory services agreement. If a Fund maintain, or be subject to, procedures information circular, and firewalls as set is not in compliance with the applicable designed to prevent the use and forth in the proposed Exchange rules listing requirements, the Exchange will dissemination of material non-public applicable to Tracking Fund Shares and commence delisting procedures with information regarding the actual the orders approving such rules. respect to such Fund under Exchange components of the Proxy Basket; (ii)(a) Price information for the exchange- Rule 14.12. the Fund Portfolio will at a minimum be listed instruments held by the Funds, publicly disclosed within at least 60 including both U.S. and non-U.S. listed 28 For a list of the current members of ISG, see days following the end of every fiscal equity securities and U.S. exchange- www.isgportal.com. The Exchange notes that not all quarter and will be made available to all listed futures will be available through components of the Funds may trade on markets that are members of ISG or with which the Exchange has major market data vendors or securities in place a comprehensive surveillance sharing 29 15 U.S.C. 78f. exchanges listing and trading such agreement. 30 15 U.S.C. 78f(b)(5).

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market participants at the same time; Investment Company issuing Tracking Tracking Fund Shares will disclose the and (b) the Reporting Authority that Fund Shares is affiliated with a broker- Proxy Basket on a daily basis which, as provides the Fund Portfolio must dealer, such investment adviser shall described above, is designed to closely implement and maintain, or be subject erect and maintain a ‘‘fire wall’’ track the performance of the holdings of to, procedures designed to prevent the between the investment adviser and the the Investment Company, instead of the use and dissemination of material non- broker-dealer with respect to access to actual holdings of the Investment public information regarding the actual information concerning the composition Company, as provided by a series of components of the Fund Portfolio; (iii) and/or changes to such Investment Managed Fund Shares.32 upon termination of an Investment Company portfolio and Proxy Basket. For the arbitrage mechanism for any Company, the Exchange requires that Personnel who make decisions on the ETF to function effectively, Market Tracking Fund Shares issued in Investment Company’s portfolio Makers need sufficient information to connection with such entity be removed composition and/or Proxy Basket must accurately value shares of a fund to from listing on the Exchange; and (iv) be subject to procedures designed to transact in both the primary and voting rights shall be as set forth in the prevent the use and dissemination of secondary market. The Proxy Basket, applicable Investment Company material nonpublic information constructed as provided in the prospectus or Statement of Additional regarding the applicable Investment applicable exemptive relief, is designed Information. Company portfolio and/or Proxy Basket. to closely track the daily performance of Additionally, proposed Rule The Exchange believes that these the holdings of a series of Tracking 14.11(m)(4)(B)(iii) provides that the proposed rules are designed to prevent Fund Shares. Exchange will consider the suspension fraudulent and manipulative acts and Given the correlation between the of trading in and will commence practices related to the listing and Proxy Basket and the Fund Portfolio,33 delisting proceedings for a series of trading of Tracking Fund Shares the Exchange believes that the Proxy Tracking Fund Shares pursuant to Rule because they provide meaningful Basket would serve as a pricing signal 14.12 under any of the following requirements about both the data that to identify arbitrage opportunities when circumstances: (a) If, following the will be made publicly available about its value and the secondary market price initial twelve-month period after the Shares (the Proxy Basket) as well as of the shares of a series of Tracking commencement of trading on the the information that will only be Fund Shares diverge. If shares began Exchange of a series of Tracking Fund available to certain parties and the trading at a discount to the Proxy Shares, there are fewer than 50 controls on such information. Basket, an authorized participant could beneficial holders of the series of Specifically, the Exchange believes that purchase the shares in secondary market Tracking Fund Shares for 30 or more the requirements related to information consecutive trading days; (b) if either protection enumerated under proposed to support the arbitrage mechanism. See SR– the Proxy Basket or Fund Portfolio is Rule 14.11(m)(7) will act as a strong CboeBZX–2019–104 and Investment Company Act Release No. 10695 (October 24, 2019) (84 FR not made available to all market safeguard against any misuse and 57162). participants at the same time; (c) if the improper dissemination of information 32 Proposed Rule 14.11(m)(4)(B)(ii) will, however, Investment Company issuing the related to the securities included in or require each series of Tracking Fund Shares to at Tracking Fund Shares has failed to file changes made to the Fund Portfolio a minimum disclose the entirety of its portfolio holdings within at least 60 days following the end any filings required by the Commission and/or the Proxy Basket. As such, the of every fiscal quarter in accordance with normal or if the Exchange is aware that the Exchange believes that this proposal is disclosure requirements otherwise applicable to Investment Company is not in designed to prevent fraudulent and open-end investment companies registered under compliance with the conditions of any manipulative acts and practices. the 1940 Act. exemptive order or no-action relief As noted above, the purpose of the Form N–PORT requires reporting of a fund’s complete portfolio holdings on a position-by- granted by the Commission to the structure of Tracking Fund Shares is to position basis on a quarterly basis within 60 days Investment Company with respect to the provide investors with the traditional after fiscal quarter end. Investors can obtain a series of Tracking Fund Shares; (d) if benefits of ETFs while protecting funds fund’s Statement of Additional Information, its any of the requirements set forth in this from the potential for front running or Shareholder Reports, its Form N–CSR, filed twice a year, and its Form N–CEN, filed annually. A rule are not continuously maintained; free riding of portfolio transactions, fund’s SAI and Shareholder Reports are available (e) if any of the applicable Continued which could adversely impact the free upon request from the Investment Company, Listing Representations for the issue of performance of a fund. While each and those documents and the Form N–PORT, Form Tracking Fund Shares are not series of Tracking Fund Shares will be N–CSR, and Form N–CEN may be viewed on-screen or downloaded from the Commission’s website at continuously met; or (f) if such other actively managed and, to that extent, www.sec.gov. event shall occur or condition exists similar to Managed Fund Shares (as 33 As provided in the Notices, funds and their which, in the opinion of the Exchange, defined in Rule 14.11(i)), Tracking Fund respective advisers will take remedial actions as makes further dealings on the Exchange Shares differ from Managed Fund necessary if the funds do not function as Shares in one key way.31 A series of anticipated. For the first three years after a launch, inadvisable. a fund will establish certain thresholds for its level Proposed Rule 14.11(m)(4)(B)(iv) of tracking error, premiums/discounts, and spreads, provides that if the Exchange becomes 31 The Exchange notes that there are two so that, upon the fund’s crossing a threshold, the aware that one of the following is not additional substantive differences between adviser will promptly call a meeting of the fund’s proposed Rule 14.11(m) and Rule 14.11(i): (i) board of directors and will present the board or being made available to all market Proposed Rule 14.11(m) would require a rule filing committee with recommendations for appropriate participants at the same time: the net under Section 19(b) prior to listing any product on remedial measures. The board would then consider asset value, the Proxy Basket, or the the Exchange meaning that no series of Tracking the continuing viability of the fund, whether Fund Portfolio with respect to a series Fund Shares could be listed on the Exchange shareholders are being harmed, and what, if any, pursuant to Rule 19b–4(e) and there are no action would be appropriate. Specifically, the of Tracking Fund Shares; then the proposed rules comparable to the quantitative Applications and Notices provide that such a Exchange will halt trading in such series portfolio holdings standards from Rule 14.11(i); and meeting would occur: (1) If the tracking error until such time as the NAV, the Proxy (ii) proposed Rule 14.11(m) would not require the exceeds 1%; or (2) if, for 30 or more days in any Basket, or the Fund Portfolio is available dissemination of an intraday indicative value. The quarter or 15 days in a row (a) the absolute Exchange has submitted a proposal to eliminate the difference between either the market closing price to all market participants, as applicable. requirement for series of Managed Fund Shares and or bid/ask price, on one hand, and NAV, on the Proposed Rule 14.11(m)(7) provides generally agrees with the Commission’s sentiment other, exceeds 2%, or (b) the bid/ask spread exceeds that if the investment adviser to the that the intraday indicative value is not necessary 2%.

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transactions and, after accumulating Commission’s view, the Exchange with the continued listing requirements. enough shares to comprise a creation believes that the arbitrage mechanism If a Fund is not in compliance with the unit,34 redeem them in exchange for a for Tracking Fund Shares will be applicable listing requirements, the redemption basket reflecting the NAV sufficient to keep secondary market Exchange will commence delisting per share of the fund’s portfolio prices in line with NAV. This, procedures under Exchange Rule 14.12. holdings. The purchases of shares combined with the fact that the In addition, the Exchange also has a would reduce the supply of shares in proposed rules are, except as described general policy prohibiting the the market, and thus tend to drive up above, nearly identical to the generic distribution of material, non-public the shares’ market price closer to the listing standards for Managed Fund information by its employees. fund’s NAV. Alternatively, if shares are Shares, leads the Exchange to believe As noted in proposed Rule trading at a premium, the transactions that the proposed Rule 14.11(m) is 14.11(m)(2)(D), the Investment in the arbitrage process are reversed. consistent with the Act. Company’s investment adviser will Market Makers also can engage in The Exchange notes that a significant upon request make available to the arbitrage without using the creation or amount of information about each fund Exchange and/or FINRA, on behalf of redemption processes. For example, if a and its Fund Portfolio is publicly the Exchange, the daily portfolio fund is trading at a premium to the available at all times. Each series will holdings of each series of Managed Proxy Basket, Market Makers may sell disclose the Proxy Basket, which is Portfolio Shares. The Exchange believes shares short and take a long position in designed to closely track the daily that this is appropriate because it will the Proxy Basket securities, wait for the performance of the Fund Portfolio, on a provide the Exchange or FINRA, on trading prices to move toward parity, daily basis. Each series of Tracking behalf of the Exchange, with access to and then close out the positions in both Fund Shares will at a minimum the daily Fund Portfolio of any series of the shares and the securities, to realize publicly disclose the entirety of its Tracking Fund Shares upon request on a profit from the relative movement of portfolio holdings, including the name, an as needed basis. The Exchange their trading prices. Similarly, a Market identifier, market value and weight of believes that the ability to access the Maker could buy shares and take a short each security and instrument in the information on an as needed basis will position in the Proxy Basket securities portfolio within at least 60 days provide it with sufficient information to in an attempt to profit when shares are following the end of every fiscal quarter perform the necessary regulatory trading at a discount to the Proxy in a manner consistent with normal functions associated with listing and Basket. disclosure requirements otherwise trading series of Tracking Fund Shares Overall, the Exchange believes that applicable to open-end investment on the Exchange, including the ability to the arbitrage process would operate companies registered under the 1940 monitor compliance with the initial and similarly to the arbitrage process in Act. The website will include additional continued listing requirements as well place today for existing ETFs that use quantitative information updated on a as the ability to surveil for manipulation in-kind baskets for creations and daily basis, including, on a per Share of the shares. redemptions that do not reflect the basis for each Fund, the prior Business As noted above, Form N–PORT ETF’s complete holdings but Day’s NAV and the Closing Price or Bid/ requires reporting of a fund’s complete nonetheless produce performance that is Ask Price at the time of calculation of portfolio holdings on a position-by- highly correlated to the performance of such NAV, and a calculation of the position basis on a quarterly basis the ETF’s actual portfolio. The Exchange premium or discount of the Closing within 60 days after fiscal quarter end. has observed highly efficient trading of Price or Bid/Ask Price against such Investors can obtain a fund’s Statement ETFs that invest in markets where NAV. The website will also disclose any of Additional Information, its security values are not fully known at information regarding the bid/ask Shareholder Reports, its Form N–CSR, the time of ETF trading, and where a spread for each Fund as may be required filed twice a year, and its Form N–CEN, filed annually. A fund’s SAI and perfect hedge is not possible, such as for other ETFs under Rule 6c–11 under Shareholder Reports are available free international equity and fixed-income the 1940 Act, as amended. upon request from the Investment ETFs. While the ability to value and The Exchange believes that its Company, and those documents and the hedge many of these existing ETFs in surveillance procedures are adequate to Form N–PORT, Form N–CSR, and Form the market may be limited, such ETFs properly monitor the trading of Tracking N–CEN may be viewed on-screen or have generally maintained an effective Fund Shares on the Exchange during all downloaded from the Commission’s arbitrage mechanism and traded trading sessions and to deter and detect violations of Exchange rules and the website at www.sec.gov. efficiently. Information regarding market price As provided in the Notice, the applicable federal securities laws. and trading volume of the Shares will be Commission believes that an arbitrage Trading of Tracking Fund Shares continually available on a real-time mechanism based largely on the through the Exchange will be subject to the Exchange’s surveillance procedures basis throughout the day on brokers’ combination of a daily disclosed Proxy computer screens and other electronic Basket and at a minimum quarterly for derivative products. The Exchange will require the issuer of each series of services. Information regarding the disclosure of the Fund Portfolio can previous day’s closing price and trading work in an efficient manner to maintain Tracking Fund Shares listed on the Exchange to represent to the Exchange volume information for the Shares will a fund’s secondary market prices close be published daily in the financial 35 that it will advise the Exchange of any to its NAV. Consistent with the section of newspapers. Quotation and failure by a Fund to comply with the last sale information for the Shares will 34 Tracking Fund Shares will be purchased or continued listing requirements, and, be available via the CTA high-speed redeemed only in large aggregations, or ‘‘creation pursuant to its obligations under line. The Exchange deems Tracking units,’’ and the Proxy Basket will constitute the Section 19(g)(1) of the Exchange Act, the names and quantities of instruments for both Fund Shares to be equity securities, thus Exchange will surveil for compliance purchases and redemptions of Creation Units. rendering trading in the Shares subject 35 See Fidelity Notice at 17. The Commission also notes that as long as arbitrage continues to keep the that investors would benefit from the opportunity to the Exchange’s existing rules Fund’s secondary market price and NAV close, and to invest in active strategies through a vehicle that governing the trading of equity does so efficiently so that spreads remain narrow, offers the traditional benefits of ETFs. securities. As provided in proposed

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Rule 14.11(m)(2)(C), the minimum price The Exchange and Adviser agree with requirements applicable to Tracking variation for quoting and entry of orders the Commission’s conclusion. Fund Shares, which also generally in securities traded on the Exchange is The Adviser anticipates that the correspond to the requirements for $0.01. returns between a Fund and its Managed Fund Shares, including the respective Proxy Basket will have a dissemination of key information such The Funds consistent relationship and that the as the Proxy Basket, the Fund Portfolio, As discussed above, each Fund’s deviation in the returns between a Fund and Net Asset Value, suspension of holdings will meet the generic listing and its Proxy Basket will be sufficiently trading or removal, trading halts, standards applicable to series of small such that the Proxy Basket will surveillance, minimum price variation Managed Fund Shares under Rule provide Market Makers with a reliable for quoting and order entry, the 14.11(i)(4)(C). While such standards do hedging vehicle that they can use to information circular, and firewalls as set not apply directly to series of Tracking effectuate low-risk arbitrage trades in forth in the proposed Exchange rules Fund Shares, the Exchange believes that Fund Shares. The Exchange believes applicable to Tracking Fund Shares and the overarching policy issues related to that the disclosures provided by the the orders approving such rules. liquidity, market cap, diversity, and Funds will allow Market Makers to Moreover, U.S.-listed equity securities concentration of portfolio holdings that understand the relationship between the held by the Funds will trade on markets Rule 14.11(i)(4)(C) is intended to performance of a Fund and its Proxy that are a member of ISG or affiliated address are equally applicable to series Basket. Market Makers will be able to with a member of ISG or with which the of Tracking Fund Shares and, as such, estimate the value of and hedge Exchange has in place a comprehensive any such concerns related to the positions in a Fund’s Shares, which the surveillance sharing agreement.37 All portfolio are mitigated. Exchange believes will facilitate the statements and representations made in Separately and in addition to the arbitrage process and help ensure that this filing regarding the description of rationale supporting the arbitrage the Fund’s Shares normally will trade at the portfolio or reference assets, mechanism for Tracking Fund Shares market prices close to their NAV. The limitations on portfolio holdings or more broadly above, the Exchange also Exchange also believes that competitive reference assets, dissemination and believes that the particular instruments market making, where traders are availability of reference asset and that may be included in each Fund’s looking to take advantage of differences intraday indicative values (as portfolio and Proxy Basket do not raise in bid-ask spread, will aid in keeping applicable), or the applicability of any concerns related to the Proxy spreads tight. Exchange listing rules specified in this Baskets being able to closely track the The Exchange notes that a significant filing shall constitute continued listing NAV of the Funds because such amount of information about each fund requirements for the Shares. The issuer instruments include only instruments and its Fund Portfolio is publicly has represented to the Exchange that it that trade on an exchange available at all times. Each series will will advise the Exchange of any failure contemporaneously with the Shares. In disclose the Proxy Basket, which is by a Fund or Shares to comply with the addition, a Fund’s Proxy Basket will be designed to closely track the daily continued listing requirements, and, optimized so that it reliably and performance of the Fund Portfolio, on a pursuant to its obligations under consistently correlates to the daily basis. Each series of Tracking Section 19(g)(1) of the Act, the Exchange performance of the Fund. The Notice Fund Shares will at a minimum will surveil for compliance with the specifically states that ‘‘in order to publicly disclose the entirety of its continued listing requirements. FINRA facilitate arbitrage, each Fund’s portfolio portfolio holdings, including the name, conducts certain cross-market and Tracking Basket, which is the Proxy identifier, market value and weight of surveillances on behalf of the Exchange Basket under proposed Rule each security and instrument in the pursuant to a regulatory services 14.11(m)(3)(E) for the purpose of the portfolio within at least 60 days agreement. The Exchange is responsible Funds, will only include certain following the end of every fiscal quarter for FINRA’s performance under this securities that trade on an exchange in a manner consistent with normal regulatory services agreement. If a Fund contemporaneously with the Fund’s disclosure requirements otherwise is not in compliance with the applicable Shares. Because the securities would be applicable to open-end investment listing requirements, the Exchange will exchange traded, market participants companies registered under the 1940 commence delisting procedures with would be able to accurately price and Act. The website will include additional respect to such Fund under Exchange readily trade the securities in the quantitative information updated on a Rule 14.12. Tracking Basket for purposes of daily basis, including, on a per Share For the above reasons, the Exchange assessing the intraday value of the basis for each Fund, the prior Business believes that the proposed rule change Fund’s portfolio holdings and to hedge Day’s NAV and the Closing Price or Bid/ is consistent with the requirements of their positions in the Fund’s Shares.’’ 36 Ask Price at the time of calculation of Section 6(b)(5) of the Act. such NAV, and a calculation of the B. Self-Regulatory Organization’s 36 The Exchange notes that the instruments premium or discount of the Closing enumerated herein are consistent with the Statement on Burden on Competition Price or Bid/Ask Price against such investable universe contemplated in the Notice. The Exchange does not believe that NAV. The website will also disclose any Specifically, the Notice provides that ‘‘Each Fund the proposed rule change will impose may invest only in ETFs, Exchange-traded notes, information regarding the bid/ask any burden on competition that is not Exchange-traded common stocks, common stocks spread for each Fund as may be required listed on a foreign exchange that trade on such necessary or appropriate in furtherance for other ETFs under Rule 6c–11 under exchange contemporaneously with the Shares, of the purpose of the Act. Rather, the Exchange-traded preferred stocks, Exchange-traded the 1940 Act, as amended. American depositary receipts, Exchange-traded real The Exchange represents that the Exchange notes that the proposed rule estate investment trusts, Exchange-traded Shares of the Funds will continue to commodity pools, Exchange-traded metals trusts, 37 For a list of the current members of ISG, see Exchange-traded currency trusts, and exchange- comply with all other proposed www.isgportal.com. The Exchange notes that not all traded futures that trade contemporaneously with components of the Funds may trade on markets that the Shares, as well as cash and cash equivalents these purposes, an ‘‘Exchange’’ is a national are members of ISG or with which the Exchange has . . . All futures contracts that a Fund may invest securities exchange as defined in section 2(a)(26) of in place a comprehensive surveillance sharing in will be traded on a U.S. futures exchange. For the [1940] Act.’’ See Notice at 10. agreement.

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change will facilitate the listing of a new concerns they may have with the securities are adequate to prevent fraud type of actively-managed exchange- proposal. In particular, the Commission and manipulation. traded products, thus enhancing invites the written views of interested Comments may be submitted by any competition among both market persons concerning whether the of the following methods: participants and listing venues, to the proposed rule change, as modified by benefit of investors and the marketplace. Amendment No. 1, is consistent with Electronic Comments Section 6(b)(5) or any other provision of C. Self-Regulatory Organization’s • Use the Commission’s internet the Exchange Act, or the rules and Statement on Comments on the comment form (http://www.sec.gov/ regulations thereunder. Although there Proposed Rule Change Received From rules/sro.shtml); or Members, Participants, or Others do not appear to be any issues relevant to approval or disapproval that would • Send an email to rule-comments@ The Exchange has neither solicited be facilitated by an oral presentation of sec.gov. Please include File Number SR– nor received written comments on the views, data, and arguments, the CboeBZX–2019–107 on the subject line. proposed rule change. Commission will consider, pursuant to Paper Comments III. Proceedings To Determine Whether Rule 19b–4, any request for an To Approve or Disapprove SR– opportunity to make an oral • Send paper comments in triplicate CboeBZX–2019–107, as Modified by presentation.41 to Secretary, Securities and Exchange Amendment No. 1, and Grounds for Interested persons are invited to Commission, 100 F Street NE, Disapproval Under Consideration submit written data, views, and Washington, DC 20549–1090. The Commission is instituting arguments regarding whether the All submissions should refer to File proceedings pursuant to Section proposed rule change, as modified by Number SR–CboeBZX–2019–107. This 19(b)(2)(B) of the Exchange Act 38 to Amendment No. 1, should be approved file number should be included on the determine whether the proposed rule or disapproved by April 22, 2020. Any subject line if email is used. To help the change, as modified by Amendment No. person who wishes to file a rebuttal to Commission process and review your 1, should be approved or disapproved. any other person’s submission must file comments more efficiently, please use Institution of such proceedings is that rebuttal by May 6, 2020. only one method. The Commission will appropriate at this time in view of the The Commission asks that post all comments on the Commission’s legal and policy issues raised by the commenters address the sufficiency of internet website (http://www.sec.gov/ proposed rule change. Institution of the Exchange’s statements in support of rules/sro.shtml). Copies of the proceedings does not indicate that the the proposal, which are set forth in submission, all subsequent Commission has reached any Amendment No. 1,42 and any other amendments, all written statements conclusions with respect to any of the issues raised by the proposed rule with respect to the proposed rule issues involved. Rather, as described change, as modified by Amendment No. change that are filed with the below, the Commission seeks and 1, under the Exchange Act. The Commission, and all written encourages interested persons to Commission seeks commenters’ views communications relating to the provide comments on the proposed rule regarding whether the Exchange’s proposed rule change between the change. proposal to list and trade the Funds Commission and any person, other than Pursuant to Section 19(b)(2)(B) of the those that may be withheld from the 39 under proposed BZX Rule 14.11(m) Exchange Act, the Commission is (Tracking Fund Shares), which would public in accordance with the providing notice of the grounds for be actively managed exchange-traded provisions of 5 U.S.C. 552, will be disapproval under consideration. The products for which the Proxy Basket, available for website viewing and Commission is instituting proceedings rather than the actual portfolio holdings, printing in the Commission’s Public to allow for additional analysis of the would be disclosed on a daily basis, and Reference Room, 100 F Street NE, proposed rule change’s consistency with for which the actual portfolio holdings Washington, DC 20549, on official Section 6(b)(5) of the Exchange Act, would be disclosed on a quarterly basis, business days between the hours of which requires, among other things, that is designed to prevent fraudulent and 10:00 a.m. and 3:00 p.m. Copies of the the rules of a national securities manipulative acts and practices, to filing also will be available for exchange be ‘‘designed to prevent promote just and equitable principles of inspection and copying at the principal fraudulent and manipulative acts and trade, and to protect investors and the office of the Exchange. All comments practices, to promote just and equitable public interest, and is consistent with received will be posted without change. principles of trade, . . . to remove the maintenance of a fair and orderly Persons submitting comments are impediments to and perfect the market under the Exchange Act. In cautioned that we do not redact or edit mechanism of a free and open market personal identifying information from and a national market system, and, in particular, the Commission seeks commenters’ views regarding whether comment submissions. You should general, to protect investors and the submit only information that you wish public interest.’’ 40 the Exchange’s proposed listing rule provisions as they relate to foreign to make available publicly. All IV. Procedure: Request for Written submissions should refer to File Comments 41 Section 19(b)(2) of the Exchange Act, as Number SR–CboeBZX–2019–107 and should be submitted on or before April The Commission requests that amended by the Securities Act Amendments of 1975, Public Law 94–29 (June 4, 1975), grants the 22, 2020. Rebuttal comments should be interested persons provide written Commission flexibility to determine what type of submitted by May 6, 2020. submissions of their views, data, and proceeding—either oral or notice and opportunity arguments with respect to the issues for written comments—is appropriate for For the Commission, by the Division of identified above, as well as any other consideration of a particular proposal by a self- Trading and Markets, pursuant to delegated regulatory organization. See Securities Act authority.43 Amendments of 1975, Senate Comm. on Banking, 38 15 U.S.C. 78s(b)(2)(B). Housing & Urban Affairs, S. Rep. No. 75, 94th 39 Id. Cong., 1st Sess. 30 (1975). 43 17 CFR 200.30–3(a)(12) & 17 CFR 200.30– 40 15 U.S.C. 78f(b)(5). 42 See supra note 5. 3(a)(57).

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the most significant aspects of such amount will be assessed to all market J. Matthew DeLesDernier, statements. participants to whom the FLEX Surcharge applies. Assistant Secretary. A. Self-Regulatory Organization’s [FR Doc. 2020–06719 Filed 3–31–20; 8:45 am] Statement of the Purpose of, and the B. Self-Regulatory Organization’s BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule Statement on Burden on Competition Change The Cboe Options does not believe SECURITIES AND EXCHANGE 1. Purpose that the proposed rule change will impose any burden on competition that COMMISSION The purpose of this filing is to adopt is not necessary or appropriate in the Flex Surcharge Fee for NDX and furtherance of the purposes of the Act. [Release No. 34–88486; File No. SR–CBOE– NDXP Orders, effective, March 17, 2020. The Exchange believes that the 2020–022] Currently, the Exchange assesses a proposed rule change will not impose FLEX Surcharge Fee of $0.10-per- Self-Regulatory Organizations; Cboe any burden on intramarket competition contract credit for DJX, MXEA, MXEF Exchange, Inc.; Notice of Filing and because the proposed rule changes and XSP FLEX Options orders (all Immediate Effectiveness of a Proposed applies to market participants. The capacity codes) executed electronically. Rule Change Relating To Amend Its Exchange does not believe that the The FLEX Surcharge Fee is only charged Fees Schedule proposed rule changes will impose any up to the first 2,500 contracts per trade burden on intermarket competition that March 26, 2020. ($250 per trade). The Exchange proposes is not necessary or appropriate in to assess the FLEX Surcharge Fee to Pursuant to Section 19(b)(1) of the furtherance of the purposes of the Act NDX and NDXP. The FLEX Surcharge Securities Exchange Act of 1934 (the because the proposed change applies 1 2 Fee assists the Exchange in recouping ‘‘Act’’), and Rule 19b–4 thereunder, only to a product currently only listed the cost of developing and maintaining notice is hereby given that on March 17, on Cboe Options. To the extent that the the FLEX system. 2020, Cboe Exchange, Inc. (the proposed changes make Cboe Options a ‘‘Exchange’’ or ‘‘Cboe Options’’) filed 2. Statutory Basis more attractive marketplace for market with the Securities and Exchange The Exchange believes the proposed participants at other exchanges, such Commission (the ‘‘Commission’’) the market participants are welcome to proposed rule change as described in rule change is consistent with the Securities Exchange Act of 1934 (the become Cboe Options market Items I, II, and III below, which Items participants. have been prepared by the Exchange. ‘‘Act’’) and the rules and regulations The Commission is publishing this thereunder applicable to the Exchange C. Self-Regulatory Organization’s notice to solicit comments on the and, in particular, the requirements of Statement on Comments on the proposed rule change from interested Section 6(b) of the Act. Specifically, the Proposed Rule Change Received From persons. Exchange believes the proposed rule Members, Participants, or Others change is consistent with the Section The Exchange neither solicited nor I. Self-Regulatory Organization’s 6(b)(5) requirements that the rules of an Statement of the Terms of Substance of received comments on the proposed exchange be designed to prevent rule change. the Proposed Rule Change fraudulent and manipulative acts and Cboe Exchange, Inc. (the ‘‘Exchange’’ practices, to promote just and equitable III. Date of Effectiveness of the or ‘‘Cboe Options’’) proposes to amend principles of trade, to foster cooperation Proposed Rule Change and Timing for its Fees Schedule. The text of the and coordination with persons engaged Commission Action proposed rule change is provided in in regulating, clearing, settling, The foregoing rule change has become Exhibit 5. processing information with respect to, effective pursuant to Section 19(b)(3)(A) The text of the proposed rule change and facilitating transactions in of the Act 3 and paragraph (f) of Rule is also available on the Exchange’s securities, to remove impediments to 19b–4 4 thereunder. At any time within website (http://www.cboe.com/ and perfect the mechanism of a free and 60 days of the filing of the proposed rule AboutCBOE/CBOELegalRegulatory open market and a national market change, the Commission summarily may Home.aspx), at the Exchange’s Office of system, and, in general, to protect temporarily suspend such rule change if the Secretary, and at the Commission’s investors and the public interest. it appears to the Commission that such Public Reference Room. Additionally, the Exchange believes the action is necessary or appropriate in the proposed rule change is consistent with public interest, for the protection of II. Self-Regulatory Organization’s Section 6(b)(4) of the Act, which Statement of the Purpose of, and investors, or otherwise in furtherance of requires that Exchange rules provide for the purposes of the Act. If the Statutory Basis for, the Proposed Rule the equitable allocation of reasonable Change Commission takes such action, the dues, fees, and other charges among its Commission will institute proceedings In its filing with the Commission, the Trading Permit Holders and other to determine whether the proposed rule Exchange included statements persons using its facilities. change should be approved or concerning the purpose of and basis for The Exchange believes assessing a disapproved. the proposed rule change and discussed FLEX Surcharge Fee of $0.10 per any comments it received on the contract for all NDX and NDXP orders IV. Solicitation of Comments proposed rule change. The text of these executed electronically on FLEX and Interested persons are invited to statements may be examined at the capping it at $250 (i.e., first 2,500 submit written data, views, and places specified in Item IV below. The contracts per trade) is reasonable arguments concerning the foregoing, Exchange has prepared summaries, set because it is the same amount currently including whether the proposed rule forth in sections A, B, and C below, of charged to other index products for the change is consistent with the Act. same transactions. The proposed 1 15 U.S.C. 78s(b)(1). Surcharge is also equitable and not 3 15 U.S.C. 78s(b)(3)(A). 2 17 CFR 240.19b–4. unfairly discriminatory because the 4 17 CFR 240.19b–4(f).

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Comments may be submitted by any of SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s the following methods: COMMISSION Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Electronic Comments [Release No. 34–88490; File No. SR–CBOE– Change • Use the Commission’s internet 2020–026] 1. Purpose comment form (http://www.sec.gov/ The Exchange proposes to amend rules/sro.shtml); or Self-Regulatory Organizations; Cboe Rule 5.24 regarding the Exchange’s Exchange, Inc.; Notice of Filing and • Send an email to rule-comments@ business continuity and disaster Immediate Effectiveness of a Proposed sec.gov. Please include File Number SR– recovery plans. Rule 5.24 describes CBOE–2020–022 on the subject line. Rule Change Relating To Amend Rule which Trading Permit Holders (‘‘TPHs’’) 5.24 Paper Comments are required to connect to the March 26, 2020. Exchange’s backup systems as well as • Send paper comments in triplicate certain actions the Exchange may take to Secretary, Securities and Exchange Pursuant to Section 19(b)(1) of the as part of its business continuity plans Commission, 100 F Street NE, Securities Exchange Act of 1934 so that it may maintain fair and orderly Washington, DC 20549–1090. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 markets if unusual circumstances notice is hereby given that on March 26, occurred that could impact the All submissions should refer to File 2020, Cboe Exchange, Inc. (the Exchange’s ability to conduct business. Number SR–CBOE–2020–022. This file ‘‘Exchange’’ or ‘‘Cboe Options’’) filed This includes what actions the number should be included on the with the Securities and Exchange Exchange would take if its trading floor subject line if email is used. To help the Commission (‘‘SEC’’ or ‘‘Commission’’) became inoperable. Specifically, Rule Commission process and review your the proposed rule change as described 5.24(e) states if the Exchange trading comments more efficiently, please use in Items I and II below, which Items floor becomes inoperable, the Exchange only one method. The Commission will have been prepared by the Exchange. will continue to operate in a screen- post all comments on the Commission’s The Commission is publishing this based only environment using a internet website (http://www.sec.gov/ floorless configuration of the System rules/sro.shtml). Copies of the notice to solicit comments on the proposed rule change from interested that is operational while the trading submission, all subsequent floor facility is inoperable. The persons. amendments, all written statements Exchange would operate using that with respect to the proposed rule I. Self-Regulatory Organization’s configuration only until the Exchange’s change that are filed with the Statement of the Terms of Substance of trading floor facility became Commission, and all written the Proposed Rule Change operational. Open outcry trading would communications relating to the not be available in the event the trading proposed rule change between the Cboe Exchange, Inc. (the ‘‘Exchange’’ floor becomes inoperable.3 Rule Commission and any person, other than or ‘‘Cboe Options’’) proposes to amend 5.24(e)(1) also currently states in the those that may be withheld from the Rule 5.24. The text of the proposed rule event that the trading floor becomes public in accordance with the change is provided in Exhibit 5. inoperable, trading will be conducted provisions of 5 U.S.C. 552, will be The text of the proposed rule change pursuant to all applicable System Rules, available for website viewing and except that open outcry Rules would not is also available on the Exchange’s printing in the Commission’s Public be in force, including but not limited to website (http://www.cboe.com/ Reference Room, 100 F Street NE, the Rules (or applicable portions) in Washington, DC 20549, on official AboutCBOE/CBOELegalRegulatory Chapter 5, Section G,4 and that all non- business days between the hours of Home.aspx), at the Exchange’s Office of trading rules of the Exchange would 10:00 a.m. and 3:00 p.m. Copies of the the Secretary, and at the Commission’s continue to apply. The Exchange filing also will be available for Public Reference Room. recently proposed additional exceptions inspection and copying at the principal II. Self-Regulatory Organization’s to Rules that would not apply during a office of the Exchange. All comments time in which the trading floor in Statement of the Purpose of, and 5 received will be posted without change. Statutory Basis for, the Proposed Rule inoperable. Persons submitting comments are As of March 16, 2020, the Exchange Change cautioned that we do not redact or edit suspended open outcry trading to help personal identifying information from In its filing with the Commission, the prevent the spread of the novel comment submissions. You should Exchange included statements coronavirus and is currently operating submit only information that you wish concerning the purpose of and basis for in an all-electronic configuration. While the trading floor was open, the to make available publicly. All the proposed rule change and discussed submissions should refer to File any comments it received on the 3 Pursuant to Rule 5.26, the Exchange may enter Number SR–CBOE–2020–022 and proposed rule change. The text of these should be submitted on or before April into a back-up trading arrangement with another statements may be examined at the exchange, which could allow the Exchange to use 22, 2020. places specified in Item IV below. The the facilities of a back-up exchange to conduct For the Commission, by the Division of trading of certain of its products. The Exchange Exchange has prepared summaries, set currently has no back-up trading arrangement in Trading and Markets, pursuant to delegated forth in sections A, B, and C below, of place with another exchange. 5 authority. the most significant aspects of such 4 Chapter 5, Section G of the Exchange’s rulebook J. Matthew DeLesDernier, sets forth the rules and procedures for manual order statements. handling and open outcry trading on the Exchange. Assistant Secretary. 5 See Securities Exchange Act Release Nos. 88386 [FR Doc. 2020–06737 Filed 3–31–20; 8:45 am] (March 13, 2020), 85 FR 15823 (March 19, 2020) BILLING CODE 8011–01–P (SR–CBOE–2020–019); and 88447 (March 20, 2020) (SR–CBOE–2020–023). The rule changes adopted in 1 15 U.S.C. 78s(b)(1). that filing are effective until May 15, 2020, unless 5 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. extended. See Rule 5.24(e)(1).

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Exchange facilitated compression than were previously mandated for The Exchange believes that permitting forums on the trading floor at the end clearing members that are subsidiaries TPHs to reduce open interest in of each calendar week, month, and of U.S. bank holding companies under offsetting SPX options positions in open quarter in which Trading Permit the Net Capital Rules. Furthermore, outcry compression forums has had a Holders reduce open positions in series these rules do not permit deductions for beneficial effect on the bank regulatory of SPX options in order to mitigate the hedged securities or offsetting options capital requirements of CTPHs’ parent effects of capital constraints on market positions.10 Rather, capital charges companies without adversely affecting participants and help ensure continued under these standards are based on the the quality of the SPX options market. depth of liquidity in the SPX options aggregate notional value of short Accordingly, while the Exchange market. Given the recent suspension of positions regardless of offsets. As a operates in an all-electronic open outcry trading, the Exchange result, Clearing Trading Permit Holders environment, the Exchange proposes to proposes to facilitate an electronic (‘‘CTPHs’’) generally must hold adopt a similar process to occur process that would permit TPHs to substantially more bank regulatory electronically to encourage the continue to efficiently reduce their open capital than would otherwise be compression of open interest in SPX. SPX positions and free up capital while required under the Net Capital Rules.11 The Exchange believes lack of a method the Exchange operates in an all- The impact of these regulatory capital to reduce open interest in SPX options electronic environment, which is rules are compounded in the SPX in an all-electronic environment may particularly important given current options market due to the large notional reduce liquidity in the market, which volatile market conditions. value of SPX contracts. recently has experienced historic levels SEC Rule 15c3–1 (Net Capital The Exchange believes these of volatility and is when the market Requirements for Brokers or Dealers) regulatory capital requirements could needs this liquidity the most. (‘‘Net Capital Rules’’) requires that every impede efficient use of capital and Without an electronic compression registered broker-dealer maintain undermine the critical liquidity role that forum, TPHs seeking to reduce open certain specified minimum levels of Market-Makers play in the SPX options interest in SPX options for regulatory capital.6 The Net Capital Rules are market by limiting the amount of capital capital purposes could trade out of designed to protect securities customers, CTPHs can allocate to clearing member positions as they would trade any open counterparties, and creditors by transactions. Specifically, these rules positions. However, the Exchange requiring that broker-dealers have may cause CTPHs to impose stricter understands that wide-scale reduction sufficient liquid resources on hand, at position limits on their clearing of open interest in SPX options in such all times, to meet their financial members. These stricter position limits a manner is burdensome. First, the obligations. Notably, hedged positions, may impact the liquidity Market-Makers range of positions held by different 12 including offsetting futures and options might supply in the SPX market, TPHs in SPX varies greatly. In some contract positions, result in certain net which impact may be heightened when cases, a TPH may hold positions in capital requirement reductions under markets are volatile, and this impact thousands of series of SPX. The the Net Capital Rules.7 may be compounded when a CTPH has Exchange believes providing a forum for All Options Clearing Corporation multiple Market-Maker client accounts, TPHs to periodically reduce open each having largely risk-neutral interest in SPX options would likely (‘‘OCC’’) clearing members are subject to 13 the Net Capital Rules. However, a subset portfolio holdings. contribute additional liquidity and of clearing members are subsidiaries of continued competitiveness to the SPX 10 Many options strategies, including relatively market. In addition, the Exchange U.S. bank holding companies, which, simple strategies often used by retail customers and due to their affiliations with their parent more sophisticated strategies used by market- believes that the proposed rule change U.S. bank holding companies, must makers and institutions, are risk-limited strategies will promote more efficient capital comply with additional bank regulatory or options spread strategies that employ offsets or deployment in light of the regulatory hedges to achieve certain investment outcomes. capital requirements rules and help capital requirements pursuant to Such strategies typically involve the purchase and rulemaking required under the Dodd– sale of multiple options (and may be coupled with ensure continued depth of liquidity in Frank Wall Street Reform and Consumer purchases or sales of the underlying assets), the SPX options market during Protection Act.8 Pursuant to this executed simultaneously as part of the same continued market volatility. strategy. In many cases, the potential market The proposed rule change adopts Rule mandate, the Board of Governors of the exposure of these strategies is limited and defined. Federal Reserve System, the Office of Whereas regulatory capital requirements have 5.24(e)(1)(E) to permit electronic the Comptroller of the Currency, and the historically reflected the risk-limited nature of compression trades during times when 14 Federal Deposit Insurance Corporation carrying offsetting positions, these positions may the trading floor is inoperable. The now be subject to large regulatory capital proposed electronic compression forum approved a comprehensive regulatory requirements. Various factors, including capital framework for subsidiaries of administration costs; transaction fees; and limited will function in a substantially similar U.S. bank holding company clearing market demand or counterparty interest, however, manner as the open outcry compression 9 discourage market participants from closing these forum functions pursuant to Rule 5.88. firms. Generally, these rules imposed positions even though many market participants higher minimum capital requirements, likely would prefer to close the positions rather In general, the process would permit more restrictive capital eligibility than carry them to expiration. TPHs to submit lists of open positions standards, and higher asset risk weights 11 See Letter from Cboe, New York Stock to the Exchange that they wish to close Exchange, and Nasdaq, Inc., to the Honorable against opposing (long/short) positions Randal Quarles, Vice Chair for Supervision of the 6 of other TPHs, which the Exchange 17 CFR 240.15c3–1. Board of Governors of the Federal Reserve System, 7 In addition, the Net Capital Rules permit various March 18, 2020. would then aggregate into a single list offsets under which a percentage of an option 12 The Exchange notes Market-Makers participate position’s gain at any one valuation point is on approximately 98% of SPX option trades on the 14 Like the other exceptions recently added to allowed to offset another position’s loss at the same Exchange. Rule 5.24(e)(1), the proposed rule change would valuation point (e.g. vertical spreads). 13 Several TPHs have indicated to the Exchange apply until May 15, 2020. The Exchange will 8 H.R. 4173 (amending section 3(a) of the that these rules could hamper their ability to monitor these transactions while the trading floor Securities Exchange Act of 1934 (the ‘‘Act’’) (15 provide consistent liquidity in the current SPX is inoperable. If the trading floor is inoperable U.S.C. 78c(a))). market, and have inquired about the ability engage beyond May 15, 2020, based on that review, the 9 12 CFR 50; 79 FR 61440 (Liquidity Coverage in compression trading prior to the end of the Exchange may submit a separate rule filing to Ratio: Liquidity Risk Measurement Standards). current quarter. extend the effectiveness of this rule.

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that would allow TPHs to more easily Exchange with sufficient information to the same price as a Priority Customer identify those positions with create larger packages of positions that Order in the Simple Book; (2) each counterparty interest on the Exchange. may be compressed while operating in option leg executes at a price at or Unlike open outcry compression an all-electronic environment. between the NBBO for the applicable forums, for which Rule 5.88 specifies Proposed Rule 5.24(e)(1)(E)(iii) series; and (3) the execution price is the times at which TPHs may submit describes how trades may be executed better than the price of any complex these lists, the Exchange will determine in electronic compression forums. order resting in the COB, unless the when electronic compression forums Specifically, the proposed rule change submitted complex order is a Priority may occur.15 The Exchange will provide provides that in lieu of Rule 5.88(a)(6) Customer Order and the resting complex TPHs with reasonable, sufficient notice (which provides that trades executed in order is a non-Priority Customer Order, of the timing of electronic compression an open outcry compression forum in which case the execution price may forums, and the associated times at occur in accordance with regular open be the same as or better than the price which lists must be submitted. While outcry trading rules, subject to certain of the resting complex order. Rule 5.9 the Exchange intends to offer electronic exceptions), a Trading Permit Holder (related to exposure of orders on the compression forums in connection with may submit an order in SPX option Exchange) does not apply to executions the upcoming end-of-quarter, the contracts coupled with a contra-side of SPX orders submitted into electronic Exchange believes flexibility regarding order or orders totaling an equal number compression forums. This provision when to offer electronic compression of option contracts, which will execute provides that orders submitted into an forums will permit it to react to market automatically on entry without electronic compression forum must conditions and facilitate TPHs’ exposure. For purposes of proposed execute in accordance with the same reduction of SPX open interest in subparagraph (iii): priority principles that apply to all other response to volatility as necessary. • A Trading Permit Holder must complex orders on the Exchange, which As is the case with open outcry identify these orders as being part of an protects Priority Customer orders in the compression forums, all TPHs (or their electronic compression forum. This is simple book and COB and prohibits CTPHs on their behalf) may submit currently required in open outcry trades through prices available in the compression forums.17 book. position lists for participation in • electronic compression forums, and • A Trading Permit Holder may The System cancels an order receive lists of positions submitted to execute a simple order as part of an submitted for execution in an electronic the Exchange. Additionally, a TPH may electronic compression forum only if compression forum if it cannot execute. request to have its name withheld from the execution price: (1) Is not at the Therefore, if an order cannot execute in the list the Exchange makes available to same price as a Priority Customer order accordance with the execution price and the TPHs that submit a position list, and resting in the Book; and (2) is at or priority requirements in the prior two the list will not indicate which TPHs between the national best bid or offer bulleted paragraphs, it will be hold which positions. TPHs that do not (‘‘NBBO’’). Rule 5.9 (related to exposure cancelled. • Orders may only be submitted for want to be listed as having contributed of orders on the Exchange) does not execution in an electronic compression compression-list positions may inform apply to executions of SPX orders forum only if entered in the standard the Exchange and will not be included submitted into electronic compression increment applicable to SPX options in the listed TPHs. The Exchange forums. This provision provides that pursuant to Rule 5.4. Unlike in open believes this process to identify TPHs orders submitted into electronic outcry compression forums, in which that seek to close compression-list compression forums must execute in closing transactions may be executed in positions in advance of a compression accordance with the same priority pennies, the proposed rule change will forum will increase opportunities for principles that apply to all other simple orders on the Exchange, which protects require standard increments in order to TPHs to ultimately close compression- take advantage of the proposed list positions during a compression Priority Customer orders in the simple book and prohibits trades through prices unexposed execution. forum while, at the same time, • Only closing orders may be providing the opportunity for available in the book. • executed in electronic compression anonymity. A Trading Permit Holder may execute a complex order as part of an forums. While open outcry compression Proposed Rule 5.24(e)(1)(E)(ii) forums contemplate that opening orders provides that in addition to the electronic compression forum only if: (1) Each option leg executes at a price are permissible in certain information set forth in Rule 5.88(a)(4) circumstances, those orders are that complies with Rule 5.33(f)(2),18 with respect to multi-leg positions, the generally permitted by responded in the provided that no option leg executes at Exchange will, for informational trading crowd. As orders submitted into purposes, electronically distribute series an electronic compression forum will be positions within a strike range 17 See Rule 5.88 18 Rule 5.33(f)(2) requires complex orders to done so without exposure, there will be determined by the Exchange to each execute only if the execution price: at a net price: no responses. The primary purpose of Trading Permit Holder that submitted (1) That would cause any component of the compression forum is to permit the compression-list positions to the complex strategy to be executed at a price of zero; closing of open SPX interest, the Exchange.16 The Exchange believes this (2) worse than the synthetic best bid or offer (‘‘SBBO’’) or equal to the SBBO when there is a Exchange believes restricting electronic additional information will provide the Priority Customer Order at the SBBO, except all-or- compression forums is appropriate. none complex orders may only execute at prices The Exchange understands from 15 See proposed Rule 5.24(e)(1)(E)(i). Pursuant to better than the SBBO; (3) that would cause any customers, and SPX Market-Makers in Rule 1.5, the Exchange will announce the times component of the complex strategy to be executed when TPHs may submit these position lists. at a price worse than the individual component particular, that there is significant need 16 For purposes of proposed Rule 5.24(e)(1)(E), prices on the Simple Book; (4) worse than the price to reduce open interest based on current the term ‘‘multi-leg position file’’ as used in Rule that would be available if the complex order Legged market conditions. These market 5.88 will be replaced with ‘‘position file.’’ The into the Simple Book; or (5) that would cause any participants regularly avail themselves position file will include the information set forth component of the complex strategy to be executed in Rule 5.88(a)(4) for both multi-leg positions and at a price ahead of a Priority Customer Order on the of open outcry compression forums, in series positions within that Exchange-determined Simple Book without improving the BBO of at least which they use the information strike range. one component of the complex strategy. provided in the Exchange-provided

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position lists to identify potential making community that may result from Additionally, the Exchange believes the counterparties that similarly need to Net Capital Rules, which could reduce proposed rule change is consistent with close SPX open interest. In accordance liquidity available in an extremely the Section 6(b)(5) 23 requirement that with standard open outcry trading rules, volatile market when the market needs the rules of an exchange not be designed a floor broker would represent a cross of this liquidity the most. The Exchange to permit unfair discrimination between orders representing this interest to the believes the proposed rule change will customers, issuers, brokers, or dealers. trading crowd. While other in-crowd temporarily reduce existing In particular, the Exchange believes market participants have the inefficiencies that have resulted from the proposed rule change will remove opportunity to respond and participate closure of the trading floor, which the impediments to and perfect the in the transaction, generally the orders Exchange expects will free up liquidity mechanism of a free and open market represented in the cross execute cleanly providers’ much needed capital, which and a national market system, and, in against each other. The proposed rule will benefit the entire market and all general, protect investors and the public will require that the executing TPH investors. interest. The proposed rule change will identify these crosses as being Generally, in SPX options (and other temporarily provide liquidity providers submitted as part of an electronic classes), the Exchange lists series with and other market participants with the compression forum. As a result, the narrower strike intervals that are closer ability to reduce open interest in SPX Exchange’s Regulatory Division intends to the at-the-money value, and with options electronically in a substantially to put in place a regulatory review plan wider strike intervals that are further similar manner as they were able to do that will permit it to ensure any SPX from the at-the-money value. The when the trading floor was open. The orders that are executed pursuant to the Exchange’s internal listing procedures proposed flexibility with respect to proposed rule change are done in are intended to balance the need to list when the Exchange will facilitate accordance with the proposed rule. sufficient strikes to provide market electronic compression forums will Providing TPHs, and Market-Makers participants with flexibility to manage permit the Exchange to react to market in particular, with an electronic their risk with Market-Makers’ quoting conditions and facilitate TPHs’ compression forum would replicate obligations. The Exchange understands reduction of SPX open interest in functionality that was previously from Market-Makers that the need to response to volatility as necessary. available while Cboe was operating with quote in a significant number of series Electronic compression forums will an open outcry environment and would may contribute in part to their allow market participants to reduce provide them with needed relief from challenges in providing liquidity to the options positions in order to reduce the the effect of the current exposure market. The Exchange represents it will necessary capital associated with those method (‘‘CEM’’) on the options market. review its internal listing procedures for positions and permit them to provide As noted above, because some CTPHs SPX options and develop a plan to more liquidity in the market. This carrying these are bank-owned broker/ modify these procedures in an effort to additional liquidity may result in tighter dealers, those CTPHs are subject to reduce the number of listed strikes in a spreads and more execution further bank regulatory capital manner that may permit Market-Makers opportunities, which benefits all requirements pursuant to CEM, which to further reduce SPX open interest (and investors, particularly in the current result in these additional punitive thus free up capital to continue to volatile markets. capital requirements being passed on to provide liquidity).20 The Exchange believes that its their market-maker clients.19 proposal is also consistent with the Act 2. Statutory Basis Additionally, as noted above, the in that it seeks to mitigate the Exchange’s necessary response to the The Exchange believes the proposed potentially negative effects of the bank novel coronavirus global pandemic rule change is consistent with the capital requirements on liquidity in the caused the Exchange to suspend open Securities Exchange Act of 1934 (the SPX markets. As described above, outcry trading, which has temporarily ‘‘Act’’) and the rules and regulations current regulatory capital requirements eliminated the primary method used by thereunder applicable to the Exchange could potentially impede efficient use of market participants to execute necessary and, in particular, the requirements of capital and undermine the critical position-reducing trades in SPX options Section 6(b) of the Act.21 Specifically, liquidity role that Market-Makers and on the trading floor. Finally, the historic the Exchange believes the proposed rule other liquidity providers play in the levels of market volatility has made change is consistent with the Section SPX options market by limiting the providing liquidity in SPX options 6(b)(5) 22 requirements that the rules of amount of capital CTPHs allocate to immensely more challenging. The an exchange be designed to prevent clearing member transactions. execution of options trades through fraudulent and manipulative acts and Specifically, the rules may cause CTPHs electronic trading to close this open SPX practices, to promote just and equitable to impose stricter position limits on interest, as noted above, may be principles of trade, to foster cooperation their clearing members. In turn, this inefficient and ineffective. and coordination with persons engaged could force Market-Makers to reduce the The Exchange believes the proposed in regulating, clearing, settling, size of their quotes and result in rule change to make available processing information with respect to, reduced liquidity in the market. The functionality that will allow liquidity and facilitating transactions in Exchange believes that permitting TPHs providers to execute trades to reduce securities, to remove impediments to to reduce options positions in SPX SPX open interest in a substantially and perfect the mechanism of a free and options will permit to contribute to the similar manner as they were able to do open market and a national market availability of liquidity in the SPX on the trading floor. These closing system, and, in general, to protect options market and help ensure that transactions will help reduce any investors and the public interest. these markets retain their competitive potential negative impact on the market- balance. The Exchange believes that the 20 While SPX options are listed for trading proposed rule would serve to protect 19 See Letter from Cboe, New York Stock exclusively on Cboe Options, it competes with investors by helping to ensure Exchange, and Nasdaq, Inc., to the Honorable other listed options, such as options on the SPDR Randal Quarles, Vice Chair for Supervision of the S&P 500 exchange-traded fund. consistent continued depth of liquidity, Board of Governors of the Federal Reserve System, 21 15 U.S.C. 78f(b). March 18, 2020. 22 15 U.S.C. 78f(b)(5). 23 Id.

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particularly given current market interest. As discussed above, while the Rule 19b–4(f)(6)(iii),29 the Commission conditions when liquidity is needed the proposed rule change is directed at may designate a shorter time if such most by investors. market-makers, all market participants action is consistent with the protection The Exchange also believes the may participate in these forums in the of investors and the public interest. The proposed rule change is consistent with same manner as long as all criteria of Exchange has asked the Commission to the Act, because the proposed the proposed rule are satisfied. The waive the 30-day operative delay so that procedure is consistent with Exchange does not believe the proposed the proposed rule change may become transactions that were otherwise rule change will impose any burden on operative immediately. Given current permitted on the trading floor. The intermarket competition, as it will apply market conditions that have created proposed rule would provide an only to SPX options, which are historic levels of volatility, the electronic mechanism to replicate a currently listed for trading only on the Exchange believes the proposed rule process that was used on the trading Exchange. Additionally, open outcry change will help it maintain fair and floor. The proposed rule change compression forums were limited to orderly markets by providing an imposes similar priority requirements to SPX options. In addition, the proposed electronic avenue for market those in open outcry, which will protect rule change is intended to reduce open participants, particularly liquidity Priority Customer orders and orders on interest are not seeking price providers, to continue to provide top of the book that comprise the BBO. improvement, but rather looking to liquidity to the SPX markets. The Additionally, the proposed rule change reduce open interest to free up capital Exchange states its belief that market requires orders submitted into that will permit those parties to participants generally engage in the electronic compression forums to continue to provide liquidity to the above-explained attempts to reduce execute in the same increments as all market, and thus is not intended to have their options positions at the end of other orders in an electronic a competitive impact. calendar quarters, when the Exchange environment. While these orders were understands CTPHs recalculate their C. Self-Regulatory Organization’s exposed on the trading floor, the leverage ratios in connection with bank Statement on Comments on the Exchange observed that market capital regulatory requirements, which Proposed Rule Change Received From participants generally deferred their could result in their need to add capital Members, Participants, or Others allocations to permit a clean cross, as based on their clients’ positions and that is necessary for these transactions The Exchange neither solicited nor further reduce availability liquidity. to achieve their intended effect. Because received comments on the proposed Waiver of the operative delay would these orders were generally not broken rule change. permit TPHs to engage in these up on the trading floor, and because the transactions in connection with the III. Date of Effectiveness of the purpose of these trades is unrelated to expected first quarter CTPH capital Proposed Rule Change and Timing for profits and losses (making the price at recalculation, which could permit Commission Action which the transaction is executed continued liquidity and a fair and relatively unimportant like competitive The Exchange has filed the proposed orderly market. As discussed above, the trades), but rather to reduce open rule change pursuant to Section proposed rule change would apply interest, the Exchange believes it is 19(b)(3)(A)(iii) of the Act 24 and Rule temporarily, and only to one exclusively appropriate to not expose these orders 19b–4(f)(6) thereunder.25 Because the listed index option class, during the in an electronic setting. The Exchange proposed rule change does not: (i) time the trading floor is unavailable for believes the proposed rule change, Significantly affect the protection of open outcry trading. Waiver of the which is limited to one class the investors or the public interest; (ii) operative delay would allow the Exchange believes is being significantly impose any significant burden on proposed changes, which are designed impacted by the inability to execute competition; and (iii) become operative to help maintain fair and orderly these crosses (and the one class in for 30 days from the date on which it markets, to be in effect immediately. For which open outcry compression forums was filed, or such shorter time as the these reasons, the Commission believes occurred), is narrowly tailored for the Commission may designate, if that waiver of the 30-day operative specific purpose of facilitating the consistent with the protection of delay is consistent with the protection ability of liquidity providers to reduce investors and the public interest, the of investors and the public interest. positions requiring significant capital as a result of current bank regulatory proposed rule change has become Accordingly, the Commission hereby capital requirements and the current effective pursuant to Section 19(b)(3)(A) waives the 30-day operative delay and of the Act 26 and Rule 19b–4(f)(6) designates the proposal operative upon historic levels of market volatility. The 27 30 Exchange believes the proposed rule thereunder. filing. change will protect investors by helping A proposed rule change filed under At any time within 60 days of the 28 to ensure continued depth of liquidity Rule 19b–4(f)(6) normally does not filing of the proposed rule change, the in the SPX options market. become operative for 30 days after the Commission summarily may date of the filing. However, pursuant to temporarily suspend such rule change if B. Self-Regulatory Organization’s it appears to the Commission that such Statement on Burden on Competition 24 15 U.S.C. 78s(b)(3)(A)(iii). action is necessary or appropriate in the The Exchange does not believe that 25 17 CFR 240.19b–4(f)(6). public interest, for the protection of the proposed rule change will impose 26 15 U.S.C. 78s(b)(3)(A). investors, or otherwise in furtherance of any burden on competition that is not 27 17 CFR 240.19b–4(f)(6). Pursuant to Rule 19b– the purposes of the Act. If the 4(f)(6)(iii) under the Act, the Exchange is required Commission takes such action, the necessary or appropriate in furtherance to give the Commission written notice of its intent of the purposes of the Act. The to file the proposed rule change, along with a brief Commission shall institute proceedings Exchange does not believe the proposed description and text of the proposed rule change, rule change will impose any burden on at least five business days prior to the date of filing 29 17 CFR 240.19b–4(f)(6)(iii). of the proposed rule change, or such shorter time 30 For purposes only of waiving the 30-day intramarket competition, as electronic as designated by the Commission. The Exchange operative delay, the Commission has considered the compression forums will be available to has satisfied this requirement. proposed rule’s impact on efficiency, competition, all market participants with SPX open 28 17 CFR 240.19b–4(f)(6). and capital formation. See 15 U.S.C. 78c(f).

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to determine whether the proposed rule For the Commission, by the Division of (please include subject line ‘‘ATTN: change should be approved or Trading and Markets, pursuant to delegated Advisory Opinion Form’’). authority.31 disapproved. SUPPLEMENTARY INFORMATION: J. Matthew DeLesDernier, • IV. Solicitation of Comments Title of Information Collection: Assistant Secretary. Request for Advisory Opinion. Interested persons are invited to [FR Doc. 2020–06723 Filed 3–31–20; 8:45 am] • OMB Control Number: 1405–0174. submit written data, views, and BILLING CODE 8011–01–P • Type of Request: Revision of a arguments concerning the foregoing, Currently Approved Collection. including whether the proposed rule • Originating Office: T/PM/DDTC. • change is consistent with the Act. DEPARTMENT OF STATE Form Number: DS–7786. • Comments may be submitted by any of Respondents: Individuals and [Public Notice 11047] the following methods: companies engaged in the business of exporting or temporarily importing 60-Day Notice of Proposed Information Electronic Comments defense articles or defense services. Collection: Request for Advisory • Estimated Number of Respondents: • Use the Commission’s internet Opinion comment form (http://www.sec.gov/ 125. • Estimated Number of Responses: rules/sro.shtml); or ACTION: Notice of request for public 125. • comment. Send an email to rule-comments@ • Average Time Per Response: 2 sec.gov. Please include File Number SR– SUMMARY: The Department of State is hours. CBOE–2020–026 on the subject line. seeking Office of Management and • Total Estimated Burden Time: 250 Paper Comments Budget (OMB) approval for the hours. information collection described below. • Frequency: On occasion. • • Send paper comments in triplicate In accordance with the Paperwork Obligation to Respond: Voluntary. to Secretary, Securities and Exchange Reduction Act of 1995, we are We are soliciting public comments to Commission, 100 F Street NE, permit the Department to: requesting comments on this collection • Washington, DC 20549–1090. from all interested individuals and Evaluate whether the proposed information collection is necessary for All submissions should refer to File organizations. The purpose of this the proper functions of the Department. Number SR–CBOE–2020–026. This file notice is to allow 60 days for public • Evaluate the accuracy of our number should be included on the comment preceding submission of the estimate of the time and cost burden for subject line if email is used. To help the collection to OMB. this proposed collection, including the Commission process and review your DATES: The Department will accept validity of the methodology and comments more efficiently, please use comments from the public up to June 1, assumptions used. only one method. The Commission will 2020. • Enhance the quality, utility, and post all comments on the Commission’s ADDRESSES: You may submit comments clarity of the information to be internet website (http://www.sec.gov/ by any of the following methods: collected. • rules/sro.shtml). Copies of the Web: Persons with access to the • Minimize the reporting burden on submission, all subsequent internet may comment on this notice by those who are to respond, including the amendments, all written statements going to www.Regulations.gov. You can use of automated collection techniques with respect to the proposed rule search for the document by entering or other forms of information change that are filed with the ‘‘Docket Number: DOS–2020–0007’’ in technology. Commission, and all written the Search field. Then click the Please note that comments submitted communications relating to the ‘‘Comment Now’’ button and complete in response to this Notice are public proposed rule change between the the comment form. record. Before including any detailed • Commission and any person, other than Email: DDTCPublicComments@ personal information, you should be those that may be withheld from the state.gov, ATTN: Advisory Opinion aware that your comments as submitted, public in accordance with the Form. including your personal information, • provisions of 5 U.S.C. 552, will be Regular Mail: Send written will be available for public review. available for website viewing and comments to: Directorate of Defense printing in the Commission’s Public Trade Controls, Department of State; Abstract of Proposed Collection Reference Room, 100 F Street NE, 2401 E St. NW, Suite H1205, The Directorate of Defense Trade Washington, DC 20549 on official Washington, DC 20522. Controls (DDTC), located in the business days between the hours of You must include the DS form Political-Military Affairs Bureau of the 10:00 a.m. and 3:00 p.m. Copies of the number (if applicable), information Department of State, has the principal filing also will be available for collection title, and the OMB control mission of licensing the export and inspection and copying at the principal number in any correspondence. temporary import of defense articles or offices of the Exchange. All comments FOR FURTHER INFORMATION CONTACT: defense services as enumerated in the received will be posted without change. Direct requests for additional United States Munitions List (USML), Persons submitting comments are information regarding the collection and to ensure that the sale, transfer, or cautioned that we do not redact or edit listed in this notice, including requests brokering of such items are in the personal identifying information from for copies of the proposed collection interest of United States national comment submissions. You should instrument and supporting documents, security and foreign policy. submit only information that you wish to Andrea Battista, Directorate of Sections 126.9 and 129.9 of the to make available publicly. All Defense Trade Controls, Department of International Traffic in Arms submissions should refer to File State, who may be reached at Regulations (ITAR, 22 CFR 120–130) Number SR–CBOE–2020–026, and [email protected] or 202–663–3136 may be used by entities and individuals should be submitted on or before April involved in the brokering, manufacture, 22, 2020. 31 17 CFR 200.30–3(a)(12), (59). export, and temporary import of defense

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articles and defense services to request ADDRESSES: You may submit comments • Enhance the quality, utility, and an advisory opinion as to whether by any of the following methods: clarity of the information to be DDTC would be likely to grant a license • Web: Persons with access to the collected. or other approval for the export of a internet may comment on this notice by • Minimize the reporting burden on particular defense article or defense going to www.Regulations.gov. You can those who are to respond, including the service to a particular country; for search for the document by entering use of automated collection techniques general or regulatory guidance; or ‘‘Docket Number: DOS–2020–0008’’ in or other forms of information whether certain activity constitutes the Search field. Then click the technology. brokering under the meaning of the ‘‘Comment Now’’ button and complete Please note that comments submitted ITAR. Except for determinations made the comment form. in response to this Notice are public with reference to ITAR § 129.9(b), • Email: DDTCPublicComments@ record. Before including any detailed advisory opinions are not binding on state.gov. personal information, you should be the Department of State and may not be • Regular Mail: Send written aware that your comments as submitted, used in future matters before the comments to: Directorate of Defense including your personal information, Department. Trade Controls, Attn: Managing will be available for public review. Users electronically submit requests Director, 2401 E St. NW, Suite H–1205, for advisory opinions to DDTC via The Washington, DC 20522–0112. Abstract of Proposed Collection Defense Export Control and Compliance You must include the DS form The Directorate of Defense Trade System (DECCS) portal; users are able to number (if applicable), information Controls (DDTC), Bureau of Political- retrieve responses using the same collection title, and OMB control Military Affairs, U.S. Department of system. DDTC staff members have number in any correspondence. State, in accordance with the Arms defined the data fields which are most FOR FURTHER INFORMATION CONTACT: Export Control Act (AECA) (22 U.S.C. relevant and necessary for requests for Direct requests for additional 2751 et seq.) and the International advisory opinions and developed the information regarding the collection Traffic in Arms Regulations (ITAR) (22 means to accept this information from listed in this notice, including requests CFR parts 120–130), has the principal the industry in a secure system. The for copies of the proposed collection missions of taking final action on revision of this information collection is instrument and supporting documents, license applications and other requests meant to conform the current OMB- to Andrea Battista, who may be reached for defense trade transactions via approved data collection to DDTC’s new at [email protected] or 202–663– commercial channels, ensuring case management system. 3136. compliance with the statute and regulations, and collecting various types Methodology SUPPLEMENTARY INFORMATION: • of reports. By statute, Executive Order, This information will be collected by Title of Information Collection: Statement of Material Change, Merger, regulation, and delegation of authority, electronic submission to the Directorate DDTC is charged with controlling the of Defense Trade Controls. Acquisition, or Divestiture of a Registered Party. export and temporary import of defense Neal Kringel, • OMB Control Number: 1405–0227. articles, the provision of defense Director of Management, DDTC. • Type of Request: Revision. services, and the brokering thereof, • Originating Office: Directorate of which are covered by the U.S. [FR Doc. 2020–06705 Filed 3–31–20; 8:45 am] Munitions List. BILLING CODE 4710–25–P Defense Trade Controls, Bureau of Political Military Affairs, Department of ITAR §§ 122.4 and 129.8 requires State (T/PM/DDTC). registrants to notify DDTC in the event DEPARTMENT OF STATE • Form Number: DS–7789. of a change in registration information • Respondents: Individuals and or if the registrant is a party to a merger, acquisition, or divestiture of an entity [Public Notice 11049] companies registered with DDTC and engaged in the business of producing or marketing ITAR-controlled 60 Day Notice of Proposed Information manufacturing, brokering, exporting, or items. Based on certain conditions Collection: Statement of Material temporarily importing defense hardware enunciated in the ITAR, respondents Change, Merger, Acquisition, or or defense technology data. must notify DDTC of these changes at Divestiture of a Registered Party • Estimated Number of Respondents: differing intervals—no less than 60 days 400. prior to the event, in the event that a ACTION: Notice of request for public • Estimated Number of Responses: foreign person is acquiring a registered comment. 400. entity, and/or within 5 days of its • Average Time per Response: 2 culmination. This information is SUMMARY: The Department of State is hours. necessary for DDTC to ensure seeking Office of Management and • Total Estimated Burden Time: 800 registration records are accurate and to Budget (OMB) approval for the hours. determine whether the transaction is in information collection described below. • Frequency: On occasion. compliance with the regulations (e.g. In accordance with the Paperwork • Obligation to Respond: Mandatory. with respect to ITAR § 126.1); assess the Reduction Act of 1995, we are We are soliciting public comments to steps that need to be taken with respect requesting comments on this collection permit the Department to: to existing authorizations (e.g. transfers); from all interested individuals and • Evaluate whether the proposed and to evaluate the implications for US organizations. The purpose of this information collection is necessary for national security and foreign policy. notice is to allow 60 days for public the proper functions of the Department. This information collection is comment preceding submission of the • Evaluate the accuracy of our estimated to take an average of 2 hours collection to OMB. estimate of the time and cost burden for to execute, and DDTC expects to receive DATES: The Department will accept this proposed collection, including the approximately 400 responses per year; comments from the public up to June 1, validity of the methodology and therefore, the total burden for this 2020. assumptions used. collection will be 800 hours per year.

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Methodology maintenance functions to outside Background: The FAA’s authority to This information will be collected by entities. issue rules on aviation safety is found in The FAA has identified an inaccuracy DDTC’s electronic case management Title 49 of the United States Code. in how burden calculations are system and respondents will certify the Subtitle I, section 106, describes the determined associated with initial data via electronic signature. authority of the FAA Administrator. repair station certifications and Subtitle VII, Aviation Programs, Neal Kringel, subsequent changes to an existing repair describes in more detail the scope of the Director of Management, DDTC. station certificate. The FAA has agency’s authority. [FR Doc. 2020–06703 Filed 3–31–20; 8:45 am] identified that the information collected Rulemaking was promulgated under BILLING CODE 4710–25–P through the FAA Form 8310–3 does not the authority described in title 49, capture the entire repair station subtitle VII, part A, subpart III, section certification activities or changes to an 44701, General requirements, and existing certificate. OMB Control DEPARTMENT OF TRANSPORTATION section 44707, Examining and rating air Number 2120–0682 is not only agencies. Under section 44701, the FAA Federal Aviation Administration authorizing the Agency to receive may prescribe regulations and standards information collected on the FAA Form in the interest of safety for inspecting, [Docket No. FAA–2020–0281] 8310–3, but should also encapsulate the servicing, and overhauling aircraft, entire calculation burden associated aircraft engines, propellers, and Agency Information Collection with repair station certification and appliances. The FAA may also prescribe Activities: Requests for Comments; subsequent changes to an existing equipment and facilities for, and the Clearance of a Renewed Approval of certificate. timing and manner of, inspecting, Information Collection: Certification of Once burden calculations associated servicing, and overhauling these items. Repair Stations, Part 145 of Title 14, with repair station certification Under section 44707, the FAA may CFR Correction activities are properly assessed, the FAA examine and rate repair stations. 14 part AGENCY: Federal Aviation will publish a new notice to the Federal 145 is within the scope of section Administration (FAA), DOT. Register capturing the entire burden 44707. calculation for repair station 14 CFR part 145 prescribes the ACTION: Correction to include comment certification and subsequent changes to end date. requirements for the issuance of repair an existing certificate. station certificates. The FAA Form SUMMARY: In accordance with the DATES: Written comments should be 8310–3, Application for Repair Station Paperwork Reduction Act of 1995, FAA submitted by 60 days from March 20, Certificate and/or Rating is available to invites public comments about our 2020. the applicant who wishes to obtain intention to request the Office of ADDRESSES: Please send written initial repair station certification or Management and Budget (OMB) comments: submit changes to an existing air agency approval to renew an information By Electronic Docket: certificate. The applicant voluntarily collection. The information collection is www.regulations.gov (Enter docket submits the application to the required to receive the benefit of number into search field). appropriate FAA office by mail or email obtaining an FAA Air Agency By mail: Patricia K. Williams, Federal for review and acceptance. The Certificate, known as a certificated Aviation Administration, AFS–340, 950 applicant enters the information repair station. The collection involves L’Enfant Plaza N SW, Washington, DC required for certification or changes to the applicant entering information onto 20024. the existing certificate, which consists and submitting the FAA Form 8310–3. By fax: 202–267–1812. of: Official name of repair station, Application for Repair Station FOR FURTHER INFORMATION CONTACT: location where business is conducted, Certificate/and or Rating to the Susan Traugott Ludwig, by email at: official mailing address, any doing appropriate FAA field office. Persons [email protected]; phone: business as name, changes in ratings, or requesting to obtain an initial Air 202–267–1684. if initial certification, ratings sought, Agency Certificate to operate as an FAA SUPPLEMENTARY INFORMATION: changes in location or housing and certificated repair station or request Public Comments Invited: You are facilities, change in name or ownership, changes to an existing repair station (air asked to comment on any aspect of this or any other purpose for which the agency) certificate do so by submitting information collection, including (a) applicant requests, including a request the request through the submission of Whether the proposed collection of for approval to contract maintenance the FAA Form 8310–3. This form is information is necessary for FAA’s functions to outside entities. Once the available to the applicant/respondent performance; (b) the accuracy of the FAA reviews the submitted application via www.faa.gov, email, in person, or by estimated burden; (c) ways for FAA to and finds the applicant has the ability mail. enhance the quality, utility and clarity to comply with the 14 CFR part 145 The FAA Form 8310–3, Application of the information collection; and (d) requirements for certification, an air for Repair Station Certificate and/or ways that the burden could be agency certificate and ratings is issued. Ratings captures information such as, minimized without reducing the quality The FAA retains a copy of the but not limited to; official name of of the collected information. The agency application in the FAA office that repair station, location where business will summarize and/or include your issued the certificate for an indefinite is conducted, official mailing address, comments in the request for OMB’s time or a time-period specified by the any doing business as name, changes in clearance of this information collection. Agency’s Records Management Order ratings, or if initial certification, ratings OMB Control Number: 2120–0682. 1350.14B, mandated by the Federal sought, changes in location or housing Title: Certification of Repair Stations, Records Act of 1950, as amended. The and facilities, change in name or Part 145 of Title 14, CFR. applicant is not required to retain a ownership, or any other purpose for Form Numbers: FAA Form 8310–3. copy of the form. The FAA does not which the applicant requests, including Type of Review: Clearance of a provide other persons or entities with a request for approval to contract renewal of an information collection. information contained in the form.

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Respondents: There were a total of via www.faa.gov, email, in person, or by enhance the quality, utility and clarity 129 applications submitted to the FAA mail. of the information collection; and (d) in fiscal year (FY) 2019. Out of the 129 The FAA Form 8310–3, Application ways that the burden could be applications, 64 applications were for Repair Station Certificate and/or minimized without reducing the quality submitted for initial certification. Ratings captures information such as, of the collected information. The agency Frequency: Information is collected but not limited to; official name of will summarize and/or include your on occasion. One time for initial repair station, location where business comments in the request for OMB’s certification and when or if an existing is conducted, official mailing address, clearance of this information collection. certificated repair station request any doing business as name, changes in OMB Control Number: 2120–0682. changes to their certificate. ratings, or if initial certification, ratings Title: Certification of Repair Stations, Estimated Average Burden per sought, changes in location or housing Part 145 of Title 14, CFR. Response: 15 minutes and facilities, change in name or Form Numbers: FAA Form 8310–3. Estimated Total Annual Burden: ownership, or any other purpose for Type of Review: Clearance of a 32.25 hours annual burden for FY2019. which the applicant requests, including renewal of an information collection. There is no requirement for a a request for approval to contract Background: The FAA’s authority to respondent to submit this form maintenance functions to outside issue rules on aviation safety is found in annually. entities. The FAA has identified an Title 49 of the United States Code. inaccuracy in how burden calculations Subtitle I, section 106, describes the Issued in Washington, DC, on March 26, authority of the FAA Administrator. 2020. are determined associated with initial Subtitle VII, Aviation Programs, repair station certifications and Susan Traugott Ludwig, describes in more detail the scope of the subsequent changes to an existing repair Federal Aviation Administration, Office of agency’s authority. Safety Standards, Aviation Safety Inspector station certificate. The FAA has Rulemaking was promulgated under Aircraft Maintenance Division, Repair Station identified that the information collected the authority described in title 49, Branch, AFS–340. through the FAA Form 8310–3 does not subtitle VII, part A, subpart III, section [FR Doc. 2020–06701 Filed 3–31–20; 8:45 am] capture the entire repair station 44701, General requirements, and BILLING CODE 4910–13–P certification activities or changes to an section 44707, Examining and rating air existing certificate. OMB Control agencies. Under section 44701, the FAA Number 2120–0682 is not only may prescribe regulations and standards DEPARTMENT OF TRANSPORTATION authorizing the Agency to receive in the interest of safety for inspecting, information collected on the FAA Form Federal Aviation Administration servicing, and overhauling aircraft, 8310–3, but should also encapsulate the aircraft engines, propellers, and [Docket No. FAA–2020–0281] entire calculation burden associated appliances. The FAA may also prescribe with repair station certification and equipment and facilities for, and the Agency Information Collection subsequent changes to an existing timing and manner of, inspecting, Activities: Requests for Comments; certificate. servicing, and overhauling these items. Clearance of a Renewed Approval of Once burden calculations associated Under section 44707, the FAA may Information Collection: Certification of with repair station certification examine and rate repair stations. 14 Part Repair Stations, Part 145 of Title 14, activities are properly assessed, the FAA 145 is within the scope of section CFR Correction will publish a new notice to the Federal 44707. Register capturing the entire burden 14 CFR part 145 prescribes the AGENCY: Federal Aviation calculation for repair station Administration (FAA), DOT. requirements for the issuance of repair certification and subsequent changes to station certificates. The FAA Form ACTION: Correction to include comment an existing certificate. end date. 8310–3, Application for Repair Station DATES: Written comments should be Certificate and/or Rating is available to SUMMARY: In accordance with the submitted by 60 days from March 20, the applicant who wishes to obtain Paperwork Reduction Act of 1995, FAA 2020. initial repair station certification or invites public comments about our ADDRESSES: Please send written submit changes to an existing air agency intention to request the Office of comments: certificate. The applicant voluntarily Management and Budget (OMB) By Electronic Docket: submits the application to the approval to renew an information www.regulations.gov (Enter docket appropriate FAA office by mail or email collection. The information collection is number into search field). for review and acceptance. The required to receive the benefit of By mail: Patricia K. Williams, Federal applicant enters the information obtaining an FAA Air Agency Aviation Administration, AFS–340, 950 required for certification or changes to Certificate, known as a certificated L’Enfant Plaza N SW, Washington, DC the existing certificate, which consists repair station. The collection involves 20024. of; official name of repair station, the applicant entering information onto By fax: 202–267–1812. location where business is conducted, and submitting the FAA Form 8310–3. FOR FURTHER INFORMATION CONTACT: official mailing address, any doing Application for Repair Station Susan Traugott Ludwig, by email at: business as name, changes in ratings, or Certificate and/or Rating to the [email protected]; phone: if initial certification, ratings sought, appropriate FAA field office. Persons 202–267–1684. changes in location or housing and requesting to obtain an initial Air SUPPLEMENTARY INFORMATION: facilities, change in name or ownership, Agency Certificate to operate as an FAA Public Comments Invited: You are or any other purpose for which the certificated repair station or request asked to comment on any aspect of this applicant requests, including a request changes to an existing repair station (air information collection, including (a) for approval to contract maintenance agency) certificate do so by submitting Whether the proposed collection of functions to outside entities. Once the the request through the submission of information is necessary for FAA’s FAA reviews the submitted application the FAA Form 8310–3. This form is performance; (b) the accuracy of the and finds the applicant has the ability available to the applicant/respondent estimated burden; (c) ways for FAA to to comply with the 14 CFR part 145

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requirements for certification, an air In addition, one copy of any appointment and request, inspect the agency certificate and ratings is issued. comments submitted to the FAA must application, notice and other documents The FAA retains a copy of the be mailed or delivered to: Greg determined by the FAA to be related to application in the FAA office that Harrison, Winterset Airport Authority the application in person at the issued the certificate for an indefinite Chairman, Winterset Municipal Airport, Winterset Municipal Airport. time or a time-period specified by the 3405 N 8th Avenue, Winterset, IA Issued in Kansas City, MO, on March 27, Agency’s Records Management Order 50273, (515) 468–0802. 2020. 1350.14B, mandated by the Federal FOR FURTHER INFORMATION CONTACT: James A. Johnson, Records Act of 1950, as amended. The Amy J. Walter, Airports Land Specialist, Director, Airports Division. applicant is not required to retain a Federal Aviation Administration, [FR Doc. 2020–06756 Filed 3–31–20; 8:45 am] copy of the form. The FAA does not Airports Division, ACE–620G, 901 BILLING CODE 4910–13–P provide other persons or entities with Locust Room 364, Kansas City, MO information contained in the form. 64106, (816) 329–2603, amy.walter@ Respondents: There were a total of faa.gov. DEPARTMENT OF TRANSPORTATION 129 applications submitted to the FAA The request to release property may in fiscal year (FY) 2019. Out of the 129 be reviewed, by appointment, in person Federal Aviation Administration applications, 64 applications were at this same location. [Summary Notice No. 2020–14] submitted for initial certification. SUPPLEMENTARY INFORMATION: The FAA Frequency: Information is collected invites public comment on the request Petition for Exemption; Summary of on occasion. One time for initial to release approximately 0.845± acres of Petition Received; Old Abe Aviation certification and when or if an existing airport property at the Winterset LLC certificated repair station request Municipal Airport (3Y3) under the changes to their certificate. provisions of 49 U.S.C. 47107(h)(2). On AGENCY: Federal Aviation Estimated Average Burden per March 19, 2020, the Winterset Airport Administration (FAA), Department of Response: 15 minutes. Authority Chairman requested from the Transportation (DOT). Estimated Total Annual Burden: FAA that 0.845± acres of property be ACTION: Notice. 32.25 hours annual burden for FY2019. released to Madison County for the There is no requirement for a purpose of relocating N. 8th Avenue and SUMMARY: This notice contains a respondent to submit this form establishing a new right of way and summary of a petition seeking relief annually. utility corridor. On March 27, 2020, the from specified requirements of Federal Issued in Washington, DC, on March 27, FAA determined the request to release Aviation Regulations. The purpose of 2020. property at the Winterset Municipal this notice is to improve the public’s Susan Traugott Ludwig, Airport (3Y3) submitted by the Sponsor awareness of, and participation in, the Federal Aviation Administration, Office of meets the procedural requirements of FAA’s exemption process. Neither Safety Standards, Aviation Safety Inspector, the Federal Aviation Administration publication of this notice nor the Aircraft Maintenance Division, Repair Station and the release of the property does not inclusion or omission of information in Branch, AFS–340. and will not impact future aviation the summary is intended to affect the [FR Doc. 2020–06750 Filed 3–31–20; 8:45 am] needs at the airport. The FAA may legal status of the petition or its final BILLING CODE 4910–13–P approve the request, in whole or in part, disposition. no sooner than thirty days after the DATES: Comments on this petition must publication of this Notice. identify the petition docket number and DEPARTMENT OF TRANSPORTATION The following is a brief overview of must be received on or before April 21, Federal Aviation Administration the request: 2020. Winterset Municipal Airport (3Y3) is ADDRESSES: Send comments identified Notice of Request To Release Airport proposing the release of a two parcels, by docket number FAA–2020–0056 ± Property totaling 0.845 acres. The release of using any of the following methods: land is necessary to comply with • Federal eRulemaking Portal: Go to AGENCY: Federal Aviation Federal Aviation Administration Grant http://www.regulations.gov and follow Administration (FAA), DOT. Assurances that do not allow federally the online instructions for sending your ACTION: Notice of intent to rule on acquired airport property to be used for comments electronically. request to release airport property at the non-aviation purposes. The sale of the • Mail: Send comments to Docket Winterset Municipal Airport (3Y3) subject property will result in the land Operations, M–30; U.S. Department of Winterset, Iowa. at the Winterset Municipal Airport Transportation, 1200 New Jersey (3Y3) being changed from aeronautical Avenue SE, Room W12–140, West SUMMARY: The FAA proposes to rule and to nonaeronautical use and release the Building Ground Floor, Washington, DC invites public comment on the release of land from the conditions of the AIP 20590–0001. land at the Winterset Municipal Airport Grant Agreement Grant Assurances. In • Hand Delivery or Courier: Take (3Y3), Winterset, Iowa. accordance with 49 U.S.C. comments to Docket Operations in DATES: Comments must be received on 47107(c)(2)(B)(i) and (iii), the airport Room W12–140 of the West Building or before May 1, 2020. will exchange these parcels for a parcel Ground Floor at 1200 New Jersey ADDRESSES: Comments on this adjacent to the airport containing the Avenue SE, Washington, DC 20590– application may be mailed or delivered previous N. 8th Avenue road right of 0001, between 9 a.m. and 5 p.m., to the FAA at the following address: way and utility corridor. Monday through Friday, except Federal Amy J. Walter, Airports Land Specialist, Any person may inspect, by holidays. Federal Aviation Administration, appointment, the request in person at • Fax: Fax comments to Docket Airports Division, ACE–620G, 901 the FAA office listed above under FOR Operations at (202) 493–2251. Locust Room 364, Kansas City, MO FURTHER INFORMATION CONTACT. In Privacy: In accordance with 5 U.S.C. 64106. addition, any person may, upon 553(c), DOT solicits comments from the

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public to better inform its rulemaking conditions and limitations of the Docket: Background documents or process. DOT posts these comments, exemption. comments received may be read at without edit, including any personal [FR Doc. 2020–06796 Filed 3–31–20; 8:45 am] http://www.regulations.gov at any time. information the commenter provides, to BILLING CODE 4910–13–P Follow the online instructions for http://www.regulations.gov, as accessing the docket or go to the Docket described in the system of records Operations in Room W12–140 of the notice (DOT/ALL–14 FDMS), which can DEPARTMENT OF TRANSPORTATION West Building Ground Floor at 1200 be reviewed at http://www.dot.gov/ New Jersey Avenue SE, Washington, DC privacy. Federal Aviation Administration 20590–0001, between 9 a.m. and 5 p.m., Docket: Background documents or [Summary Notice No. 2020–11] Monday through Friday, except Federal comments received may be read at holidays. http://www.regulations.gov at any time. Petition for Exemption; Summary of FOR FURTHER INFORMATION CONTACT: Jake Follow the online instructions for Petition Received; Monar Aero Inc. Troutman, (202) 683–7788, Office of accessing the docket or go to the Docket AGENCY: Federal Aviation Rulemaking, Federal Aviation Operations in Room W12–140 of the Administration, 800 Independence West Building Ground Floor at 1200 Administration (FAA), Department of Transportation (DOT). Avenue SW, Washington, DC 20591. New Jersey Avenue SE, Washington, DC This notice is published pursuant to ACTION: Notice. 20590–0001, between 9 a.m. and 5 p.m., 14 CFR 11.85. Monday through Friday, except Federal SUMMARY: This notice contains a Issued in Washington, DC, on March 20, holidays. summary of a petition seeking relief 2020. FOR FURTHER INFORMATION CONTACT: Jake from specified requirements of Federal Brandon Roberts, Troutman, (202) 683–7788, Office of Aviation Regulations. The purpose of Deputy Executive Director, Office of Rulemaking, Federal Aviation this notice is to improve the public’s Rulemaking. Administration, 800 Independence awareness of, and participation in, the Avenue SW, Washington, DC 20591. FAA’s exemption process. Neither Petition for Exemption This notice is published pursuant to publication of this notice nor the Docket No.: FAA–2019–1111. 14 CFR 11.85. inclusion or omission of information in Petitioner: Monar Aero Inc. Issued in Washington, DC, on March 20, the summary is intended to affect the Section(s) of 14 CFR Affected: Part 21, 2020. legal status of the petition or its final Subpart H §§ 45.23(b); 61.113(a) & (b); Brandon Roberts, disposition. 61.133(a); 91.7(a); 91.9(b)(2); 91.103(b); Acting Executive Director, Office of DATES: Comments on this petition must 91.109; 91.119; 91.121; 91.151; 91.203(a) Rulemaking. identify the petition docket number and & (b); 91.405(a); 91.407(a)(1); 91.409(a)(2); & 91.417(a) & (b). Petition for Exemption must be received on or before April 21, 2020. Description of Relief Sought: The Docket No.: FAA–2020–0056. ADDRESSES: Send comments identified proposed exemption, if granted, would Petitioner: Old Abe Aviation LLC. by docket number FAA–2019–1111 allow the petitioner to operate camera- Section(s) of 14 CFR Affected: using any of the following methods: mounted unmanned aircraft systems § 61.56(a)(1) & (2). • Federal eRulemaking Portal: Go to (UAS) weighing more than 55 pounds Description of Relief Sought: The http://www.regulations.gov and follow (lbs.), but less than 100 lbs. including proposed exemption, if granted, would the online instructions for sending your payload (i.e. camera, lens, remote head) allow the petitioner, and all part 61 comments electronically. for the purpose of closed-set filming of certificated pilots other than student • Mail: Send comments to Docket motion pictures, music videos, web pilots, relief from the aeronautical Operations, M–30; U.S. Department of videos, corporate videos, television knowledge test requirement in Transportation, 1200 New Jersey programs and commercials, and still § 107.63(a)(1), provided the person Avenue SE, Room W12–140, West photography. Proposed operations applying for a remote pilot certificate Building Ground Floor, Washington, DC would occur as close as 20 feet from has met the following requirements: 20590–0001. filming production personnel. (a) The applicant must hold a part 61 • Hand Delivery or Courier: Take Operation altitude would not exceed pilot certificate other than a student comments to Docket Operations in 400 feet above ground level. pilot certificate. Room W12–140 of the West Building [FR Doc. 2020–06788 Filed 3–31–20; 8:45 am] (b) The applicant has received at least Ground Floor at 1200 New Jersey BILLING CODE 4910–13–P two hours of ground instruction from an Avenue SE, Washington, DC 20590– authorized instructor using a 0001, between 9 a.m. and 5 p.m., curriculum approved by the FAA. Monday through Friday, except Federal DEPARTMENT OF TRANSPORTATION (c) The authorized instructor holidays. described in #2 must hold: (1) A ground • Fax: Fax comments to Docket Federal Aviation Administration instructor or flight instructor certificate Operations at (202) 493–2251. (2) a part 61 pilot certificate other than Privacy: In accordance with 5 U.S.C. [Summary Notice No. 2020–13] a student pilot certificate, and (3) a part 553(c), DOT solicits comments from the Petition for Exemption; Summary of 107 remote pilot certificate. public to better inform its rulemaking Petition Received; UAVantage, LLC (d) The curriculum, described in #2, process. DOT posts these comments, must include review of all areas of without edit, including any personal AGENCY: Federal Aviation knowledge included in § 107.74(a). information the commenter provides, to Administration (FAA), Department of (e) The authorized instructor must http://www.regulations.gov, as Transportation (DOT). provide the applicant with an described in the system of records ACTION: Notice. endorsement in the applicant’s pilot notice (DOT/ALL–14 FDMS), which can logbook attesting that the training was be reviewed at http://www.dot.gov/ SUMMARY: This notice contains a provided in accordance with the privacy. summary of a petition seeking relief

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from specified requirements of Federal Issued in Washington, DC, on March 20, • Mail: Send comments to Docket Aviation Regulations. The purpose of 2020. Operations, M–30; U.S. Department of this notice is to improve the public’s Brandon Roberts, Transportation, 1200 New Jersey awareness of, and participation in, the Deputy Executive Director, Office of Avenue SE, Room W12–140, West FAA’s exemption process. Neither Rulemaking. Building Ground Floor, Washington, DC publication of this notice nor the Petition for Exemption 20590–0001. inclusion or omission of information in • Hand Delivery or Courier: Take the summary is intended to affect the Docket No.: FAA–2020–0127. comments to Docket Operations in legal status of the petition or its final Petitioner: UAVantage, LLC. Room W12–140 of the West Building Section(s) of 14 CFR Affected: disposition. Ground Floor at 1200 New Jersey 61.3(a)(1)(i); 91.119(c); 91.121; Avenue SE, Washington, DC 20590– DATES: 91.151(b); 91.405(a); 91.407(a)(1); Comments on this petition must 0001, between 9 a.m. and 5 p.m., 91.409(a)(1) & (2); & 91.417(a) & (b). identify the petition docket number and Monday through Friday, except Federal Description of Relief Sought: The must be received on or before April 21, holidays. proposed exemption, if granted, would 2020. • Fax: Fax comments to Docket allow the petitioner to operate the ADDRESSES: Send comments identified Operations at (202) 493–2251. Freefly Systems, Altax X unmanned by docket number FAA–2020–0127 Privacy: In accordance with 5 U.S.C. aircraft system (UAS), weighing more using any of the following methods: 553(c), DOT solicits comments from the than 55 pounds (lbs.), but no more than • public to better inform its rulemaking Federal eRulemaking Portal: Go to 70 lbs., for closed-set aerial process. DOT posts these comments, http://www.regulations.gov and follow cinematography operations for the without edit, including any personal the online instructions for sending your television and motion picture industry. information the commenter provides, to comments electronically. Operations would be within visual line • http://www.regulations.gov, as Mail: Send comments to Docket of sight of the pilot or visual observer described in the system of records Operations, M–30; U.S. Department of and will be limited to a maximum notice (DOT/ALL–14 FDMS), which can Transportation, 1200 New Jersey altitude of 400 feet above ground level be reviewed at http://www.dot.gov/ Avenue SE, Room W12–140, West (AGL) and will normally be flown at privacy. Building Ground Floor, Washington, DC altitudes of 25 to 100 feet AGL or less. 20590–0001. Docket: Background documents or [FR Doc. 2020–06789 Filed 3–31–20; 8:45 am] • Hand Delivery or Courier: Take comments received may be read at BILLING CODE 4910–13–P comments to Docket Operations in http://www.regulations.gov at any time. Room W12–140 of the West Building Follow the online instructions for accessing the docket or go to the Docket Ground Floor at 1200 New Jersey DEPARTMENT OF TRANSPORTATION Avenue SE, Washington, DC 20590– Operations in Room W12–140 of the 0001, between 9 a.m. and 5 p.m., Federal Aviation Administration West Building Ground Floor at 1200 Monday through Friday, except Federal New Jersey Avenue SE, Washington, DC [Summary Notice No. 2020–15] holidays. 20590–0001, between 9 a.m. and 5 p.m., Monday through Friday, except Federal • Fax: Fax comments to Docket Petition for Exemption; Summary of holidays. Operations at (202) 493–2251. Petition Received; Wild Rabbit FOR FURTHER INFORMATION CONTACT: Jake Privacy: In accordance with 5 U.S.C. Production, Inc. Troutman (202) 683–7788, Office of 553(c), DOT solicits comments from the AGENCY: Federal Aviation Rulemaking, Federal Aviation public to better inform its rulemaking Administration (FAA), Department of Administration, 800 Independence process. DOT posts these comments, Transportation (DOT). Avenue SW, Washington, DC 20591. without edit, including any personal This notice is published pursuant to information the commenter provides, to ACTION: Notice. 14 CFR 11.85. http://www.regulations.gov, as SUMMARY: This notice contains a described in the system of records summary of a petition seeking relief Issued in Washington, DC, on March 20, 2020. notice (DOT/ALL–14 FDMS), which can from specified requirements of Federal be reviewed at http://www.dot.gov/ Aviation Regulations. The purpose of Brandon Roberts, privacy. this notice is to improve the public’s Acting Executive Director, Office of Docket: Background documents or awareness of, and participation in, the Rulemaking. comments received may be read at FAA’s exemption process. Neither Petition for Exemption http://www.regulations.gov at any time. publication of this notice nor the Docket No.: FAA–2019–1108. Follow the online instructions for inclusion or omission of information in Petitioner: Wild Rabbit Production, accessing the docket or go to the Docket the summary is intended to affect the Inc. Operations in Room W12–140 of the legal status of the petition or its final Section(s) of 14 CFR Affected: West Building Ground Floor at 1200 disposition. §§ 91.119 (c); 91.121; 91.151(b); New Jersey Avenue SE, Washington, DC DATES: Comments on this petition must 91.405(a); 91.407(a)(1); 91.409(a)(1) & 20590–0001, between 9 a.m. and 5 p.m., identify the petition docket number and (2); & 91.417(a) & (b). Monday through Friday, except Federal must be received on or before April 21, Description of Relief Sought: The holidays. 2020. proposed exemption, if granted, would FOR FURTHER INFORMATION CONTACT: Jake ADDRESSES: Send comments identified allow the petitioner to operate the Troutman, (202) 683–7788, Office of by docket number FAA–2019–1108 Freefly Systems, Inc. Alta X unmanned Rulemaking, Federal Aviation using any of the following methods: aircraft system (UAS), over 55 pounds Administration, 800 Independence • Federal eRulemaking Portal: Go to (lbs.) but no more than 70 lbs., for Avenue SW, Washington, DC 20591. http://www.regulations.gov and follow controlled, low-risk, closed-set aerial This notice is published pursuant to the online instructions for sending your cinematography operations for the 14 CFR 11.85. comments electronically. television and motion picture industry.

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Operations will be conducted within effective, efficient, and satisfying tax return information are confidential, visual line of sight of the pilot or visual experience with the Agency’s programs. as required by 26 U.S.C. 6103. observer and will take place under 400 This feedback will provide insights into Request for Comments: Comments ft. above ground level. The petitioner customer or stakeholder perceptions, submitted in response to this notice will proposes that consenting persons experiences and expectations, provide be summarized and/or included in the involved in the filming production be an early warning of issues with service, request for OMB approval. All allowed within 100 feet of the flight or focus attention on areas where comments will become a matter of operations area during production, with communication, training or changes in public record. Comments are invited on: the additional option of reducing that operations might improve delivery of (a) Whether the collection of distance to 30 feet if approved. products or services. These collections information is necessary for the proper [FR Doc. 2020–06790 Filed 3–31–20; 8:45 am] will allow for ongoing, collaborative and performance of the functions of the BILLING CODE 4910–13–P actionable communications between the agency, including whether the Agency and its customers and information shall have practical utility; stakeholders. It will also allow feedback (b) the accuracy of the agency’s estimate DEPARTMENT OF THE TREASURY to contribute directly to the of the burden of the collection of improvement of program management. information; (c) ways to enhance the Internal Revenue Service Current Actions: We will be quality, utility, and clarity of the conducting different opinion surveys, information to be collected; (d) ways to Proposed Collection; Comment focus group sessions, think-aloud minimize the burden of the collection of Request on Information Collection interviews, and usability studies information on respondents, including Tools Relating to Qualitative Feedback regarding cognitive research through the use of automated collection on Agency Service Delivery surrounding forms submission or IRS techniques or other forms of information system/product development. technology; and (e) estimates of capital AGENCY: Internal Revenue Service (IRS), Type of Review: Revision of a or start-up costs and costs of operation, Treasury. currently approved collection. maintenance, and purchase of services ACTION: Notice and request for Affected Public: Individuals and to provide information. comments. businesses or other for-profit Approved: March 26, 2020. SUMMARY: The Internal Revenue Service, organizations. Sara L. Covington, as part of its continuing effort to reduce This collection of information is IRS Tax Analyst. necessary to enable the Agency to garner paperwork and respondent burden, [FR Doc. 2020–06745 Filed 3–31–20; 8:45 am] customer and stakeholder feedback in invites the general public and other BILLING CODE 4830–01–P Federal agencies to take this an efficient, timely manner, in opportunity to comment on information accordance with our commitment to collections, as required by the improving service delivery. The DEPARTMENT OF THE TREASURY Paperwork Reduction Act of 1995. The information collected from our IRS is soliciting comments concerning customers and stakeholders will help Internal Revenue Service the collection of qualitative feedback on ensure that users have an effective, agency service delivery. efficient, and satisfying experience with Open Meeting of the Taxpayer the Agency’s programs. This feedback Advocacy Panel’s Toll-Free Phone Line DATES: Written comments should be will provide insights into customer or Project Committee received on or before June 1, 2020 to be stakeholder perceptions, experiences assured of consideration. and expectations, provide an early AGENCY: Internal Revenue Service (IRS) ADDRESSES: Direct all written comments warning of issues with service, or focus Treasury. to Gerard Pieger, Internal Revenue attention on areas where ACTION: Notice of meeting. Service, Room 6526, 1111 Constitution communication, training or changes in SUMMARY: An open meeting of the Avenue NW, Washington, DC 20224. operations might improve delivery of Taxpayer Advocacy Panel’s Toll-Free FOR FURTHER INFORMATION CONTACT: products or services. It will also allow Phone Line Project Committee will be Requests for additional information or feedback to contribute directly to the conducted. The Taxpayer Advocacy copies of the collection tools should be improvement of program management. Panel is soliciting public comments, directed to Sara Covington, Internal Estimated Number of Respondents: ideas, and suggestions on improving Revenue Service, Room 6526, 1111 11632. customer service at the Internal Revenue Constitution Avenue NW, Washington, Estimated Time per Respondent: 9 Service. Due to the current health issue DC 20224, or at (202) 317–6038, or mins. the nation is facing, we will not be able through the internet at Estimated Total Annual Burden to meet the 15-calendar notice [email protected]. Hours: 1697. threshold. This meeting will still be SUPPLEMENTARY INFORMATION: The following paragraph applies to all held via teleconference. Title: Collection of Qualitative of the collections of information covered DATES: Feedback on Agency Service Delivery. by this notice: The meeting will be held OMB Number: 1545–2256. An agency may not conduct or Wednesday, April 8, 2020. Abstract: This collection of sponsor, and a person is not required to FOR FURTHER INFORMATION CONTACT: information is necessary to enable the respond to, a collection of information Rosalind Matherne at 1–888–912–1227 Agency to garner customer and unless the collection of information or 202–317–4115. stakeholder feedback in an efficient, displays a valid OMB control number. SUPPLEMENTARY INFORMATION: Notice is timely manner, in accordance with our Books or records relating to a collection hereby given pursuant to Section commitment to improving service of information must be retained as long 10(a)(2) of the Federal Advisory delivery. The information collected as their contents may become material Committee Act, 5 U.S.C. App. (1988) from our customers and stakeholders in the administration of any internal that an open meeting of the Taxpayer will help ensure that users have an revenue law. Generally, tax returns and Advocacy Panel Toll-Free Phone Line

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Project Committee will be held DEPARTMENT OF THE TREASURY SUPPLEMENTARY INFORMATION: Notice is Wednesday, April 8, 2020 at 11:00am hereby given pursuant to Section Eastern Time. The public is invited to Internal Revenue Service 10(a)(2) of the Federal Advisory make oral comments or submit written Committee Act, 5 U.S.C. App. (1988) Open Meeting of the Taxpayer statements for consideration. Due to that an open meeting of the Taxpayer Advocacy Panel’s Notices and Advocacy Panel’s Notices and limited time and structure of meeting, Correspondence Project Committee notification of intent to participate must Correspondence Project Committee will be made with Rosalind Matherne. For AGENCY: Internal Revenue Service (IRS) be held Wednesday, April 8, 2020, at more information please contact Treasury. 1:00 p.m. Eastern Time. The public is Rosalind Matherne at 1–888–912–1227 ACTION: Notice of meeting. invited to make oral comments or or 202–317–4115, or write TAP Office, submit written statements for SUMMARY: An open meeting of the consideration. Due to limited time and 1111 Constitution Ave. NW, Room 1509, Taxpayer Advocacy Panel Tax Notices Washington, DC, 20224 or contact us at structure of meeting, notification of and Correspondence Project Committee intent to participate must be made with the website: http://www.improveirs.org. will be conducted. The Taxpayer Robert Rosalia. For more information The agenda will include various IRS Advocacy Panel is soliciting public please contact Robert Rosalia at 1–888– issues. comments, ideas, and suggestions on 912–1227 or (718) 834–2203, or write Dated: March 27, 2020. improving customer service at the TAP Office, 2 Metrotech Center, 100 Kevin Brown, Internal Revenue Service. Due to the Myrtle Avenue, Brooklyn, NY 11201 or current health issue the nation is facing, Acting Director, Taxpayer Advocacy Panel. contact us at the website: http:// we will not be able to meet the 15- [FR Doc. 2020–06841 Filed 3–31–20; 8:45 am] www.improveirs.org. The agenda will calendar notice threshold. This meeting include various IRS issues. BILLING CODE 4830–01–P will still be held via teleconference. Dated: March 27, 2020. DATES: The meeting will be held Wednesday, April 8, 2020. Kevin Brown, FOR FURTHER INFORMATION CONTACT: Acting Director, Taxpayer Advocacy Panel. Robert Rosalia at 1–888–912–1227 or [FR Doc. 2020–06842 Filed 3–31–20; 8:45 am] (718) 834–2203. BILLING CODE 4830–01–P

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Part II

Department of the Treasury

Office of Foreign Assets Control Notice of OFAC Sanctions Actions; Notice

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DEPARTMENT OF THE TREASURY a.k.a. CHAGHAZARDY, MohammadKazem); Subject to Secondary Sanctions; Gender DOB 21 Jan 1962; nationality Iran; Additional Male; Passport D9016371 (Iran) (individual) Office of Foreign Assets Control Sanctions Information—Subject to Secondary [IRAN]. Sanctions; Gender Male (individual) Identified as meeting the definition of the Notice of OFAC Sanctions Actions [NPWMD] [IFSR] (Linked To: BANK SEPAH). term Government of Iran as set forth in Designated pursuant to section 1(a)(iv) of section 7(d) of E.O. 13599 and section AGENCY: Office of Foreign Assets E.O. 13382 for acting or purporting to act for 560.304 of the ITSR, 31 CFR part 560. Control, Treasury. or on behalf of, directly or indirectly, BANK 11. SAEEDI, Mohammed; DOB 22 Nov ACTION: Notice. SEPAH, a person whose property and 1962; Additional Sanctions Information— interests in property are blocked pursuant to Subject to Secondary Sanctions; Gender SUMMARY: The U.S. Department of the E.O. 13382. Male; Passport W40899252 (Iran) (individual) Treasury’s Office of Foreign Assets 3. KHALILI, Jamshid; DOB 23 Sep 1957; [IRAN]. Control (OFAC) is publishing the names Additional Sanctions Information—Subject Identified as meeting the definition of the of one or more persons that have been to Secondary Sanctions; Gender Male; term Government of Iran as set forth in Passport Y28308325 (Iran) (individual) section 7(d) of E.O. 13599 and section placed on OFAC’s Specially Designated [IRAN]. 560.304 of the ITSR, 31 CFR part 560. Nationals and Blocked Persons List Identified as meeting the definition of the 12. REZVANIANZADEH, Mohammed Reza based on OFAC’s determination that one term Government of Iran as set forth in (a.k.a. REZVANIANZADE, Mohammad Reza; or more applicable legal criteria were section 7(d) of Executive Order 13599 of a.k.a. REZVANIANZADEH, Mohammad satisfied. All property and interests in February 5, 2012, ‘‘Blocking Property of the Reza; a.k.a. REZVANYANZADEH, property subject to U.S. jurisdiction of Government of Iran and Iranian Financial Mohammadreza); DOB 11 Dec 1969; POB these persons are blocked, and U.S. Institutions’’ 77 FR 6659, 3 CFR 13599 (E.O. Ardestan, Iran; Additional Sanctions persons are generally prohibited from 13599) and section 560.304 of the Iranian Information—Subject to Secondary engaging in transactions with them. Transactions and Sanctions Regulations Sanctions; Gender Male; Passport G10506469 (ITSR), 31 CFR part 560. (Iran) expires 12 Dec 2022 (individual) DATES: See Supplementary Information 4. DAJMAR, Mohammad Hossein; DOB 19 [IRAN] (Linked To: ATOMIC ENERGY section for date(s) sanctions become Feb 1956; Additional Sanctions ORGANIZATION OF IRAN). effective. Information—Subject to Secondary Identified pursuant to section 1(c) of E.O. 13599 for having acted or purported to act for FOR FURTHER INFORMATION CONTACT: Sanctions; Gender Male (individual) [IRAN]. OFAC: Associate Director for Global Identified as meeting the definition of the or on behalf of, directly or indirectly, the ATOMIC ENERGY ORGANIZATION OF Targeting, tel.: 202–622–2420; Assistant term Government of Iran as set forth in section 7(d) of E.O. 13599 and section IRAN, a person whose property and interests Director for Sanctions Compliance & 560.304 of the ITSR, 31 CFR part 560. in property are blocked pursuant to E.O. Evaluation, tel.: 202–622–2490; or 5. ESLAMI, Mansour; DOB 21 Jan 1965; 13599. Assistant Director for Licensing, tel.: Additional Sanctions Information—Subject 13. SAFDARI, Seyed Jaber (a.k.a. 202–622–2480. to Secondary Sanctions; Gender Male; SAFDARI, Sayyed Jaber; a.k.a. SAFDARI, SUPPLEMENTARY INFORMATION: Passport H37045909 (Iran) (individual) Seyyed Jaber); DOB 1968 to 1969; Additional [IRAN]. Sanctions Information—Subject to Secondary Electronic Availability Identified as meeting the definition of the Sanctions; Gender Male (individual) [IRAN] The Specially Designated Nationals term Government of Iran as set forth in (Linked To: ADVANCED TECHNOLOGIES section 7(d) of E.O. 13599 and section COMPANY OF IRAN). and Blocked Persons List and additional Identified pursuant to section 1(c) of E.O. information concerning OFAC sanctions 560.304 of the ITSR, 31 CFR part 560. 6. BATENI, Naser; DOB 16 Dec 1962; 13599 for having acted or purported to act for programs are available on OFAC’s Additional Sanctions Information—Subject or on behalf of, directly or indirectly, website (www.treas.gov/ofac). to Secondary Sanctions; Gender Male ADVANCED TECHNOLOGIES COMPANY Notice of OFAC Actions (individual) [IRAN]. OF IRAN, a person whose property and Identified as meeting the definition of the interests in property are blocked pursuant to On November 5, 2018, OFAC term Government of Iran as set forth in E.O. 13599. determined that the property and section 7(d) of E.O. 13599 and section Entities interests in property subject to U.S. 560.304 of the ITSR, 31 CFR part 560. jurisdiction of the following persons are 7. YOUSEFPOUR, Ali; DOB 01 Jan 1955 to 1. ATOMIC ENERGY ORGANIZATION OF blocked under the relevant sanctions 31 Dec 1955; Additional Sanctions IRAN (a.k.a. AEOI), North kargar street, P.O. authorities listed below. Information—Subject to Secondary Box 14155–1339, Tehran, Iran; website Sanctions; Gender Male (individual) [IRAN]. http://www.aeoi.org.ir; Additional Sanctions Individuals Identified as meeting the definition of the Information—Subject to Secondary Sanctions term Government of Iran as set forth in [IRAN]. 1. BEHZAD, Morteza Ahmadali (a.k.a. BEHZAD, Morteza; a.k.a. BEHZADI, section 7(d) of E.O. 13599 and section Identified as meeting the definition of the Morteza); DOB 1959; alt. DOB 1960; POB 560.304 of the ITSR, 31 CFR part 560. term Government of Iran as set forth in Yazd, Iran; nationality Iran; Additional 8. YAZDAN JOO, Mohammad Ali; DOB 03 section 7(d) of E.O. 13599 and section Sanctions Information—Subject to Secondary Jun 1962; Additional Sanctions 560.304 of the ITSR, 31 CFR part 560. Sanctions; Gender Male; National ID No. Information—Subject to Secondary 2. PARS ISOTOPE COMPANY, No. 88, 4432151609 (Iran) (individual) [NPWMD] Sanctions; Gender Male (individual) [IRAN]. West 23rd St. Azadegan Blvd. South Sheykh [IFSR] (Linked To: PISHRO SYSTEMS Identified as meeting the definition of the Bahaie Ave., Tehran, Iran; website http:// RESEARCH COMPANY). term Government of Iran as set forth in www.parsisotope.com; Additional Sanctions Designated pursuant to section 1(a)(iv) of section 7(d) of E.O. 13599 and section Information—Subject to Secondary Sanctions Executive Order 13382 of June 28, 2005, 560.304 of the ITSR, 31 CFR part 560. [IRAN] (Linked To: ATOMIC ENERGY ‘‘Blocking Property of Weapons of Mass 9. SURI, Muhammad; DOB 01 Jan 1946 to ORGANIZATION OF IRAN). Destruction Proliferators and Their 31 Dec 1946; Additional Sanctions Identified pursuant to section 1(c) of E.O. Supporters,’’ 70 FR 38565, 3 CFR 13382 (E.O. Information—Subject to Secondary 13599 for being owned or controlled by, or 13382) for acting or purporting to act for or Sanctions; Gender Male (individual) [IRAN]. for having acted or purported to act for or on on behalf of, directly or indirectly, PISHRO Identified as meeting the definition of the behalf of, directly or indirectly, the ATOMIC SYSTEMS RESEARCH COMPANY, a person term Government of Iran as set forth in ENERGY ORGANIZATION OF IRAN, a whose property and interests in property are section 7(d) of E.O. 13599 and section person whose property and interests in blocked pursuant to E.O. 13382. 560.304 of the ITSR, 31 CFR part 560. property are blocked pursuant to E.O. 13599. 2. CHAGHAZARDY, Mohammad Kazem 10. KHOSROWTAJ, Mojtaba; DOB 09 Nov 3. RADIATION APPLICATIONS (a.k.a. CHAGHAZARDI, Mahammadkazem; 1952; Additional Sanctions Information— DEVELOPMENT COMPANY (a.k.a.

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RADIATION APPLICATIONS ENERGY ORGANIZATION OF IRAN, a ENERGY ORGANIZATION OF IRAN, a DEVELOPMENT HOLDING COMPANY; person whose property and interests in person whose property and interests in a.k.a. ‘‘RAD’’; a.k.a. ‘‘RADIATION property are blocked pursuant to E.O. 13599. property are blocked pursuant to E.O. 13599. APPLICATIONS’’), Tehran, Iran; Additional 8. NOVIN ENERGY COMPANY (a.k.a. 13. RASTIN KHADAMAT PARSIAN Sanctions Information—Subject to Secondary ENERGY NOVIN COMPANY; a.k.a. ENERGY COMPANY (a.k.a. PARSIAN TECHNOLOGY Sanctions [IRAN] (Linked To: ATOMIC NOVIN CORPORATION; a.k.a. NOVIN SUPPORT COMPANY), Iran; Additional ENERGY ORGANIZATION OF IRAN). ENERGY; a.k.a. NOVIN ENERGY Sanctions Information—Subject to Secondary Identified pursuant to section 1(c) of E.O. CORPORATION), Tehran, Iran; 1st Sanctions [IRAN] (Linked To: ATOMIC 13599 for being owned or controlled by, or Shaghayegh Bld., North Kargar St., Tehran, ENERGY ORGANIZATION OF IRAN). for having acted or purported to act for or on Iran; Additional Sanctions Information— Identified pursuant to section 1(c) of E.O. behalf of, directly or indirectly, the ATOMIC Subject to Secondary Sanctions [IRAN] 13599 for being owned or controlled by, or ENERGY ORGANIZATION OF IRAN, a (Linked To: ATOMIC ENERGY for having acted or purported to act for or on person whose property and interests in ORGANIZATION OF IRAN). behalf of, directly or indirectly, the ATOMIC property are blocked pursuant to E.O. 13599. Identified pursuant to section 1(c) of E.O. ENERGY ORGANIZATION OF IRAN, a 4. URANIUM PROCESSING AND 13599 for being owned or controlled by, or person whose property and interests in NUCLEAR FUEL COMPANY (a.k.a. FATSA for having acted or purported to act for or on property are blocked pursuant to E.O. 13599. COMPANY; a.k.a. URANIUM PROCESSING behalf of, directly or indirectly, the ATOMIC 14. TAMAS COMPANY (a.k.a. NUCLEAR AND NUCLEAR FUEL COMPANY OF IRAN; ENERGY ORGANIZATION OF IRAN, a FUEL AND RAW MATERIALS a.k.a. URANIUM PROCESSING AND person whose property and interests in PRODUCTION COMPANY; a.k.a. RAW NUCLEAR FUEL PRODUCTION COMPANY; property are blocked pursuant to E.O. 13599. MATERIALS AND NUCLEAR FUEL a.k.a. ‘‘FATSA’’), Iran; Additional Sanctions 9. ATOMIC FUEL DEVELOPMENT PRODUCTION COMPANY; a.k.a. Information—Subject to Secondary Sanctions ENGINEERING COMPANY (a.k.a. ENERGY ‘‘TAMAS’’), Shahid Chamran Building, North [IRAN] (Linked To: ATOMIC ENERGY NOVIN INDUSTRIAL DEVELOPMENT; a.k.a. Kargar Street, Tehran, Iran; Additional ORGANIZATION OF IRAN). MATSA COMPANY; a.k.a. ‘‘ENID’’; a.k.a. Sanctions Information—Subject to Secondary Identified pursuant to section 1(c) of E.O. ‘‘MATSA’’), Iran; Additional Sanctions Sanctions [IRAN] (Linked To: ATOMIC 13599 for being owned or controlled by, or Information—Subject to Secondary Sanctions ENERGY ORGANIZATION OF IRAN). for having acted or purported to act for or on [IRAN] (Linked To: ATOMIC ENERGY Identified pursuant to section 1(c) of E.O. behalf of, directly or indirectly, the ATOMIC ORGANIZATION OF IRAN). 13599 for being owned or controlled by, or ENERGY ORGANIZATION OF IRAN, a Identified pursuant to section 1(c) of E.O. for having acted or purported to act for or on person whose property and interests in 13599 for being owned or controlled by, or behalf of, directly or indirectly, the ATOMIC property are blocked pursuant to E.O. 13599. for having acted or purported to act for or on ENERGY ORGANIZATION OF IRAN, a 5. POWER PLANT EQUIPMENT behalf of, directly or indirectly, the ATOMIC person whose property and interests in MANUFACTURING COMPANY (a.k.a. ENERGY ORGANIZATION OF IRAN, a property are blocked pursuant to E.O. 13599. SATNA COMPANY; a.k.a. ‘‘POWERPLANT person whose property and interests in 15. NUCLEAR INDUSTRY EXPLORATION EQUIPMENT MANUFACTURING property are blocked pursuant to E.O. 13599. AND RAW MATERIALS PRODUCTION COMPANY’’; a.k.a. ‘‘SATNA’’), Tehran, Iran; 10. MESBAH ENERGY COMPANY (a.k.a. COMPANY (a.k.a. EXPLORATION AND Additional Sanctions Information—Subject MESBAH ENERGY), Science & Technology NUCLEAR RAW MATERIAL PRODUCTION to Secondary Sanctions [IRAN] (Linked To: Park, Shahid Ghoddousi Blvd., Arak, Iran; COMPANY; a.k.a. EXPLORATION AND ATOMIC ENERGY ORGANIZATION OF Tehran, Iran; website www.isotope.ir; NUCLEAR RAW MATERIALS PRODUCTION IRAN). Additional Sanctions Information—Subject COMPANY; a.k.a. ‘‘EMKA’’), Iran; Additional Identified pursuant to section 1(c) of E.O. to Secondary Sanctions [IRAN] (Linked To: Sanctions Information—Subject to Secondary 13599 for being owned or controlled by, or ATOMIC ENERGY ORGANIZATION OF Sanctions [IRAN] (Linked To: TAMAS for having acted or purported to act for or on IRAN). COMPANY). behalf of, directly or indirectly, the ATOMIC Identified pursuant to section 1(c) of E.O. Identified pursuant to section 1(c) of E.O. ENERGY ORGANIZATION OF IRAN, a 13599 for being owned or controlled by, or 13599 for being owned or controlled by, or person whose property and interests in for having acted or purported to act for or on for having acted or purported to act for or on property are blocked pursuant to E.O. 13599. behalf of, directly or indirectly, the ATOMIC behalf of, directly or indirectly, TAMAS 6. AEOI BASIJ RESISTANCE CENTER ENERGY ORGANIZATION OF IRAN, a COMPANY, a person whose property and (a.k.a. BASIJ RESISTANCE CENTER OF THE person whose property and interests in interests in property are blocked pursuant to AEOI), Iran; Additional Sanctions property are blocked pursuant to E.O. 13599. E.O. 13599. Information—Subject to Secondary Sanctions 11. IRAN’S NUCLEAR POWER PLANT 16. NOVIN PARS MINERAL [IRAN] (Linked To: ATOMIC ENERGY CONSTRUCTION MANAGEMENT EXPLORATION AND MINING ORGANIZATION OF IRAN). COMPANY (a.k.a. ‘‘MASNA’’); Additional ENGINEERING COMPANY (a.k.a. NOVIN Identified pursuant to section 1(c) of E.O. Sanctions Information—Subject to Secondary KHARA; a.k.a. NOVIN KHARA MINERAL 13599 for being owned or controlled by, or Sanctions [IRAN] (Linked To: ATOMIC MINING EXTRACTION COMPANY; a.k.a. for having acted or purported to act for or on ENERGY ORGANIZATION OF IRAN). NOVIN PARS MINERAL EXPLORATION behalf of, directly or indirectly, the ATOMIC Identified pursuant to section 1(c) of E.O. AND MINING COMPANY; a.k.a. NOVIN ENERGY ORGANIZATION OF IRAN, a 13599 for being owned or controlled by, or PARS MINERAL MINING COMPANY; a.k.a. person whose property and interests in for having acted or purported to act for or on ‘‘ASKAM’’; a.k.a. ‘‘ESKAM’’; a.k.a. property are blocked pursuant to E.O. 13599. behalf of, directly or indirectly, the ATOMIC ‘‘MINERAL MINING EXTRACTION 7. ADVANCED TECHNOLOGIES ENERGY ORGANIZATION OF IRAN, a COMPANY’’; a.k.a. ‘‘SKAM’’), Iran; COMPANY OF IRAN (f.k.a. GHANI SAZI person whose property and interests in Additional Sanctions Information—Subject ENRICHMENT; f.k.a. IRANIAN property are blocked pursuant to E.O. 13599. to Secondary Sanctions [IRAN] (Linked To: ENRICHMENT COMPANY; a.k.a. 12. NUCLEAR POWER PRODUCTION ATOMIC ENERGY ORGANIZATION OF ‘‘ADVANCED TECHNOLOGIES’’; a.k.a. AND DEVELOPMENT COMPANY OF IRAN IRAN). ‘‘ADVANCED TECHNOLOGIES COMPANY’’; (a.k.a. NUCLEAR POWER PRODUCTION Identified pursuant to section 1(c) of E.O. a.k.a. ‘‘ADVANCED TECHNOLOGIES AND DEVELOPMENT HOLDING 13599 for being owned or controlled by, or HOLDING COMPANY’’; a.k.a. ‘‘IATC’’), COMPANY; a.k.a. ‘‘NPPD’’), No. 8, Tandis for having acted or purported to act for or on Tehran, Iran; Additional Sanctions St., Africa Ave., Tehran, Iran; Additional behalf of, directly or indirectly, the ATOMIC Information—Subject to Secondary Sanctions Sanctions Information—Subject to Secondary ENERGY ORGANIZATION OF IRAN, a [IRAN] (Linked To: ATOMIC ENERGY Sanctions [IRAN] (Linked To: ATOMIC person whose property and interests in ORGANIZATION OF IRAN). ENERGY ORGANIZATION OF IRAN). property are blocked pursuant to E.O. 13599. Identified pursuant to section 1(c) of E.O. Identified pursuant to section 1(c) of E.O. 17. THE NUCLEAR REACTORS FUEL 13599 for being owned or controlled by, or 13599 for being owned or controlled by, or COMPANY (a.k.a. ‘‘SOOREH’’; a.k.a. for having acted or purported to act for or on for having acted or purported to act for or on ‘‘SUREH’’), End of North Kargar Street, behalf of, directly or indirectly, the ATOMIC behalf of, directly or indirectly, the ATOMIC Shahid Abtahi Street, (20th), #61, Tehran,

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Iran; Esfahan Complex Khalije Fars Blvd., 20 22. BANK SEPAH, Negin Sepah Building, IRANISCHE HANDELSBANK km southeast of Esfahan, P.O. Box: 81465– Head Office of Bank Sepah, Nowrouz Street, AKTIENGESELLSCHAFT; a.k.a. 1957, Iran; Additional Sanctions Africa Hwy, Argentina Square, Tehran, Iran; EUROPAISCH-IRANISCHE HANDELSBANK Information—Subject to Secondary Sanctions 6th Floor, Negin Sepah Building, Nowrouz AKTIENGESELLSCHAFT), Depenau 2, [IRAN] (Linked To: ATOMIC ENERGY St., Africa Hwy., Argentina Sq., Tehran Hamburg 20095, Germany; Postfach 101304, ORGANIZATION OF IRAN). 1519662840, Iran; Imam Khomeini Square— Hamburg 20008, Germany; PO Box 97415– Identified pursuant to section 1(c) of E.O. PO Box 11364, Tehran, Iran; Hafenstrasse 54, 1836, Sanaee Avenue, Kish, Iran; 28 Tandis 13599 for being owned or controlled by, or D–60327, Frankfurt am Main, Germany; PO St, Nelson Mandela Blvd. (Ex North Africa for having acted or purported to act for or on Box 110261, Franfurt am Main, Hessen Blvd.), Tehran 19156–33383, Iran; SWIFT/ behalf of, directly or indirectly, the ATOMIC 60037, Germany; 20 Rue Auguste Vacquerie, BIC EIHBDEHH; alt. SWIFT/BIC EIHBIRTH; ENERGY ORGANIZATION OF IRAN, a Paris 75016, France; Via Barberini 50, Rome website www.eihbank.de; Additional person whose property and interests in 00187, Italy; SWIFT/BIC SEPBIRTH; website Sanctions Information—Subject to Secondary property are blocked pursuant to E.O. 13599. www.banksepah.ir; alt. Website Sanctions; Registration Number HRB 14604 18. NUCLEAR SCIENCE AND www.banksepah.de; Additional Sanctions (Germany); All Offices Worldwide [IRAN] TECHNOLOGY RESEARCH INSTITUTE Information—Subject to Secondary [NPWMD] [IFSR] (Linked To: BANK OF (a.k.a. NUCLEAR SCIENCES AND Sanctions; Registration Number 4293; All INDUSTRY AND MINE). TECHNOLOGIES RESEARCH INSTITUTE; Offices Worldwide [IRAN] [NPWMD] [IFSR] Designated pursuant to section 1(a)(iii) of a.k.a. ‘‘NSTRI’’), North Kargar Street, Tehran, (Linked To: MINISTRY OF DEFENSE FOR E.O. 13382 for having provided, or attempted Iran; Additional Sanctions Information— ARMED FORCES LOGISTICS). to provide, financial, material, technological Subject to Secondary Sanctions [IRAN] Designated pursuant to section 1(a)(iii) of or other support for, or goods or services in (Linked To: ATOMIC ENERGY E.O. 13382 for having provided, or attempted support of, BANK SEPAH, a person whose ORGANIZATION OF IRAN). to provide, financial, material, technological property and interests in property are Identified pursuant to section 1(c) of E.O. or other support for, or goods or services in blocked pursuant to E.O. 13382. 13599 for being owned or controlled by, or support of, the MINISTRY OF DEFENSE Designated pursuant to section 1(a)(iv) of for having acted or purported to act for or on AND ARMED FORCES LOGISTICS, a person E.O. 13382 for being owned or controlled by, behalf of, directly or indirectly, the ATOMIC whose property and interests in property are BANK OF INDUSTRY AND MINE, a person ENERGY ORGANIZATION OF IRAN, a blocked pursuant to E.O. 13382. whose property and interests in property are person whose property and interests in 23. BANK SEPAH INTERNATIONAL PLC, blocked pursuant to E.O. 13382. property are blocked pursuant to E.O. 13599. 5/7 Eastcheap, EC3M 1JT, London, United 27. FIRST ISLAMIC INVESTMENT BANK 19. AGRICULTURAL, MEDICAL, AND Kingdom; SWIFT/BIC SEPBGB2L; website LIMITED (a.k.a. ‘‘FIIB’’), 19A–3A–3A, Level INDUSTRIAL RESEARCH CENTER (a.k.a. www.banksepah.co.uk; alt. Website 31, Business Suite, UOA Centre, No. 19 Jalan, KARAJ NUCLEAR RESEARCH CENTER FOR www.banksepah.com; Additional Sanctions Pinang, Kuala Lumpur 50450, Malaysia; AGRICULTURE AND MEDICINE; f.k.a. Information—Subject to Secondary Sanctions Financial Park Labuan Complex Unit 13 (C), NUCLEAR RESEARCH CENTER FOR [NPWMD] [IFSR] (Linked To: BANK SEPAH). Main Office Tower Jalan Merdeka, Labuan AGRICULTURE AND MEDICINE; a.k.a. Designated pursuant to section 1(a)(iv) of 87000, Malaysia; website www.fiib.com.my; ‘‘AMIRC’’; f.k.a. ‘‘NRCAM’’), Karaj, Iran; E.O. 13382 for being owned or controlled by, Additional Sanctions Information—Subject Additional Sanctions Information—Subject BANK SEPAH, a person whose property and to Secondary Sanctions [NPWMD] [IFSR]. to Secondary Sanctions [IRAN] (Linked To: interests in property are blocked pursuant to Designated pursuant to section 1(a)(iii) of NUCLEAR SCIENCE AND TECHNOLOGY E.O. 13382. E.O. 13382 for having provided, or attempted RESEARCH INSTITUTE). 24. POST BANK OF IRAN (a.k.a. to provide, financial, material, technological Identified pursuant to section 1(c) of E.O. POSTBANK), 237 Motahari Avenue, Tehran or other support for, or goods or services in 13599 for being owned or controlled by, or 1587618118, Iran; Kouh-e Nour Street, support of, the proliferation of weapons of for having acted or purported to act for or on Shahid Motahari Avenue, Tehran mass destruction or their means of delivery behalf of, directly or indirectly, Iran’s 1587618111, Iran; SWIFT/BIC PBIRIRTH; by Iran, an activity described in section NUCLEAR SCIENCE AND TECHNOLOGY website www.postbank.ir; Additional 1(a)(ii) of E.O. 13382. RESEARCH INSTITUTE, a person whose Sanctions Information—Subject to Secondary 28. GHAVAMIN BANK (a.k.a. BANK property and interests in property are Sanctions; All Offices Worldwide [IRAN] QAVAMIN; f.k.a. GHAVAMIN FINANCIAL & blocked pursuant to E.O. 13599. [NPWMD] [IFSR] (Linked To: BANK SEPAH). CREDIT INS.; a.k.a. QAVAMIN BANK; a.k.a. 20. JABBER IBN HAYAN (a.k.a. JABER IBN Designated pursuant to section 1(a)(iii) of QAVVAMIN BANK), Ghavamin Tower, HAYAN; a.k.a. JABER IBN HAYAN E.O. 13382 for having provided, or attempted Argentina Sq., Tehran, Iran; website LABORATORY; a.k.a. JABER IBN HAYAN to provide, financial, material, technological www.ghbi.ir; Additional Sanctions RESEARCH LABORATORY; a.k.a. JABR IBN or other support for, or goods or services in Information—Subject to Secondary HAYAN MULTIPURPOSE LABORATORY; support of, BANK SEPAH, a person whose Sanctions; Registration Number 397957 (Iran) a.k.a. ‘‘JHL’’), Tehran, Iran; Additional property and interests in property are [IRAN] [IRAN–HR] (Linked To: LAW Sanctions Information—Subject to Secondary blocked pursuant to E.O. 13382. ENFORCEMENT FORCES OF THE ISLAMIC Sanctions [IRAN] (Linked To: ATOMIC 25. BANK OF INDUSTRY AND MINE REPUBLIC OF IRAN). ENERGY ORGANIZATION OF IRAN). (a.k.a. BANK OF INDUSTRY & MINE; a.k.a. Designated pursuant to section 1(a)(ii)(B) of Identified pursuant to E.O. 13599 as BANK SANAD VA MADAN; a.k.a. ‘‘BIM’’), Executive Order 13553 of September 28, property in which the ATOMIC ENERGY 1655 Vali-E-Asr After Chamran Crossroad, 2010, ‘‘Blocking Property of Certain Persons ORGANIZATION OF IRAN, a person whose Tehran, Iran; PO Box 15875–4456, Firouzeh With Respect to Serious Human Rights property and interests in property are Tower, No 2917 Vali-Asr Ave (after Chamran Abuses by the Government of Iran and blocked pursuant to E.O. 13599, has an Crossroads), Tehran 1965643511, Iran; Taking Certain Other Actions,’’ 75 FR 60567, interest. SWIFT/BIC BOIMIRTH; website www.bim.ir; 3 CFR 13553 (E.O. 13553) for having 21. IRAN NUCLEAR REGULATORY Additional Sanctions Information—Subject materially assisted, sponsored, or provided AUTHORITY (a.k.a. ‘‘INRA’’), Tehran, Iran; to Secondary Sanctions; Registration Number financial, material, or technological support Additional Sanctions Information—Subject 38705 (Iran); All Offices Worldwide [IRAN] for, or goods or services to or in support of, to Secondary Sanctions [IRAN] (Linked To: [NPWMD] [IFSR] (Linked To: BANK SEPAH). the LAW ENFORCEMENT FORCES OF THE ATOMIC ENERGY ORGANIZATION OF Designated pursuant to section 1(a)(iii) of ISLAMIC REPUBLIC OF IRAN, a person IRAN). E.O. 13382 for having provided, or attempted whose property and interests in property are Identified pursuant to section 1(c) of E.O. to provide, financial, material, technological blocked pursuant to E.O. 13553. 13599 for being owned or controlled by, or or other support for, or goods or services in 29. AYANDEH BANK, Ayandeh Bank for having acted or purported to act for or on support of, BANK SEPAH, a person whose Bldg. Floor 1, 15 Shahid Ahmadian St. (15th behalf of, directly or indirectly, the ATOMIC property and interests in property are St.) Ahmad Ghasir (Bucharest) Ave, Tehran, ENERGY ORGANIZATION OF IRAN, a blocked pursuant to E.O. 13382. Iran; SWIFT/BIC AYBKIRTH; Additional person whose property and interests in 26. EUROPAISCH-IRANISCHE Sanctions Information—Subject to Secondary property are blocked pursuant to E.O. 13599. HANDELSBANK AG (a.k.a. EUROPAEISCH- Sanctions; All Offices Worldwide [IRAN–

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TRA] (Linked To: ISLAMIC REPUBLIC OF bank.com.af; Additional Sanctions BANK MELLI IRAN, a person determined to IRAN BROADCASTING). Information—Subject to Secondary be subject to E.O. 13224. Designated pursuant to section 7(a)(vi) of Sanctions; All Offices Worldwide [SDGT] 36. BEHSHAHR INDUSTRIAL Executive Order 13846 of August 6, 2018, [IFSR] (Linked To: BANK MELLI IRAN). DEVELOPMENT CORP., Number 8, 24 Alley, ‘‘Reimposing Certain Sanctions With Respect Designated pursuant to section 1(c) of E.O. Past Motahari Street, Ghaem Magham to Iran’’ 83 FR 38939, 3 CFR 13846 (E.O. 13224 for being owned or controlled by Farahani Street, Tehran, Iran; website 13846) for having materially assisted, BANK MELLI IRAN, a person determined to www.bidc.ir; Additional Sanctions sponsored, or provided financial, material, or be subject to E.O. 13224. Information—Subject to Secondary technological support for, or goods or 32. BANK KARGOSHAEE, 587 Sanctions; Registration Number 14393 (Iran) services to or in support of, ISLAMIC Mohammadiye Square, Mowlavi Street, [SDGT] [IFSR] (Linked To: TOSE-E MELLI REPUBLIC OF IRAN BROADCASTING, a Tehran, Iran; Mohamadiyeh Square, Tehran GROUP INVESTMENT COMPANY). person whose property and interests in 11986, Iran; Additional Sanctions Designated pursuant to section 1(c) of E.O. property are blocked pursuant to E.O. 13846. Information—Subject to Secondary 13224 for being owned or controlled by 30. BANK MELLI IRAN (a.k.a. BANK Sanctions; All Offices Worldwide [SDGT] TOSE-E MELLI GROUP INVESTMENT MELLI; a.k.a. MELLI BANK; a.k.a. [IFSR] (Linked To: BANK MELLI IRAN). COMPANY, a person determined to be NATIONAL BANK OF IRAN; a.k.a. ‘‘BMI’’), Designated pursuant to section 1(c) of E.O. subject to E.O. 13224. Ferdowsi Avenue—PO Box 11365–171, 13224 for being owned or controlled by 37. CEMENT INDUSTRY INVESTMENT Tehran, Iran; 43 Avenue Montaigne, Paris BANK MELLI IRAN, a person determined to AND DEVELOPMENT COMPANY, Number 75008, France; Room 704–6, Wheelock Hse, be subject to E.O. 13224. 20, W. Nahid Street, Africa Blvd., Tehran, 20 Pedder St, Hong Kong; Bank Melli Iran 33. MB BANK (f.k.a. BANK MELLI IRAN Iran; website www.cidco.ir; Additional Bldg, 111 St 24, 929 Arasat, Baghdad, Iraq; ZAO; a.k.a. JOINT STOCK COMPANY ‘MIR Sanctions Information—Subject to Secondary PO Box 2643, Ruwi, 112, Muscat, Oman; PO BUSINESS BANK’; a.k.a. JSC ‘MB BANK’; Sanctions; Registration Number 218006 (Iran) Box 2656, Liva Street, Abu Dhabi, United a.k.a. MB BANK, AO; a.k.a. MIR BIZNES [SDGT] [IFSR] (Linked To: TOSE-E MELLI Arab Emirates; PO Box 248, Hamad Bin BANK; a.k.a. MIR BIZNES BANK, AO; a.k.a. GROUP INVESTMENT COMPANY). Abdulla St, Fujairah, United Arab Emirates; MIR BUSINESS BANK; a.k.a. MIR BUSINESS Designated pursuant to section 1(c) of E.O. PO Box 1888, Clock Tower, Industrial Rd, Al BANK ZAO), 9/1 ul Mashkova, Moscow 13224 for being owned or controlled by Ain Club Bldg, Al Ain, Abu Dhabi, United 105062, Russia; SWIFT/BIC MRBBRUMM; TOSE-E MELLI GROUP INVESTMENT Arab Emirates; PO Box 1894, Baniyas St, website www.mbbru.com; Additional COMPANY, a person determined to be Deira, Dubai, United Arab Emirates; PO Box Sanctions Information—Subject to Secondary subject to E.O. 13224. 5270, Oman Street Al Nakheel, Ras Al- Sanctions; All Offices Worldwide [SDGT] 38. MELLI INTERNATIONAL BUILDING & INDUSTRY COMPANY, Number 89, Shahid Khaimah, United Arab Emirates; PO Box 459, [IFSR] (Linked To: BANK MELLI IRAN). Designated pursuant to section 1(c) of E.O. Khodami Street, After Kurdistan Bridge, Al Borj St, Sharjah, United Arab Emirates; PO 13224 for being owned or controlled by Vanak Square, Iran; website www.mibic.ir; Box 3093, Ahmed Seddiqui Bldg, Khalid Bin BANK MELLI IRAN, a person determined to Additional Sanctions Information—Subject El-Walid St, Bur-Dubai, Dubai, United Arab be subject to E.O. 13224. to Secondary Sanctions; Registration Number Emirates; PO Box 1894, Al Wasl Rd, 34. MELLI BANK PLC, 98a Kensington 85579000 (Iran) [SDGT] [IFSR] (Linked To: Jumeirah, Dubai, United Arab Emirates; High Street, London W8 4SG, United TOSE-E MELLI GROUP INVESTMENT Postfach 112 129, Holzbruecke 2, 20421, Kingdom; 4 Moorgate, EC2R 6AL, London, COMPANY). Hamburg, Germany; 23 Nobel Avenue, Baku, United Kingdom; 18F Kam Sang Building, Designated pursuant to section 1(c) of E.O. Azerbaijan; Bank Melli Iran Building, 257 Des Voeux Road Central, Hong Kong; 4th 13224 for being owned or controlled by Ferdowsi Avenue, Tehran 11365–144, Iran; Floor, 20 West Nahid Street, Africa Blvd., TOSE-E MELLI GROUP INVESTMENT No. 136 Mirdamad Boulevard, Opposite Al- Tehran, Iran; SWIFT/BIC MELIGB2L; alt. COMPANY, a person determined to be ghadir Mosque, Tehran, Iran; Al Ashar SWIFT/BIC MELIHKHH; website subject to E.O. 13224. Estiqlal Street—Hal Al Zohor, Basra, Iraq; 98a www.mellibank.com; Additional Sanctions 39. TOSE-E MELLI INVESTMENT Kensington High Street, London W8 4SG, Information—Subject to Secondary COMPANY (a.k.a. NATIONAL United Kingdom; 767 5th Ave, 44th Fl, New Sanctions; All Offices Worldwide [SDGT] DEVELOPMENT INVESTMENT COMPANY; York, NY 10153, United States; PO Box 1420, [IFSR] (Linked To: BANK MELLI IRAN). a.k.a. TOSEE MELLI INVESTMENT New York, NY 10153, United States; website Designated pursuant to section 1(c) of E.O. COMPANY), No. 1 St.North Didar.Blv www.bmi.ir; Additional Sanctions 13224 for being owned or controlled by Haghani, Tehran, Iran; Number 89, Shahid Information—Subject to Secondary BANK MELLI IRAN, a person determined to Khodami Street, After Kurdistan Bridge, Sanctions; All Offices Worldwide [IRAN] be subject to E.O. 13224. Vanak Square, Tehran, Iran; website [SDGT] [IFSR] (Linked To: ISLAMIC 35. TOSE-E MELLI GROUP INVESTMENT www.tmico.ir; Additional Sanctions REVOLUTIONARY GUARD CORPS (IRGC)- COMPANY (f.k.a. BANK MELLI IRAN Information—Subject to Secondary QODS FORCE). INVESTMENT COMPANY; a.k.a. IRAN Sanctions; Registration Number 208669 (Iran) Designated pursuant to section 1(d)(i) of MELLI BANK INVESTMENT COMPANY; [SDGT] [IFSR] (Linked To: TOSE-E MELLI Executive Order 13224 of September 25, 2001 a.k.a. NATIONAL DEVELOPMENT AND GROUP INVESTMENT COMPANY). ‘‘Blocking Property and Prohibiting INVESTMENT GROUP; a.k.a. TOSEE MELLI Designated pursuant to section 1(c) of E.O. Transactions With Persons Who Commit, GROUP INVESTMENT COMPANY; a.k.a. 13224 for being owned or controlled by Threaten To Commit, or Support Terrorism,’’ TOSE-E MELLI GROUP INVESTMENT TOSE-E MELLI GROUP INVESTMENT 66 FR 49079, 3 CFR 13224 (E.O. 13224) for COMPANY PUBLIC SHAREHOLDING COMPANY, a person determined to be assisting in, sponsoring, or providing COMPANY; a.k.a. ‘‘TMGIC’’), 2 Nader Alley, subject to E.O. 13224. financial, material, or technological support After Dr Vali e Asr Avenue, Tehran 15116, 40. NATIONAL INDUSTRIES AND for, or financial or other services to or in Iran; PO Box 15875–3898, Iran; Building 89, MINING DEVELOPMENT COMPANY, support of, the ISLAMIC REVOLUTIONARY Khoddami Street, Vanak, Tehran Number 55, Pardis Street, N. Shirazi Street, GUARD CORPS-QODS FORCE, a person 53158753898, Iran; Number 89, Shahid Molla-Sadra Street, Vanak Square, Tehran, determined to be subject to E.O. 13224. Khodami Street, After Kurdistan Bridge, Iran; website www.nimidco.com; Additional 31. ARIAN BANK, House 103, Shir Ali Vanak Square, Iran; Vank Square, Shahid Sanctions Information—Subject to Secondary Khan Street, Charahi Torabaz Khan, District Khademi Street, after Kurdistan Bridge, No. Sanctions; Registration Number 323908 (Iran) 10, Kabul, Afghanistan; Sherpoor, Hajj and 89, Tehran 1958698856, Iran; website [SDGT] [IFSR] (Linked To: TOSE-E MELLI religious affairs directorate Square, Etisalat www.bmiic.ir; alt. Website www.en.tmgic.ir; GROUP INVESTMENT COMPANY). Street, Kabul, Afghanistan; Opposite of Additional Sanctions Information—Subject Designated pursuant to section 1(c) of E.O. Attorney General, Hanzala Mosque Road, to Secondary Sanctions; National ID No. 13224 for being owned or controlled by Shahre now, Kabul, Afghanistan; PO Box 10101339590 (Iran); Registration Number TOSE-E MELLI GROUP INVESTMENT 5810, Afghanistan; Ferdawsi Street (old 89584 (Iran) [SDGT] [IFSR] (Linked To: COMPANY, a person determined to be telecommunication street), Between Alley 12 BANK MELLI IRAN). subject to E.O. 13224. & 14, Herat, Afghanistan; SWIFT/BIC Designated pursuant to section 1(c) of E.O. 41. DAY BANK (a.k.a. DEY BANK), 45 Vali AFABAFKA; website www.arian- 13224 for being owned or controlled by Asr Ave, Parvin St, Tehran 1966835611, Iran;

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SWIFT/BIC DAYBIRTH; Additional 48. DAY IRANIAN FINANCIAL AND Street, Shariati Street, Tehran, Iran; Sanctions Information—Subject to Secondary ACCOUNTING SERVICES COMPANY, No. 4, Additional Sanctions Information—Subject Sanctions; All Offices Worldwide [IRAN] 4th Floor, Farid Afshar Street, Shahid to Secondary Sanctions [SDGT] [IFSR] [SDGT] [IFSR] (Linked To: MARTYRS Dastgerdi Street, Tehran, Iran; website http:// (Linked To: DAY BANK). FOUNDATION). fsday.ir; Additional Sanctions Information— Designated pursuant to section 1(c) of E.O. Designated pursuant to section 1(d)(i) of Subject to Secondary Sanctions [SDGT] 13224 for being owned or controlled by DAY E.O. 13224 for assisting in, sponsoring, or [IFSR] (Linked To: DAY BANK). BANK, a person determined to be subject to providing financial, material, or Designated pursuant to section 1(c) of E.O. E.O. 13224. technological support for, or financial or 13224 for being owned or controlled by DAY 56. FUTURE BANK B.S.C. (a.k.a. FUTURE other services to or in support of, the BANK, a person determined to be subject to BANK; a.k.a. FUTUREBANK), Building 2577, MARTYRS FOUNDATION, a person E.O. 13224. Road 2833, Block Al-Seef 428, PO Box 785, determined to be subject to E.O. 13224. 49. DAY LEASING COMPANY, No. 5, Manama, Bahrain; website Designated pursuant to section 1(c) of E.O. Shahid Dademan Street, N. Gol Afshan, W. www.futurebank.com.bh; Additional 13224 for being owned or controlled by the Ivanak, Shahrak Qarb, Tehran, Iran; website Sanctions Information—Subject to Secondary MARTYRS FOUNDATION, a person https://leasingday.ir; Additional Sanctions Sanctions; All Offices Worldwide [IRAN] determined to be subject to E.O. 13224. Information—Subject to Secondary Sanctions [SDGT] [IFSR] (Linked To: BANK MELLI 42. ATIEH SAZAN DAY, No. 12, Taheri [SDGT] [IFSR] (Linked To: DAY BANK). IRAN). Street, Africa Blvd., Tehran, Iran; Additional Designated pursuant to section 1(c) of E.O. Identified as an entity in which BANK Sanctions Information—Subject to Secondary 13224 for being owned or controlled by DAY MELLI IRAN and BANK SADERAT IRAN, Sanctions [SDGT] [IFSR] (Linked To: DAY BANK, a person determined to be subject to persons whose property and interests in BANK). E.O. 13224. property are blocked pursuant to an Designated pursuant to section 1(c) of E.O. 50. OMID BONYAN DAY INSURANCE Executive Order or regulations administered 13224 for being owned or controlled by DAY SERVICES, Vozara Street, Tehran, Iran; by OFAC, directly or indirectly own, whether BANK, a person determined to be subject to website http://omiddayins.ir; Additional individually or in the aggregate, a 50 percent E.O. 13224. Sanctions Information—Subject to Secondary or greater interest, as set forth in 31 CFR 43. BUALI INVESTMENT COMPANY, No. Sanctions [SDGT] [IFSR] (Linked To: DAY 594.412. 13, 11th (Shahab) Street, Gandy Blvd., BANK). 57. EXPORT DEVELOPMENT BANK OF Tehran, Iran; Additional Sanctions Designated pursuant to section 1(c) of E.O. IRAN (a.k.a. BANK TOSEE SADERAT IRAN; Information—Subject to Secondary Sanctions 13224 for being owned or controlled by DAY a.k.a. BANK TOSEH SADERAT IRAN; a.k.a. [SDGT] [IFSR] (Linked To: DAY BANK). BANK, a person determined to be subject to BANK TOSEYEH SADERAT IRAN; a.k.a. Designated pursuant to section 1(c) of E.O. E.O. 13224. BANK TOWSEEH SADERAT IRAN; a.k.a. 51. OMRAN VA MASKAN ABAD DAY 13224 for being owned or controlled by DAY IRANIAN EXPORT DEVELOPMENT BANK; COMPANY, No. 52, Shariati Street, Shahid BANK, a person determined to be subject to a.k.a. ‘‘EDBI’’), No. 26, Tosee Tower (Export Mousavi Street, Tehran, Iran; website E.O. 13224. Development Building), Corner of 15th www.omaday.ir; Additional Sanctions 44. DAMAVAND POWER GENERATION Street, Ahmad Qasir Avenue, Argentina Information—Subject to Secondary Sanctions Square, Tehran 1513815111, Iran; website COMPANY, No. 6, Boostan Alley, Attar [SDGT] [IFSR] (Linked To: DAY BANK). www.edbi.ir; Additional Sanctions Street, N. Kurdistan Highway, Tehran, Iran; Designated pursuant to section 1(c) of E.O. Information—Subject to Secondary website www.damavandpg.co.ir; Additional 13224 for being owned or controlled by DAY Sanctions Information—Subject to Secondary BANK, a person determined to be subject to Sanctions; Registration Number 86936 (Iran) Sanctions [SDGT] [IFSR] (Linked To: DAY E.O. 13224. [IRAN] [SDGT] [IFSR] (Linked To: MB BANK). 52. ROYAY-E ROZ KISH INVESTMENT BANK). Designated pursuant to section 1(c) of E.O. COMPANY, No. 132, First Floor, Unit 1, Designated pursuant to section 1(d)(i) of 13224 for being owned or controlled by DAY South Dibagi Street, Ekhtiyariyeh, Tehran, E.O. 13224 for assisting in, sponsoring, or BANK, a person determined to be subject to Iran; website www.daybankinvest.com; providing financial, material, or E.O. 13224. Additional Sanctions Information—Subject technological support for, or financial or 45. DAY EXCHANGE COMPANY, No. 239, to Secondary Sanctions [SDGT] [IFSR] other services to or in support of MB BANK, First Floor of Day Insurance Building, (Linked To: DAY BANK). a person determined to be subject to E.O. Mirdamad Blvd., Tehran, Iran; website Designated pursuant to section 1(c) of E.O. 13224. www.dayexchange.ir; Additional Sanctions 13224 for being owned or controlled by DAY 58. EDBI STOCK BROKERAGE, Tehran, Information—Subject to Secondary Sanctions BANK, a person determined to be subject to Iran; Additional Sanctions Information— [SDGT] [IFSR] (Linked To: DAY BANK). E.O. 13224. Subject to Secondary Sanctions [SDGT] Designated pursuant to section 1(c) of E.O. 53. TEJARAT GOSTAR FARDAD, No. 13, [IFSR] (Linked To: EXPORT DEVELOPMENT 13224 for being owned or controlled by DAY First Floor, Unit 1, Shahab (11th) Street, BANK OF IRAN). BANK, a person determined to be subject to Gandy Street, Tehran, Iran; No. 1/2, 2nd Designated pursuant to section 1(c) of E.O. E.O. 13224. Floor, Yavari Alley, Across from Niyavaran 13224 for being owned or controlled by, or 46. DAY E-COMMERCE, No. 66, Mansour Commercial Complex, Niyaravan, Tehran, acting for or on behalf of, EXPORT Alley, Next to Tehran Grand Hotel, Motahari Iran; Additional Sanctions Information— DEVELOPMENT BANK OF IRAN, a person Street, Tehran, Iran; website www.dec.ir; Subject to Secondary Sanctions [SDGT] determined to be subject to E.O. 13224. Additional Sanctions Information—Subject [IFSR] (Linked To: DAY BANK). 59. EDBI EXCHANGE BROKERAGE (a.k.a. to Secondary Sanctions [SDGT] [IFSR] Designated pursuant to section 1(c) of E.O. EDBI EXCHANGE COMPANY), Tehran, Iran; (Linked To: DAY BANK). 13224 for being owned or controlled by DAY Additional Sanctions Information—Subject Designated pursuant to section 1(c) of E.O. BANK, a person determined to be subject to to Secondary Sanctions [SDGT] [IFSR] 13224 for being owned or controlled by DAY E.O. 13224. (Linked To: EXPORT DEVELOPMENT BANK BANK, a person determined to be subject to 54. TOSE-E DIDAR IRANIAN HOLDING OF IRAN). E.O. 13224. COMPANY, No. 1, Moqaddas Alley, Shahid Designated pursuant to section 1(c) of E.O. 47. DAY BANK BROKERAGE COMPANY, Ahmad Qasir (Bukharest) Street, Tehran, 13224 for being owned or controlled by, or No. 58, 2nd, 3rd, and 4th floors, 14th street, Iran; website https://tdday.ir; Additional acting for or on behalf of, EXPORT Khaled Istanbuli Street, Tehran, Iran; website Sanctions Information—Subject to Secondary DEVELOPMENT BANK OF IRAN, a person www.daybankbroker.com; Additional Sanctions [SDGT] [IFSR] (Linked To: DAY determined to be subject to E.O. 13224. Sanctions Information—Subject to Secondary BANK). 60. BANCO INTERNACIONAL DE Sanctions [SDGT] [IFSR] (Linked To: DAY Designated pursuant to section 1(c) of E.O. DESARROLLO, C.A. (a.k.a. ‘‘BID’’), Urb. El BANK). 13224 for being owned or controlled by DAY Rosal, Av. Francisco de Miranda Edificio Designated pursuant to section 1(c) of E.O. BANK, a person determined to be subject to Dozsa—Piso 8, C.P. 1060, Caracas, 13224 for being owned or controlled by DAY E.O. 13224. Venezuela; SWIFT/BIC IDUNVECA; website BANK, a person determined to be subject to 55. TOSE-E DONYA SHAHR KOHAN www.bid.com.ve; Additional Sanctions E.O. 13224. COMPANY, No. 52, 4th Floor, Mousavivand Information—Subject to Secondary Sanctions

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[SDGT] [IFSR] (Linked To: EXPORT Tajikistan; Office C208, Beijing Lufthansa IRANIAN TANKER COMPANY, a person DEVELOPMENT BANK OF IRAN). Center No 50, Liangmaqiao Rd, Chaoyang whose property and interests in property are Designated pursuant to section 1(c) of E.O. District, Beijing 100016, China; PO Box blocked pursuant to E.O. 13599. 13224 for being owned or controlled by, or 119871, 4th Floor, c/o Persia International 69. FUTURE AGE SHIPPING LIMITED acting for or on behalf of, EXPORT Bank PLC, The Gate Bldg, Dubai, United (a.k.a. FUTURE AGE SHIPPING LTD.), East DEVELOPMENT BANK OF IRAN, a person Arab Emirates; Esfahan Region Management Shahid Atefi Street 35, Africa Boulevard, PO determined to be subject to E.O. 13224. Bldg, Sheikh Bahayee Ave & Abuzar St Box 19395–4833, Tehran, Iran; Additional 61. IRAN-VENEZUELA BI-NATIONAL Junction, Esfahan, Iran; SWIFT/BIC Sanctions Information—Subject to Secondary BANK (a.k.a. ‘‘IVBB’’), IVBB Headquarters, BTEJIRTH; website www.tejaratbank.ir; Sanctions [IRAN] (Linked To: NATIONAL 30th Alley, No. 96, Khaled Eslamboli Street, Additional Sanctions Information—Subject IRANIAN TANKER COMPANY). (Vozara), PO Box 15175–598, Tehran 15119– to Secondary Sanctions; Registration Number Identified pursuant to section 1(c) of E.O. 57111, Iran; website http://en.ivbb.ir/; 38027; alt. Registration Number 8828215; All 13599 for being owned or controlled by, or Additional Sanctions Information—Subject Offices Worldwide [IRAN] [SDGT] [NPWMD] for having acted or purported to act for or on to Secondary Sanctions [IRAN] [SDGT] [IFSR] (Linked To: MAHAN AIR; Linked To: behalf of, directly or indirectly, NATIONAL [IFSR] (Linked To: EXPORT DEVELOPMENT BANK SEPAH). IRANIAN TANKER COMPANY, a person BANK OF IRAN). Designated pursuant to section 1(d)(i) of whose property and interests in property are Designated pursuant to section 1(d)(i) of E.O. 13224 for assisting in, sponsoring, or blocked pursuant to E.O. 13599. E.O. 13224 for assisting in, sponsoring, or providing financial, material, or 70. GOLDEN ENTERPRISE SHIPPING providing financial, material, or technological support for, or financial or LIMITED (a.k.a. GOLDEN ENTERPRISE technological support for, or financial or other services to or in support of MAHAN SHIPPING LTD), East Shahid Atefi Street 35, other services to or in support of, EXPORT AIR, a person determined to be subject to Africa Boulevard, PO Box 19395–4833, DEVELOPMENT BANK OF IRAN, a person E.O. 13224. Tehran, Iran; Additional Sanctions determined to be subject to E.O. 13224. Designated pursuant to section 1(a)(iii) of Information—Subject to Secondary Sanctions 62. PERSIA INTERNATIONAL BANK PLC, E.O. 13382 for having provided, or attempted [IRAN] (Linked To: NATIONAL IRANIAN 6 Lothbury, EC2R 7HH, London, United to provide, financial, material, technological TANKER COMPANY). Kingdom; PO Box 119871, No 209, 2nd Floor, or other support for, or goods or services in Identified pursuant to section 1(c) of E.O. Tower II, Al Fattan Currency House, Dubai support of BANK SEPAH, a person whose 13599 for being owned or controlled by, or International Financial Centre, Dubai, United property and interests in property are for having acted or purported to act for or on Arab Emirates; SWIFT/BIC PIBPGB2L; blocked pursuant to E.O. 13382. behalf of, directly or indirectly, NATIONAL website www.persiabank.co.uk; Additional 66. BANK TORGOVOY KAPITAL ZAO IRANIAN TANKER COMPANY, a person Sanctions Information—Subject to Secondary (a.k.a. BANK TORGOVOY KAPITAL; a.k.a. whose property and interests in property are Sanctions; Registration Number 4218020 BANK TORGOVY KAPITAL; a.k.a. TRADE blocked pursuant to E.O. 13599. (United Kingdom); All Offices Worldwide CAPITAL BANK; a.k.a. ‘‘TC BANK’’; a.k.a. 71. INTERNATIONAL EXPERTISE GROUP [SDGT] [IFSR] (Linked To: BANK MELLAT). ‘‘TK BANK’’), 65A Timiriazeva, Minsk LIMITED (a.k.a. INTERNATIONAL Designated pursuant to section 1(c) of E.O. 220035, Belarus; SWIFT/BIC BBTKBY2X; EXPERTISE GROUP; a.k.a. 13224 for being owned or controlled by website www.tcbank.by; Additional INTERNATIONAL EXPERTISE GROUP BANK MELLAT, a person determined to be Sanctions Information—Subject to Secondary LTD.), East Shahid Atefi Street 35, Africa subject to E.O. 13224. Sanctions; Registration Number 807000163 Boulevard, PO Box 19395–4833, Tehran, 63. FIRST EAST EXPORT BANK PLC (Belarus) [IRAN] [SDGT] [NPWMD] [IFSR] Iran; Additional Sanctions Information— (a.k.a. FEE BANK MALAYSIA), Unit Level (Linked To: BANK TEJARAT). Subject to Secondary Sanctions [IRAN] 10(B1), Main Office Tower, Financial Park, Designated pursuant to section 1(c) of E.O. (Linked To: NATIONAL IRANIAN TANKER Jalan Merdeka, 87000 Labuan F.T., Wilayah 13224 for being owned or controlled by COMPANY). Persekutuan, Malaysia; SWIFT/BIC BANK TEJARAT, a person determined to be Identified pursuant to section 1(c) of E.O. FEEBMYKA; Additional Sanctions subject to E.O. 13224. 13599 for being owned or controlled by, or Information—Subject to Secondary Designated pursuant to section 1(a)(iv) of for having acted or purported to act for or on Sanctions; All Offices Worldwide [SDGT] E.O. 13382 for being owned or controlled by behalf of, directly or indirectly, NATIONAL [IFSR] (Linked To: BANK MELLAT). BANK TEJARAT, a person whose property IRANIAN TANKER COMPANY, a person Designated pursuant to section 1(c) of E.O. and interests in property are blocked whose property and interests in property are 13224 for being owned or controlled by pursuant to E.O. 13382. blocked pursuant to E.O. 13599. BANK MELLAT, a person determined to be 67. BELIZE SHIP AND LOGISTIC LIMITED 72. INTERNATIONAL TANKER LIMITED subject to E.O. 13224. (a.k.a. BELIZE SHIP & LOGISTIC LTD; a.k.a. (a.k.a. ‘‘INTERNATIONAL TANKER LTD’’), 64. MELLAT BANK CLOSED JOINT- BELIZE SHIP AND LOGISTIC LTD), East East Shahid Atefi Street 35, Africa Boulevard, STOCK COMPANY (f.k.a. BANK MELLAT Shahid Atefi Street 35, Africa Boulevard, PO PO Box 19395–4833, Tehran, Iran; YEREVAN; a.k.a. MELLAT BANK ARMENIA; Box 19395–4833, Tehran, Iran; Additional Additional Sanctions Information—Subject f.k.a. MELLAT BANK SB CJSC), PO Box 24, Sanctions Information—Subject to Secondary to Secondary Sanctions [IRAN] (Linked To: Amiryan Street 6, 0010, Yerevan, Armenia; 5 Sanctions [IRAN] (Linked To: NATIONAL NATIONAL IRANIAN TANKER COMPANY). Tumanyan St, 0001, Yerevan, Armenia; IRANIAN TANKER COMPANY). Identified pursuant to section 1(c) of E.O. SWIFT/BIC BKMTAM22; website Identified pursuant to section 1(c) of E.O. 13599 for being owned or controlled by, or www.mellatbank.am; Additional Sanctions 13599 for being owned or controlled by, or for having acted or purported to act for or on Information—Subject to Secondary for having acted or purported to act for or on behalf of, directly or indirectly, NATIONAL Sanctions; All Offices Worldwide [SDGT] behalf of, directly or indirectly, NATIONAL IRANIAN TANKER COMPANY, a person [IFSR] (Linked To: BANK MELLAT). IRANIAN TANKER COMPANY, a person whose property and interests in property are Designated pursuant to section 1(c) of E.O. whose property and interests in property are blocked pursuant to E.O. 13599. 13224 for being owned or controlled by blocked pursuant to E.O. 13599. 73. INTERSEAS SHIPYARD LTD, East BANK MELLAT, a person determined to be 68. BELIZE SHIPPING LINE SERVICE Shahid Atefi Street 35, Africa Boulevard, PO subject to E.O. 13224. LIMITED (a.k.a. BELIZE SHIPPING LINE Box 19395–4833, Tehran, Iran; Additional 65. BANK TEJARAT (a.k.a. TEJARAT SERV LTD), East Shahid Atefi Street 35, Sanctions Information—Subject to Secondary BANK), 152 Taleghani Avenue, Tehran, Iran; Africa Boulevard, PO Box 19395–4833, Sanctions [IRAN] (Linked To: NATIONAL No. 247, Taleghani Avenue, Tehran, Iran; PO Tehran, Iran; Additional Sanctions IRANIAN TANKER COMPANY). Box 11365–3139, 130 Taleghani Avenue, Information—Subject to Secondary Sanctions Identified pursuant to section 1(c) of E.O. Tehran, Iran; PO Box 1598617818, Tehran, [IRAN] (Linked To: NATIONAL IRANIAN 13599 for being owned or controlled by, or Iran; PO Box 71345, Karim Khan Zand Blv, TANKER COMPANY). for having acted or purported to act for or on Nouri Ave, Opposite Eram Hotel, Shiraz, Identified pursuant to section 1(c) of E.O. behalf of, directly or indirectly, NATIONAL Iran; 124–126 Rue de Provence, (Angle 76 bd 13599 for being owned or controlled by, or IRANIAN TANKER COMPANY, a person Haussmann), Paris 75008, France; PO Box for having acted or purported to act for or on whose property and interests in property are 734001, Rudaki Ave 88, Dushanbe 734001, behalf of, directly or indirectly, NATIONAL blocked pursuant to E.O. 13599.

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74. MIRACLE TRANSPORTATION Information—Subject to Secondary Sanctions 84. DIMOND TRANSPORTATION LIMITED (a.k.a. MIRACLE [IRAN] (Linked To: NATIONAL IRANIAN LIMITED, East Shahid Atefi Street 35, Africa TRANSPORTATION LTD), East Shahid Atefi TANKER COMPANY). Boulevard, PO Box 19395–4833, Tehran, Street 35, Africa Boulevard, PO Box 19395– Identified pursuant to section 1(c) of E.O. Iran; Additional Sanctions Information— 4833, Tehran, Iran; Additional Sanctions 13599 for being owned or controlled by, or Subject to Secondary Sanctions [IRAN] Information—Subject to Secondary Sanctions for having acted or purported to act for or on (Linked To: NATIONAL IRANIAN TANKER [IRAN] (Linked To: NATIONAL IRANIAN behalf of, directly or indirectly, NATIONAL COMPANY). TANKER COMPANY). IRANIAN TANKER COMPANY, a person Identified as meeting the definition of the Identified pursuant to section 1(c) of E.O. whose property and interests in property are term Government of Iran as set forth in 13599 for being owned or controlled by, or blocked pursuant to E.O. 13599. section 7(d) of E.O. 13599 and section for having acted or purported to act for or on 80. STAR SHIP MANAGEMENT LIMITED 560.304 of the ITSR, 31 CFR part 560 for behalf of, directly or indirectly, NATIONAL (a.k.a. STAR SHIP MANAGEMENT LTD- being owned or controlled by, or acting or IRANIAN TANKER COMPANY, a person BZE), East Shahid Atefi Street 35, Africa purporting to act for or on behalf of, directly whose property and interests in property are Boulevard, PO Box 19395–4833, Tehran, or indirectly, NATIONAL IRANIAN TANKER blocked pursuant to E.O. 13599. Iran; Additional Sanctions Information— COMPANY, a person identified as meeting 75. MOMENT INVESTMENT LIMITED Subject to Secondary Sanctions [IRAN] the definition of the term Government of (a.k.a. MOMENT INVESTMENT LTD), East (Linked To: NATIONAL IRANIAN TANKER Iran. Shahid Atefi Street 35, Africa Boulevard, PO COMPANY). 85. EMPIRE MARITIME SERVICES Box 19395–4833, Tehran, Iran; Additional Identified pursuant to section 1(c) of E.O. LIMITED, East Shahid Atefi Street 35, Africa Sanctions Information—Subject to Secondary 13599 for being owned or controlled by, or Boulevard, PO Box 19395–4833, Tehran, Sanctions [IRAN] (Linked To: NATIONAL for having acted or purported to act for or on Iran; Additional Sanctions Information— IRANIAN TANKER COMPANY). behalf of, directly or indirectly, NATIONAL Subject to Secondary Sanctions [IRAN] Identified pursuant to section 1(c) of E.O. IRANIAN TANKER COMPANY, a person (Linked To: NATIONAL IRANIAN TANKER 13599 for being owned or controlled by, or whose property and interests in property are COMPANY). for having acted or purported to act for or on blocked pursuant to E.O. 13599. Identified as meeting the definition of the behalf of, directly or indirectly, NATIONAL 81. WORLDFAST INTERNATIONAL term Government of Iran as set forth in IRANIAN TANKER COMPANY, a person LIMITED (a.k.a. WORLDFAST section 7(d) of E.O. 13599 and section whose property and interests in property are INTERNATIONAL LTD), East Shahid Atefi 560.304 of the ITSR, 31 CFR part 560 for blocked pursuant to E.O. 13599. Street 35, Africa Boulevard, PO Box 19395– being owned or controlled by, or acting or 76. NATIONWIDE SHIPPING LTD, East 4833, Tehran, Iran; Additional Sanctions purporting to act for or on behalf of, directly or indirectly, NATIONAL IRANIAN TANKER Shahid Atefi Street 35, Africa Boulevard, PO Information—Subject to Secondary Sanctions COMPANY, a person identified as meeting Box 19395–4833, Tehran, Iran; Additional [IRAN] (Linked To: NATIONAL IRANIAN the definition of the term Government of Sanctions Information—Subject to Secondary TANKER COMPANY). Iran. Sanctions [IRAN] (Linked To: NATIONAL Identified pursuant to section 1(c) of E.O. 86. EUROPE TRANSPORTATION IRANIAN TANKER COMPANY). 13599 for being owned or controlled by, or LIMITED, East Shahid Atefi Street 35, Africa Identified pursuant to section 1(c) of E.O. for having acted or purported to act for or on Boulevard, PO Box 19395–4833, Tehran, 13599 for being owned or controlled by, or behalf of, directly or indirectly, NATIONAL Iran; Additional Sanctions Information— for having acted or purported to act for or on IRANIAN TANKER COMPANY, a person Subject to Secondary Sanctions [IRAN] behalf of, directly or indirectly, NATIONAL whose property and interests in property are (Linked To: NATIONAL IRANIAN TANKER IRANIAN TANKER COMPANY, a person blocked pursuant to E.O. 13599. COMPANY). whose property and interests in property are 82. ATLANTIC SHIPPING & TRANS (a.k.a. Identified as meeting the definition of the blocked pursuant to E.O. 13599. ATLANTIC SHIPPING AND TRANS; a.k.a. term Government of Iran as set forth in 77. NEW AGE SHIPPING LIMITED (a.k.a. ATLANTIC SHIPPING AND section 7(d) of E.O. 13599 and section NEW AGE SHIPPING LTD-BZE), East Shahid TRANSPORTATION LIMITED), East Shahid 560.304 of the ITSR, 31 CFR part 560 for Atefi Street 35, Africa Boulevard, PO Box Atefi Street 35, Africa Boulevard, PO Box being owned or controlled by, or acting or 19395–4833, Tehran, Iran; Additional 19395–4833, Tehran, Iran; Additional purporting to act for or on behalf of, directly Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary or indirectly, NATIONAL IRANIAN TANKER Sanctions [IRAN] (Linked To: NATIONAL Sanctions [IRAN] (Linked To: NATIONAL COMPANY, a person identified as meeting IRANIAN TANKER COMPANY). IRANIAN TANKER COMPANY). the definition of the term Government of Identified pursuant to section 1(c) of E.O. Identified as meeting the definition of the Iran. 13599 for being owned or controlled by, or term Government of Iran as set forth in 87. GLOBAL AGE LIMITED, East Shahid for having acted or purported to act for or on section 7(d) of E.O. 13599 and section Atefi Street 35, Africa Boulevard, PO Box behalf of, directly or indirectly, NATIONAL 560.304 of the ITSR, 31 CFR part 560 for 19395–4833, Tehran, Iran; Additional IRANIAN TANKER COMPANY, a person being owned or controlled by, or acting or Sanctions Information—Subject to Secondary whose property and interests in property are purporting to act for or on behalf of, directly Sanctions [IRAN] (Linked To: NATIONAL blocked pursuant to E.O. 13599. or indirectly, NATIONAL IRANIAN TANKER IRANIAN TANKER COMPANY). 78. PACIFIC SHIPPING AND COMPANY, a person identified as meeting Identified as meeting the definition of the TRANSPORTATION LIMITED (a.k.a. the definition of the term Government of term Government of Iran as set forth in PACIFIC SHIPPING & TRANS; a.k.a. PACIFIC Iran. section 7(d) of E.O. 13599 and section SHIPPING AND TRANS), East Shahid Atefi 83. DIAMOND TRANSPORTATION 560.304 of the ITSR, 31 CFR part 560 for Street 35, Africa Boulevard, PO Box 19395– LIMITED, East Shahid Atefi Street 35, Africa being owned or controlled by, or acting or 4833, Tehran, Iran; Additional Sanctions Boulevard, PO Box 19395–4833, Tehran, purporting to act for or on behalf of, directly Information—Subject to Secondary Sanctions Iran; Additional Sanctions Information— or indirectly, NATIONAL IRANIAN TANKER [IRAN] (Linked To: NATIONAL IRANIAN Subject to Secondary Sanctions [IRAN] COMPANY, a person identified as meeting TANKER COMPANY). (Linked To: NATIONAL IRANIAN TANKER the definition of the term Government of Identified pursuant to section 1(c) of E.O. COMPANY). Iran. 13599 for being owned or controlled by, or Identified as meeting the definition of the 88. GLOBAL UNITED SHIPPING LIMITED for having acted or purported to act for or on term Government of Iran as set forth in (a.k.a. GLOBAL UNITED SHIPPING LTD- behalf of, directly or indirectly, NATIONAL section 7(d) of E.O. 13599 and section BZE), East Shahid Atefi Street 35, Africa IRANIAN TANKER COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for Boulevard, PO Box 19395–4833, Tehran, whose property and interests in property are being owned or controlled by, or acting or Iran; Additional Sanctions Information— blocked pursuant to E.O. 13599. purporting to act for or on behalf of, directly Subject to Secondary Sanctions [IRAN] 79. PALM SERVICE LIMITED (a.k.a. or indirectly, NATIONAL IRANIAN TANKER (Linked To: NATIONAL IRANIAN TANKER ‘‘PALM SERVICE LTD’’), East Shahid Atefi COMPANY, a person identified as meeting COMPANY). Street 35, Africa Boulevard, PO Box 19395– the definition of the term Government of Identified as meeting the definition of the 4833, Tehran, Iran; Additional Sanctions Iran. term Government of Iran as set forth in

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section 7(d) of E.O. 13599 and section UNIVERSAL SHIPPING AND TRANS), East COMPANY), No. 44, East Atefi Ave., 560.304 of the ITSR, 31 CFR part 560 for Shahid Atefi Street 35, Africa Boulevard, PO Nelsonmandella Blvd., Tehran, Iran; website being owned or controlled by, or acting or Box 19395–4833, Tehran, Iran; Additional http://nitcshipping.com; Additional purporting to act for or on behalf of, directly Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary or indirectly, NATIONAL IRANIAN TANKER Sanctions [IRAN] (Linked To: NATIONAL Sanctions [IRAN] (Linked To: NATIONAL COMPANY, a person identified as meeting IRANIAN TANKER COMPANY). IRANIAN TANKER COMPANY). the definition of the term Government of Identified as meeting the definition of the Identified as meeting the definition of the Iran. term Government of Iran as set forth in term Government of Iran as set forth in 89. PACIFIC OCEAN SHIPPING LIMITED, section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section East Shahid Atefi Street 35, Africa Boulevard, 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for PO Box 19395–4833, Tehran, Iran; being owned or controlled by, or acting or being owned or controlled by, or acting or Additional Sanctions Information—Subject purporting to act for or on behalf of, directly purporting to act for or on behalf of, directly to Secondary Sanctions [IRAN] (Linked To: or indirectly, NATIONAL IRANIAN TANKER or indirectly, NATIONAL IRANIAN TANKER NATIONAL IRANIAN TANKER COMPANY). COMPANY, a person identified as meeting COMPANY, a person identified as meeting Identified as meeting the definition of the the definition of the term Government of the definition of the term Government of term Government of Iran as set forth in Iran. Iran. section 7(d) of E.O. 13599 and section 94. UNIVERSE SHIPPING LIMITED, East 98. POUYA TAMIN KISH (a.k.a. POUYA 560.304 of the ITSR, 31 CFR part 560 for Shahid Atefi Street 35, Africa Boulevard, PO TAMIN KISH CO.; a.k.a. POUYA TAMIN being owned or controlled by, or acting or Box 19395–4833, Tehran, Iran; Additional KISH OIL & GAS CO; a.k.a. POUYA TAMIN purporting to act for or on behalf of, directly Sanctions Information—Subject to Secondary KISH OIL AND GAS CO; a.k.a. ‘‘PTK’’), Block or indirectly, NATIONAL IRANIAN TANKER Sanctions [IRAN] (Linked To: NATIONAL EX6, In front of IRAN Blvd., Kish Island, COMPANY, a person identified as meeting IRANIAN TANKER COMPANY). Iran; website http://nitcshipping.com; the definition of the term Government of Identified as meeting the definition of the Additional Sanctions Information—Subject Iran. term Government of Iran as set forth in to Secondary Sanctions [IRAN] (Linked To: 90. SPEED TRANSPORTATION LIMITED, section 7(d) of E.O. 13599 and section NATIONAL IRANIAN TANKER COMPANY). East Shahid Atefi Street 35, Africa Boulevard, 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the PO Box 19395–4833, Tehran, Iran; being owned or controlled by, or acting or term Government of Iran as set forth in Additional Sanctions Information—Subject purporting to act for or on behalf of, directly section 7(d) of E.O. 13599 and section to Secondary Sanctions [IRAN] (Linked To: or indirectly, NATIONAL IRANIAN TANKER 560.304 of the ITSR, 31 CFR part 560 for NATIONAL IRANIAN TANKER COMPANY). COMPANY, a person identified as meeting being owned or controlled by, or acting or Identified as meeting the definition of the the definition of the term Government of purporting to act for or on behalf of, directly term Government of Iran as set forth in Iran. or indirectly, NATIONAL IRANIAN TANKER section 7(d) of E.O. 13599 and section 95. WORLDWIDE SHIPPING & COMPANY, a person identified as meeting 560.304 of the ITSR, 31 CFR part 560 for TRANSPORTATION LIMITED (a.k.a. the definition of the term Government of being owned or controlled by, or acting or WORLDWIDE SHIPPING & TRANS; a.k.a. Iran. purporting to act for or on behalf of, directly WORLDWIDE SHIPPING AND TRANS; a.k.a. 99. DARYANAVARD KISH (a.k.a. or indirectly, NATIONAL IRANIAN TANKER WORLDWIDE SHIPPING AND DARYANAVARD KISH SHIPPING COMPANY, a person identified as meeting TRANSPORTATION LIMITED), East Shahid COMPANY; a.k.a. DARYANAVARD KISH the definition of the term Government of Atefi Street 35, Africa Boulevard, PO Box SHIPPING COMPANY LTD.), Unit7, No. 3, Iran. 19395–4833, Tehran, Iran; Additional Noor Alley, Nelsonmandella Blvd., Tehran, 91. SPRING SHIPPING LIMITED, East Sanctions Information—Subject to Secondary Iran; Kish Islands, Iran; website http:// Shahid Atefi Street 35, Africa Boulevard, PO Sanctions [IRAN] (Linked To: NATIONAL nitcshipping.com; Additional Sanctions Box 19395–4833, Tehran, Iran; Additional IRANIAN TANKER COMPANY). Information—Subject to Secondary Sanctions Sanctions Information—Subject to Secondary Identified as meeting the definition of the [IRAN] (Linked To: NATIONAL IRANIAN Sanctions [IRAN] (Linked To: NATIONAL term Government of Iran as set forth in TANKER COMPANY). IRANIAN TANKER COMPANY). section 7(d) of E.O. 13599 and section Identified as meeting the definition of the Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in term Government of Iran as set forth in being owned or controlled by, or acting or section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section purporting to act for or on behalf of, directly 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for or indirectly, NATIONAL IRANIAN TANKER being owned or controlled by, or acting or being owned or controlled by, or acting or COMPANY, a person identified as meeting purporting to act for or on behalf of, directly purporting to act for or on behalf of, directly the definition of the term Government of or indirectly, NATIONAL IRANIAN TANKER or indirectly, NATIONAL IRANIAN TANKER Iran. COMPANY, a person identified as meeting COMPANY, a person identified as meeting 96. AZAR PAD QESHM (a.k.a. AZARPAD the definition of the term Government of the definition of the term Government of QESHM; a.k.a. AZARPAD QESHM CO; a.k.a. Iran. Iran. ‘‘APCO’’), East Shahid Atefi Street 35, Africa 100. SEPAHAN CEMENT (a.k.a. SIMAN 92. TARGET TRANSPORTATION Boulevard, PO Box 19395–4833, Tehran, SEPAHAN), Iran; Additional Sanctions LIMITED, East Shahid Atefi Street 35, Africa Iran; No. 303, Mahtab Building, Pardis Cross Information—Subject to Secondary Sanctions Boulevard, PO Box 19395–4833, Tehran, Road, Golden City, Qeshm, Iran; No. 44, East [IRAN] (Linked To: GHADIR INVESTMENT Iran; Additional Sanctions Information— Atefi St., Africa Blvd., Tehran, Iran; website COMPANY). Subject to Secondary Sanctions [IRAN] http://nitcshipping.com; Additional Identified as meeting the definition of the (Linked To: NATIONAL IRANIAN TANKER Sanctions Information—Subject to Secondary term Government of Iran as set forth in COMPANY). Sanctions [IRAN] (Linked To: NATIONAL section 7(d) of E.O. 13599 and section Identified as meeting the definition of the IRANIAN TANKER COMPANY). 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in Identified as meeting the definition of the being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section term Government of Iran as set forth in INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section identified as meeting the definition of the being owned or controlled by, or acting or 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran. purporting to act for or on behalf of, directly being owned or controlled by, or acting or 101. PAYVAR ANDISH, Iran; Additional or indirectly, NATIONAL IRANIAN TANKER purporting to act for or on behalf of, directly Sanctions Information—Subject to Secondary COMPANY, a person identified as meeting or indirectly, NATIONAL IRANIAN TANKER Sanctions [IRAN] (Linked To: GHADIR the definition of the term Government of COMPANY, a person identified as meeting INVESTMENT COMPANY). Iran. the definition of the term Government of Identified as meeting the definition of the 93. UNIVERSAL SHIPPING AND Iran. term Government of Iran as set forth in TRANSPORTATION LIMITED (a.k.a. 97. ATLAS KIAN QESHM (a.k.a. ATLAS section 7(d) of E.O. 13599 and section UNIVERSAL SHIPPING & TRANS; a.k.a. SHIPPING; a.k.a. ATLAS SHIPPING 560.304 of the ITSR, 31 CFR part 560 for

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being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person identified as meeting the definition of the being owned or controlled by GHADIR identified as meeting the definition of the term Government of Iran. INVESTMENT COMPANY, a person term Government of Iran. 102. DAY INVESTMENT (a.k.a. SARMAYE identified as meeting the definition of the 114. GHADIR REAL-TIME SYSTEMS GOZARI DAY), Iran [IRAN] (Linked To: term Government of Iran. DEVELOPMENT (a.k.a. GHADIR TOSE-E GHADIR INVESTMENT COMPANY). 108. MAPNA KHUZESTAN ELECTRICITY SAAMANEHAYE BEHENGAAM; a.k.a. Identified as meeting the definition of the GENERATION, Iran; Additional Sanctions ‘‘ISEEMA’’), Iran; Additional Sanctions term Government of Iran as set forth in Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section [IRAN] (Linked To: GHADIR INVESTMENT [IRAN] (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for COMPANY). COMPANY). being owned or controlled by GHADIR Identified as meeting the definition of the Identified as meeting the definition of the INVESTMENT COMPANY, a person term Government of Iran as set forth in term Government of Iran as set forth in identified as meeting the definition of the section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section term Government of Iran. 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for 103. KISH ASIA NAVAK, Iran; Additional being owned or controlled by GHADIR being owned or controlled by GHADIR Sanctions Information—Subject to Secondary INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person Sanctions [IRAN] (Linked To: GHADIR identified as meeting the definition of the identified as meeting the definition of the INVESTMENT COMPANY). term Government of Iran. term Government of Iran. Identified as meeting the definition of the 109. DAMAVAND ELECTRICITY AND 115. RAAHBAR COMPUTER RESOURCES term Government of Iran as set forth in POWER ENGINEERING, Iran; Additional MANAGEMENT, Iran; Additional Sanctions section 7(d) of E.O. 13599 and section Sanctions Information—Subject to Secondary Information—Subject to Secondary Sanctions 560.304 of the ITSR, 31 CFR part 560 for Sanctions [IRAN] (Linked To: GHADIR [IRAN] (Linked To: GHADIR INVESTMENT being owned or controlled by GHADIR INVESTMENT COMPANY). COMPANY). INVESTMENT COMPANY, a person Identified as meeting the definition of the Identified as meeting the definition of the identified as meeting the definition of the term Government of Iran as set forth in term Government of Iran as set forth in term Government of Iran. section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section 104. SEPAHAN CEMENT INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for (a.k.a. SARMAYE GOZARI SIMAN being owned or controlled by GHADIR being owned or controlled by GHADIR SEPAHAN), Iran; Additional Sanctions INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person identified as meeting the definition of the Information—Subject to Secondary Sanctions identified as meeting the definition of the term Government of Iran. [IRAN] (Linked To: GHADIR INVESTMENT term Government of Iran. 116. PARSIAN RAIL TRANSPORT COMPANY). 110. SEPEHR IRANIAN INSURANCE DEVELOPMENT, Iran; Additional Sanctions Identified as meeting the definition of the SERVICES, Iran [IRAN] (Linked To: GHADIR Information—Subject to Secondary Sanctions term Government of Iran as set forth in INVESTMENT COMPANY). [IRAN] (Linked To: GHADIR INVESTMENT section 7(d) of E.O. 13599 and section Identified as meeting the definition of the COMPANY). 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in Identified as meeting the definition of the being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section term Government of Iran as set forth in INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section identified as meeting the definition of the being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran. INVESTMENT COMPANY, a person being owned or controlled by GHADIR 105. SEPAHAN CEMENT CONCRETE identified as meeting the definition of the INVESTMENT COMPANY, a person PRODUCTS (a.k.a. FARAVARDEHAYE term Government of Iran. identified as meeting the definition of the BOTONI SIMAN SEPAHAN), Iran; 111. KARAMAAD SYSTEMS term Government of Iran. Additional Sanctions Information—Subject MANAGEMENT, Iran; Additional Sanctions 117. GHADIR OXIN ELECTRICITY to Secondary Sanctions [IRAN] (Linked To: Information—Subject to Secondary Sanctions GENERATION DEVELOPMENT, Iran; GHADIR INVESTMENT COMPANY). [IRAN] (Linked To: GHADIR INVESTMENT Additional Sanctions Information—Subject Identified as meeting the definition of the COMPANY). to Secondary Sanctions [IRAN] (Linked To: term Government of Iran as set forth in Identified as meeting the definition of the GHADIR INVESTMENT COMPANY). section 7(d) of E.O. 13599 and section term Government of Iran as set forth in Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section term Government of Iran as set forth in being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section INVESTMENT COMPANY, a person being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for identified as meeting the definition of the INVESTMENT COMPANY, a person being owned or controlled by GHADIR term Government of Iran. identified as meeting the definition of the INVESTMENT COMPANY, a person 106. IRAN MERINE SERVICES, Iran; term Government of Iran. identified as meeting the definition of the Additional Sanctions Information—Subject 112. VASEPARI SEPEHR PARS, Iran; term Government of Iran. to Secondary Sanctions [IRAN] (Linked To: Additional Sanctions Information—Subject 118. SEPAHAN CEMENT PAKAT-SAZI GHADIR INVESTMENT COMPANY). to Secondary Sanctions [IRAN] (Linked To: SHAFAGH (a.k.a. PAKAT SAZI SHAFAGH Identified as meeting the definition of the GHADIR INVESTMENT COMPANY). SIMAN SEPAHAN), Iran; Additional Government of Iran as set forth in section Identified as meeting the definition of the Sanctions Information—Subject to Secondary 7(d) of E.O. 13599 and section 560.304 of the term Government of Iran as set forth in Sanctions [IRAN] (Linked To: GHADIR ITSR, 31 CFR part 560 for being owned or section 7(d) of E.O. 13599 and section INVESTMENT COMPANY). controlled by GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the COMPANY, a person identified as meeting being owned or controlled by GHADIR term Government of Iran as set forth in the definition of the term Government of INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section Iran. identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for 107. SEPAHAN CEMENT RAHNAVARD term Government of Iran. being owned or controlled by GHADIR PRODUCTS TRANSPORTATION (a.k.a. 113. POUYAN TABAAN ENERGY, Iran; INVESTMENT COMPANY, a person HAML VA NAGHL KALAHAYE Additional Sanctions Information—Subject identified as meeting the definition of the RAHNAVARD SIMAN SEPAHAN), Iran; to Secondary Sanctions [IRAN] (Linked To: term Government of Iran. Additional Sanctions Information—Subject GHADIR INVESTMENT COMPANY). 119. QOM ENERGY GENERATION to Secondary Sanctions [IRAN] (Linked To: Identified as meeting the definition of the GOSTAR, Iran; Additional Sanctions GHADIR INVESTMENT COMPANY). term Government of Iran as set forth in Information—Subject to Secondary Sanctions Identified as meeting the definition of the section 7(d) of E.O. 13599 and section [IRAN] (Linked To: GHADIR INVESTMENT term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for COMPANY).

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Identified as meeting the definition of the Information—Subject to Secondary Sanctions 131. MOTOJEN AUTO INDUSTRY term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT COMPANY (a.k.a. KHODRO SANAT section 7(d) of E.O. 13599 and section COMPANY). MOROJEN), Iran; Additional Sanctions 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the Information—Subject to Secondary Sanctions being owned or controlled by GHADIR term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section COMPANY). identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the term Government of Iran. being owned or controlled by GHADIR term Government of Iran as set forth in 120. GILAN ELECTRICITY INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section TRANSMISSION DEVELOPMENT, Iran; identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for Additional Sanctions Information—Subject term Government of Iran. being owned or controlled by GHADIR to Secondary Sanctions [IRAN] (Linked To: 126. TARABAR-GOROUS TRUST INVESTMENT COMPANY, a person GHADIR INVESTMENT COMPANY). TRANSPORTATION (a.k.a. HAML VA identified as meeting the definition of the Identified as meeting the definition of the NAGHL ETEMAAD TARABARGROUS), Iran; term Government of Iran. term Government of Iran as set forth in Additional Sanctions Information—Subject 132. AZAR INVESTMENT, Iran [IRAN] section 7(d) of E.O. 13599 and section to Secondary Sanctions [IRAN] (Linked To: (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for GHADIR INVESTMENT COMPANY). COMPANY). being owned or controlled by GHADIR Identified as meeting the definition of the Identified as meeting the definition of the INVESTMENT COMPANY, a person term Government of Iran as set forth in term Government of Iran as set forth in identified as meeting the definition of the section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section term Government of Iran. 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for 121. SHARQ CEMENT (a.k.a. SIMAN-E being owned or controlled by GHADIR being owned or controlled by GHADIR SHARGH), Iran; Additional Sanctions INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person Information—Subject to Secondary Sanctions identified as meeting the definition of the identified as meeting the definition of the [IRAN] (Linked To: GHADIR INVESTMENT term Government of Iran. term Government of Iran. COMPANY). 127. GHADIR TEHRAN ELECTRICITY 133. HAMOON SEPAHAN COMMERCIAL Identified as meeting the definition of the AND ENERGY GENERATION TRADING, Iran; Additional Sanctions term Government of Iran as set forth in DEVELOPMENT, Iran; Additional Sanctions Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section Information—Subject to Secondary Sanctions [IRAN] (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for [IRAN] (Linked To: GHADIR INVESTMENT COMPANY). being owned or controlled by GHADIR COMPANY). Identified as meeting the definition of the Identified as meeting the definition of the INVESTMENT COMPANY, a person term Government of Iran as set forth in term Government of Iran as set forth in identified as meeting the definition of the section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section term Government of Iran. 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for 122. GILAN ELECTRICITY GENERATION being owned or controlled by GHADIR being owned or controlled by GHADIR INVESTMENT COMPANY, a person MANAGEMENT, Iran; Additional Sanctions INVESTMENT COMPANY, a person identified as meeting the definition of the Information—Subject to Secondary Sanctions identified as meeting the definition of the term Government of Iran. [IRAN] (Linked To: GHADIR INVESTMENT term Government of Iran. COMPANY). 128. RAAHBAR SARIR INTEGRATED 134. SOUTH IRAN DARYABAN KISH, Identified as meeting the definition of the TRACKING SYSTEMS INC, Iran; Additional Kish, Iran; Additional Sanctions term Government of Iran as set forth in Sanctions Information—Subject to Secondary Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section Sanctions [IRAN] (Linked To: GHADIR [IRAN] (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY). COMPANY). being owned or controlled by GHADIR Identified as meeting the definition of the Identified as meeting the definition of the INVESTMENT COMPANY, a person term Government of Iran as set forth in term Government of Iran as set forth in identified as meeting the definition of the section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section term Government of Iran. 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for 123. HORMOGAN ELECTRICITY AND being owned or controlled by GHADIR being owned or controlled by GHADIR POWER GENERATION, Iran; Additional INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person Sanctions Information—Subject to Secondary identified as meeting the definition of the identified as meeting the definition of the Sanctions [IRAN] (Linked To: GHADIR term Government of Iran. term Government of Iran. INVESTMENT COMPANY). 129. GHADIR QOM SOLAR ENERGY 135. GHADIR SOLAR ELECTRICITY AND Identified as meeting the definition of the GENERATION DEVELOPMENT, Iran; ENERGY, Iran; Additional Sanctions term Government of Iran as set forth in Additional Sanctions Information—Subject Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section to Secondary Sanctions [IRAN] (Linked To: [IRAN] (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for GHADIR INVESTMENT COMPANY). COMPANY). being owned or controlled by GHADIR Identified as meeting the definition of the Identified as meeting the definition of the INVESTMENT COMPANY, a person term Government of Iran as set forth in term Government of Iran as set forth in identified as meeting the definition of the section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section term Government of Iran. 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for 124. SHARQ CEMENT MANUFACTURERS being owned or controlled by GHADIR being owned or controlled by GHADIR (a.k.a. FARAVARDEHAYE SIMAN INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person SHARGH), Iran; Additional Sanctions identified as meeting the definition of the identified as meeting the definition of the Information—Subject to Secondary Sanctions term Government of Iran. term Government of Iran. [IRAN] (Linked To: GHADIR INVESTMENT 130. MOMTAZ ELECTRIC, Iran; 136. SEPEHR MASHAHD CEMENT COMPANY). Additional Sanctions Information—Subject TRANSPORTATION (a.k.a. HAML VA Identified as meeting the definition of the to Secondary Sanctions [IRAN] (Linked To: NAGHL SEPEHR SIMAN MASHHAD), Iran; term Government of Iran as set forth in GHADIR INVESTMENT COMPANY). Additional Sanctions Information—Subject section 7(d) of E.O. 13599 and section Identified as meeting the definition of the to Secondary Sanctions [IRAN] (Linked To: 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in GHADIR INVESTMENT COMPANY). being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section Identified as meeting the definition of the INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in identified as meeting the definition of the being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section term Government of Iran. INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for 125. PAYANDEH JAAM ELECTRICITY identified as meeting the definition of the being owned or controlled by GHADIR ENERGY, Iran; Additional Sanctions term Government of Iran. INVESTMENT COMPANY, a person

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identified as meeting the definition of the section 7(d) of E.O. 13599 and section Identified as meeting the definition of the term Government of Iran. 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in 137. ARJAN ELECTRICITY AND ENERGY being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section GENERATION MANAGEMENT, Iran; INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for Additional Sanctions Information—Subject identified as meeting the definition of the being owned or controlled by GHADIR to Secondary Sanctions [IRAN] (Linked To: term Government of Iran. INVESTMENT COMPANY, a person GHADIR INVESTMENT COMPANY). 143. SHARQ COALMINES (a.k.a. identified as meeting the definition of the Identified as meeting the definition of the MA’ADEN-E ZOGHAL SANG SHARGH), term Government of Iran. term Government of Iran as set forth in Iran; Additional Sanctions Information— 149. SHARQ WHITE CEMENT (a.k.a. section 7(d) of E.O. 13599 and section Subject to Secondary Sanctions [IRAN] SIMAN’E SEFID SHARGH), Iran; Additional 560.304 of the ITSR, 31 CFR part 560 for (Linked To: GHADIR INVESTMENT Sanctions Information—Subject to Secondary being owned or controlled by GHADIR COMPANY). Sanctions [IRAN] (Linked To: GHADIR INVESTMENT COMPANY, a person Identified as meeting the definition of the INVESTMENT COMPANY). identified as meeting the definition of the term Government of Iran as set forth in Identified as meeting the definition of the term Government of Iran. section 7(d) of E.O. 13599 and section term Government of Iran as set forth in 138. DANA INTEGRATED SYSTEM FOR 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section ELECTRONIC INTERACTIONS CO. (a.k.a. being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for SAMANEHAYE YEKPARCHEH TAMOLAT INVESTMENT COMPANY, a person being owned or controlled by GHADIR ELECTRONIC DANA), Iran; Additional identified as meeting the definition of the INVESTMENT COMPANY, a person Sanctions Information—Subject to Secondary term Government of Iran. identified as meeting the definition of the Sanctions [IRAN] (Linked To: GHADIR 144. GHADIR PISHRO ELECTRICITY term Government of Iran. INVESTMENT COMPANY). GENERATION, Iran; Additional Sanctions 150. GHADIR CASPIAN GILAN ENERGY, Identified as meeting the definition of the Information—Subject to Secondary Sanctions Iran; Additional Sanctions Information— term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT Subject to Secondary Sanctions [IRAN] section 7(d) of E.O. 13599 and section COMPANY). (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the COMPANY). being owned or controlled by GHADIR term Government of Iran as set forth in Identified as meeting the definition of the INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section term Government of Iran as set forth in identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section term Government of Iran. being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR 139. GHADIR MAZANDARAN INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person ELECTRICITY AND ENERGY GENERATION, identified as meeting the definition of the identified as meeting the definition of the Iran; Additional Sanctions Information— term Government of Iran. term Government of Iran. Subject to Secondary Sanctions [IRAN] 145. PARS GHA’EM GOSTAR, Iran; 151. GHADIR KANI ARIYA, Iran; (Linked To: GHADIR INVESTMENT Additional Sanctions Information—Subject Additional Sanctions Information—Subject COMPANY). to Secondary Sanctions [IRAN] (Linked To: to Secondary Sanctions [IRAN] (Linked To: Identified as meeting the definition of the GHADIR INVESTMENT COMPANY). GHADIR INVESTMENT COMPANY). term Government of Iran as set forth in Identified as meeting the definition of the Identified as meeting the definition of the section 7(d) of E.O. 13599 and section term Government of Iran as set forth in term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person being owned or controlled by GHADIR being owned or controlled by GHADIR identified as meeting the definition of the INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person term Government of Iran. identified as meeting the definition of the identified as meeting the definition of the 140. GHADIR MEHRIZ SOLAR ENERGY, term Government of Iran. term Government of Iran. Iran; Additional Sanctions Information— 146. KURDISTAN CEMENT (a.k.a. SIMAN- 152. NEYRIZ STEEL, Iran; Additional Subject to Secondary Sanctions [IRAN] E KURDISTAN), Iran; Additional Sanctions Sanctions Information—Subject to Secondary (Linked To: GHADIR INVESTMENT Information—Subject to Secondary Sanctions Sanctions [IRAN] (Linked To: GHADIR COMPANY). [IRAN] (Linked To: GHADIR INVESTMENT INVESTMENT COMPANY). Identified as meeting the definition of the COMPANY). Identified as meeting the definition of the term Government of Iran as set forth in Identified as meeting the definition of the term Government of Iran as set forth in section 7(d) of E.O. 13599 and section term Government of Iran as set forth in section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR INVESTMENT COMPANY, a person being owned or controlled by GHADIR INVESTMENT COMPANY, a person identified as meeting the definition of the INVESTMENT COMPANY, a person identified as meeting the definition of the term Government of Iran. identified as meeting the definition of the term Government of Iran. 141. RAILCOM RAAHBAR CO., Iran; term Government of Iran. 153. PARS NICKEL KARAN KABIR, Iran; Additional Sanctions Information—Subject 147. SHARQ CEMENT INDUSTRIAL Additional Sanctions Information—Subject to Secondary Sanctions [IRAN] (Linked To: LIMESTONE (a.k.a. AHAK-E SANATI to Secondary Sanctions [IRAN] (Linked To: GHADIR INVESTMENT COMPANY). SIMAN SHARGH), Iran; Additional GHADIR INVESTMENT COMPANY). Identified as meeting the definition of the Sanctions Information—Subject to Secondary Identified as meeting the definition of the term Government of Iran as set forth in Sanctions [IRAN] (Linked To: GHADIR term Government of Iran as set forth in section 7(d) of E.O. 13599 and section INVESTMENT COMPANY). section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR term Government of Iran as set forth in being owned or controlled by GHADIR INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section INVESTMENT COMPANY, a person identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for identified as meeting the definition of the term Government of Iran. being owned or controlled by GHADIR term Government of Iran. 142. FANAVARAN ETEMAAD RAAHBAR INVESTMENT COMPANY, a person 154. GHADIR ETEZAD INVESTMENT, CO., Iran; Additional Sanctions identified as meeting the definition of the Iran; Additional Sanctions Information— Information—Subject to Secondary Sanctions term Government of Iran. Subject to Secondary Sanctions [IRAN] [IRAN] (Linked To: GHADIR INVESTMENT 148. GHADIR LAMORD ENERGY, Iran; (Linked To: GHADIR INVESTMENT COMPANY). Additional Sanctions Information—Subject COMPANY). Identified as meeting the definition of the to Secondary Sanctions [IRAN] (Linked To: Identified as meeting the definition of the term Government of Iran as set forth in GHADIR INVESTMENT COMPANY). term Government of Iran as set forth in

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section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR INVESTMENT COMPANY, a person being owned or controlled by GHADIR INVESTMENT COMPANY, a person identified as meeting the definition of the INVESTMENT COMPANY, a person identified as meeting the definition of the term Government of Iran. identified as meeting the definition of the term Government of Iran. 161. GHADIR INTERNATIONAL TRADING term Government of Iran. 155. GHADIR INDUSTRIAL TRADING, AND DEVELOPMENT, Iran; Additional 167. NEGIN KISH INTERNATIONAL Iran; Additional Sanctions Information— Sanctions Information—Subject to Secondary SAHEL AND FARASAHEL DEVELOPMENT, Subject to Secondary Sanctions [IRAN] Sanctions [IRAN] (Linked To: GHADIR Iran; Additional Sanctions Information— (Linked To: GHADIR INVESTMENT INVESTMENT COMPANY). Subject to Secondary Sanctions [IRAN] COMPANY). Identified as meeting the definition of the (Linked To: GHADIR INVESTMENT Identified as meeting the definition of the term Government of Iran as set forth in COMPANY). term Government of Iran as set forth in section 7(d) of E.O. 13599 and section Identified as meeting the definition of the section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person identified as meeting the definition of the being owned or controlled by GHADIR identified as meeting the definition of the term Government of Iran. INVESTMENT COMPANY, a person term Government of Iran. 162. PARSIAN OIL AND GAS identified as meeting the definition of the 156. GHADIR PETRO ARMAN KISH, Iran; DEVELOPMENT, Iran; Additional Sanctions term Government of Iran. Additional Sanctions Information—Subject Information—Subject to Secondary Sanctions 168. SOUTH ALUMINUM, Iran; Additional to Secondary Sanctions [IRAN] (Linked To: [IRAN] (Linked To: GHADIR INVESTMENT Sanctions Information—Subject to Secondary GHADIR INVESTMENT COMPANY). COMPANY). Sanctions [IRAN] (Linked To: GHADIR Identified as meeting the definition of the Identified as meeting the definition of the INVESTMENT COMPANY). term Government of Iran as set forth in term Government of Iran as set forth in Identified as meeting the definition of the section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person being owned or controlled by GHADIR identified as meeting the definition of the identified as meeting the definition of the INVESTMENT COMPANY, a person term Government of Iran. term Government of Iran. identified as meeting the definition of the 157. GHADIR CASPIAN STEEL TRADING, 163. MOTOJEN, Iran; Additional Sanctions term Government of Iran. Iran; Additional Sanctions Information— Information—Subject to Secondary Sanctions 169. GHADIR MANAGEMENT AND Subject to Secondary Sanctions [IRAN] [IRAN] (Linked To: GHADIR INVESTMENT COMMERCIAL SERVICES, Iran; Additional (Linked To: GHADIR INVESTMENT COMPANY). Sanctions Information—Subject to Secondary COMPANY). Identified as meeting the definition of the Sanctions [IRAN] (Linked To: GHADIR Identified as meeting the definition of the term Government of Iran as set forth in INVESTMENT COMPANY). term Government of Iran as set forth in section 7(d) of E.O. 13599 and section Identified as meeting the definition of the section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person identified as meeting the definition of the being owned or controlled by GHADIR identified as meeting the definition of the term Government of Iran. INVESTMENT COMPANY, a person term Government of Iran. 164. GHADIR INVESTMENT AND identified as meeting the definition of the 158. ZARIN PERSIA INVESTMENT, Iran INDUSTRY DEVELOPMENT, Iran; term Government of Iran. [IRAN] (Linked To: GHADIR INVESTMENT Additional Sanctions Information—Subject 170. RAAHBAR INFORMATICS SERVICES COMPANY). to Secondary Sanctions [IRAN] (Linked To: (a.k.a. RAAHBAR KHADAMAT Identified as meeting the definition of the GHADIR INVESTMENT COMPANY). INFORMATIC), Iran; Additional Sanctions term Government of Iran as set forth in Identified as meeting the definition of the Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section COMPANY). being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the INVESTMENT COMPANY, a person being owned or controlled by GHADIR term Government of Iran as set forth in identified as meeting the definition of the INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section term Government of Iran. identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for 159. ARMAN RESOURCES EQUIP AND Government of Iran. being owned or controlled by GHADIR SUPPORT MANAGEMENT, Iran; Additional 165. GHADIR ELECTRICITY AND ENERGY INVESTMENT COMPANY, a person Sanctions Information—Subject to Secondary INVESTMENT, Iran; Additional Sanctions identified as meeting the definition of the Sanctions [IRAN] (Linked To: GHADIR Information—Subject to Secondary Sanctions term Government of Iran. INVESTMENT COMPANY). [IRAN] (Linked To: GHADIR INVESTMENT 171. SAKHTEMAN INTERNATIONAL Identified as meeting the definition of the COMPANY). DEVELOPMENT, Iran; Additional Sanctions term Government of Iran as set forth in Identified as meeting the definition of the Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT 560.304 of the ITSR, 31 CFR part 560 for section 7(d) of E.O. 13599 and section COMPANY). being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the INVESTMENT COMPANY, a person being owned or controlled by GHADIR term Government of Iran as set forth in identified as meeting the definition of the INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section term Government of Iran. identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for 160. TEJARAT PAYDAR PAYMAN term Government of Iran. being owned or controlled by GHADIR DEVELOPMENT, Iran; Additional Sanctions 166. IRANIAN NOVIN INDUSTRY INVESTMENT COMPANY, a person Information—Subject to Secondary Sanctions DEVELOPMENT, Iran; Additional Sanctions identified as meeting the definition of the [IRAN] (Linked To: GHADIR INVESTMENT Information—Subject to Secondary Sanctions term Government of Iran. COMPANY). [IRAN] (Linked To: GHADIR INVESTMENT 172. A.S.P. BUILDERS, Iran; Additional Identified as meeting the definition of the COMPANY). Sanctions Information—Subject to Secondary term Government of Iran as set forth in Identified as meeting the definition of the Sanctions [IRAN] (Linked To: GHADIR section 7(d) of E.O. 13599 and section term Government of Iran as set forth in INVESTMENT COMPANY).

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Identified as meeting the definition of the Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in term Government of Iran as set forth in being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for identified as meeting the definition of the being owned or controlled by GHADIR being owned or controlled by GHADIR term Government of Iran. INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person 185. HAMOON SEPAHAN identified as meeting the definition of the identified as meeting the definition of the MANAGEMENT SERVICES, Iran; Additional term Government of Iran. term Government of Iran. Sanctions Information—Subject to Secondary 173. BAGHMISHEH RESIDENTIAL 179. GHADIR PAYMAN COUNSELING Sanctions [IRAN] (Linked To: GHADIR DEVELOPMENT, Iran; Additional Sanctions ENGINEERS, Iran; Additional Sanctions INVESTMENT COMPANY). Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Identified as meeting the definition of the [IRAN] (Linked To: GHADIR INVESTMENT [IRAN] (Linked To: GHADIR INVESTMENT term Government of Iran as set forth in COMPANY). COMPANY). section 7(d) of E.O. 13599 and section Identified as meeting the definition of the Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in term Government of Iran as set forth in being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for identified as meeting the definition of the being owned or controlled by GHADIR being owned or controlled by GHADIR term Government of Iran. INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person 186. PARS PAIDAR SANAT NOVIN, Iran; identified as meeting the definition of the identified as meeting the definition of the Additional Sanctions Information—Subject term Government of Iran. term Government of Iran. to Secondary Sanctions [IRAN] (Linked To: 174. BEHSAZAN PARS EQUIPMENT 180. KISH ROOYA-E ZENDEGI, Iran; GHADIR INVESTMENT COMPANY). DEVELOPMENT, Iran; Additional Sanctions Additional Sanctions Information—Subject Identified as meeting the definition of the Information—Subject to Secondary Sanctions to Secondary Sanctions [IRAN] (Linked To: term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT GHADIR INVESTMENT COMPANY). section 7(d) of E.O. 13599 and section COMPANY). Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the term Government of Iran as set forth in being owned or controlled by GHADIR term Government of Iran as set forth in section 7(d) of E.O. 13599 and section INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR term Government of Iran. being owned or controlled by GHADIR INVESTMENT COMPANY, a person 187. SHIRAZ PARS FARAYAND OIL INVESTMENT COMPANY, a person identified as meeting the definition of the REFINERY, Iran; Additional Sanctions identified as meeting the definition of the term Government of Iran. Information—Subject to Secondary Sanctions term Government of Iran. 181. OFOQ SAZEH PAYAH, Iran; [IRAN] (Linked To: GHADIR INVESTMENT 175. AZERBAIJAN CONSTRUCTION, Iran; Additional Sanctions Information—Subject COMPANY). Additional Sanctions Information—Subject to Secondary Sanctions [IRAN] (Linked To: Identified as meeting the definition of the to Secondary Sanctions [IRAN] (Linked To: GHADIR INVESTMENT COMPANY). term Government of Iran as set forth in GHADIR INVESTMENT COMPANY). Identified as meeting the definition of the section 7(d) of E.O. 13599 and section Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in term Government of Iran as set forth in section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person being owned or controlled by GHADIR being owned or controlled by GHADIR identified as meeting the definition of the INVESTMENT COMPANY, a person INVESTMENT COMPANY, a person term Government of Iran. identified as meeting the definition of the identified as meeting the definition of the 188. GHADIR ABU MUSA HAMOON, Iran; term Government of Iran. term Government of Iran. Additional Sanctions Information—Subject 176. GHADIR KHUZESTAN 182. TISA KISH, Iran; Additional to Secondary Sanctions [IRAN] (Linked To: CONSTRUCTION INDUSTRY Sanctions Information—Subject to Secondary GHADIR INVESTMENT COMPANY). DEVELOPMENT, Iran; Additional Sanctions Sanctions [IRAN] (Linked To: GHADIR Identified as meeting the definition of the Information—Subject to Secondary Sanctions INVESTMENT COMPANY). term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT Identified as meeting the definition of the section 7(d) of E.O. 13599 and section COMPANY). term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for Identified as meeting the definition of the section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person term Government of Iran. being owned or controlled by GHADIR identified as meeting the definition of the 189. PARS INTERNATIONAL INDUSTRY INVESTMENT COMPANY, a person term Government of Iran. DEVELOPMENT, Iran; Additional Sanctions identified as meeting the definition of the 183. NARENJESTAN HOTEL AND Information—Subject to Secondary Sanctions term Government of Iran. BUILDING DEVELOPMENT, Iran; Additional [IRAN] (Linked To: GHADIR INVESTMENT 177. FARS SARPANAH, Iran; Additional Sanctions Information—Subject to Secondary COMPANY). Sanctions Information—Subject to Secondary Sanctions [IRAN] (Linked To: GHADIR Identified as meeting the definition of the Sanctions [IRAN] (Linked To: GHADIR INVESTMENT COMPANY). term Government of Iran as set forth in INVESTMENT COMPANY). Identified as meeting the definition of the section 7(d) of E.O. 13599 and section Identified as meeting the definition of the term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560 for term Government of Iran as set forth in section 7(d) of E.O. 13599 and section being owned or controlled by GHADIR section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for INVESTMENT COMPANY, a person 560.304 of the ITSR, 31 CFR part 560 for being owned or controlled by GHADIR identified as meeting the definition of the being owned or controlled by GHADIR INVESTMENT COMPANY, a person term Government of Iran. INVESTMENT COMPANY, a person identified as meeting the definition of the 190. TAKHTEH SHAHID BA HONAR, Iran; identified as meeting the definition of the term Government of Iran. Additional Sanctions Information—Subject term Government of Iran. 184. HAMOON SEPAHAN INVESTMENT, to Secondary Sanctions [IRAN] (Linked To: 178. PARS SAZEH ENGINEERING AND Iran [IRAN] (Linked To: GHADIR GHADIR INVESTMENT COMPANY). CONSTRUCTION, Iran; Additional Sanctions INVESTMENT COMPANY). Identified as meeting the definition of the Information—Subject to Secondary Sanctions Identified as meeting the definition of the term Government of Iran as set forth in [IRAN] (Linked To: GHADIR INVESTMENT term Government of Iran as set forth in section 7(d) of E.O. 13599 and section COMPANY). section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560 for

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being owned or controlled by GHADIR Identified as meeting the definition of the Additional Sanctions Information—Subject INVESTMENT COMPANY, a person term Government of Iran as set forth in to Secondary Sanctions; Trade License No. identified as meeting the definition of the section 7(d) of E.O. 13599 and section HRA 102544 [IRAN]. term Government of Iran. 560.304 of the ITSR, 31 CFR part 560. Identified as meeting the definition of the 191. IRANIAN TITANIUM 196. ISIM TAJ MAHAL LIMITED, 147/1, term Government of Iran as set forth in DEVELOPMENT, Iran; Additional Sanctions St. Lucia Street, Valletta, Malta; Additional section 7(d) of E.O. 13599 and section Information—Subject to Secondary Sanctions Sanctions Information—Subject to Secondary 560.304 of the ITSR, 31 CFR part 560. [IRAN] (Linked To: GHADIR INVESTMENT Sanctions; Trade License No. C 41660 (Malta) 204. TWELFTH OCEAN COMPANY). [IRAN]. ADMINISTRATION GMBH, Schottweg 5, Identified as meeting the definition of the Identified as meeting the definition of the Hamburg 22087, Germany; Additional term Government of Iran as set forth in term Government of Iran as set forth in Sanctions Information—Subject to Secondary section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section Sanctions; Trade License No. HRB94573 560.304 of the ITSR, 31 CFR part 560 for 560.304 of the ITSR, 31 CFR part 560. [IRAN]. being owned or controlled by GHADIR 197. ISIM SININ LIMITED, 147/1, St. Lucia Identified as meeting the definition of the INVESTMENT COMPANY, a person Street, Valletta, Malta; Additional Sanctions term Government of Iran as set forth in identified as meeting the definition of the Information—Subject to Secondary section 7(d) of E.O. 13599 and section term Government of Iran. Sanctions; Trade License No. C37437 (Malta) 560.304 of the ITSR, 31 CFR part 560. 192. IRAN AIR (a.k.a. HAVAPEYMAYI [IRAN]. 205. MOALLEM INSURANCE CO., No. 35, MELLI IRAN; a.k.a. IRAN AIR PJSC; a.k.a. Identified as meeting the definition of the Haghani Blvd., Vanak Sq., Tehran IRANAIR; a.k.a. IRANAIR CARGO;w a.k.a. term Government of Iran as set forth in 1517973511, Iran; website www.mic-ir.com; THE AIRLINE OF THE ISLAMIC REPUBLIC section 7(d) of E.O. 13599 and section Additional Sanctions Information—Subject OF IRAN; a.k.a. ‘‘HOMA’’), Iran Air Building, 560.304 of the ITSR, 31 CFR part 560. to Secondary Sanctions [IRAN]. Mehrabad Airport, Tehran, Iran; Postal Box 198. NARI SHIPPING AND CHARTERING Identified as meeting the definition of the 13185–775, Tehran, Iran; Central Airlines GMBH & CO. KG (a.k.a. NARI SHIPPING term Government of Iran as set forth in Department of the Islamic Republic of Iran, AND CHARTERING GMBH AND CO. KG), section 7(d) of E.O. 13599 and section Tehran Karaj Special Road, Beginning of Schottweg 5, Hamburg 22087, Germany; 560.304 of the ITSR, 31 CFR part 560. Mehrabad International Airport, Tehran, Iran; Additional Sanctions Information—Subject 206. MOSAKHAR DARYA SHIPPING CO website www.iranair.com; alt. Website to Secondary Sanctions; Trade License No. (a.k.a. MOSAKHKHAR-E DARYA www.iranair.co.ir; Additional Sanctions HRA102485 [IRAN]. SHIPPING), Unit 5, 9th Street 2, Ahmad Information—Subject to Secondary Identified as meeting the definition of the Ghasir Avenue, PO Box 19635–1114, Tehran, Sanctions; National ID No. 10100354259 term Government of Iran as set forth in Iran; Additional Sanctions Information— (Iran); Registration Number 8132 [IRAN]. section 7(d) of E.O. 13599 and section Subject to Secondary Sanctions [IRAN]. Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560. Identified as meeting the definition of the term Government of Iran as set forth in 199. FIRST OCEAN ADMINISTRATION term Government of Iran as set forth in section 7(d) of E.O. 13599 and section GMBH, Schottweg 5, Hamburg 22087, section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560. Germany; Additional Sanctions 560.304 of the ITSR, 31 CFR part 560. 193. ISLAMIC REPUBLIC OF IRAN Information—Subject to Secondary 207. LONDON IRINVEST SHIP COMPANY SHIPPING LINES (a.k.a. IRISL), Asseman Sanctions; Trade License No. HRB94311 (a.k.a. IRINVESTSHIP LIMITED), 10 Greycoat Tower, Pasdaran Street, Tehran, Iran; P.O. Place, London SW1P 1SB, United Kingdom; Box 19395–177, Tehran, Iran; P.O. Box [IRAN]. 1957614114, Tehran, Iran; No 523, Al Seman Identified as meeting the definition of the Additional Sanctions Information—Subject Tower Building, No 8: Narenjestan, Laveltani term Government of Iran as set forth in to Secondary Sanctions; Trade License No. Street, Sayya Shirazi Square, Pasdaran Street, section 7(d) of E.O. 13599 and section 04110179 (United Kingdom) [IRAN]. Tehran 1957617114, Iran; website 560.304 of the ITSR, 31 CFR part 560. Identified as meeting the definition of the www.irisl.net; IFCA Determination—Involved 200. EIGHTH OCEAN GMBH & CO. KG term Government of Iran as set forth in in the Shipping Sector; Additional Sanctions (a.k.a. EIGHTH OCEAN GMBH AND CO. section 7(d) of E.O. 13599 and section Information—Subject to Secondary KG), Schottweg 5, Hamburg 22087, Germany; 560.304 of the ITSR, 31 CFR part 560. Sanctions; Trade License No. 11670 (Iran); Additional Sanctions Information—Subject 208. BIIS MARITIME LIMITED, 147/1, St. All Offices Worldwide [IRAN] [IFCA]. to Secondary Sanctions; Trade License No. Lucia Street, Valletta VLT1185, Malta; Identified as meeting the definition of the HRA 102533 [IRAN]. Additional Sanctions Information—Subject term Government of Iran as set forth in Identified as meeting the definition of the to Secondary Sanctions; Trade License No. section 7(d) of E.O. 13599 and section term Government of Iran as set forth in C31530 (Malta) [IRAN]. 560.304 of the ITSR, 31 CFR part 560. section 7(d) of E.O. 13599 and section Identified as meeting the definition of the 194. ISLAMIC REPUBLIC OF IRAN 560.304 of the ITSR, 31 CFR part 560. term Government of Iran as set forth in SHIPPING LINES INVESTMENT (a.k.a. 201. NINTH OCEAN GMBH & CO. KG section 7(d) of E.O. 13599 and section ISLAMIC REPUBLIC OF IRAN SHIPPING (a.k.a. NINTH OCEAN GMBH AND CO. KG), 560.304 of the ITSR, 31 CFR part 560. LINES INVESTMENT COMPANY), Sky Schottweg 5, Hamburg 22097, Germany; 209. ISI MARITIME LIMITED, 147/1, St. Tower, No. 523, Pasdaran Ave, Farmanieh Additional Sanctions Information—Subject Lucia Street, Valletta, Malta; Additional Ave, Farmanieh, District 1, Tehran to Secondary Sanctions; Trade License No. Sanctions Information—Subject to Secondary 1939513111, Iran; Additional Sanctions HRA 102565 [IRAN]. Sanctions; Trade License No. C 28940 (Malta) Information—Subject to Secondary Sanctions Identified as meeting the definition of the [IRAN]. [IRAN]. term Government of Iran as set forth in Identified as meeting the definition of the Identified as meeting the definition of the section 7(d) of E.O. 13599 and section term Government of Iran as set forth in term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560. section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section 202. ELEVENTH OCEAN 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. ADMINISTRATION GMBH, Schottweg 5, 210. ISIM ATR LIMITED, 147/1, St. Lucia 195. VALFAJR SHIPPING COMPANY PJS Hamburg 22087, Germany; Additional Street, Valletta, Malta; Additional Sanctions (a.k.a. VALFAJR 8 SHIPPING CO.; a.k.a. Sanctions Information—Subject to Secondary Information—Subject to Secondary VALFAJR SHIPPING CO.; a.k.a. VALFAJR Sanctions; Trade License No. HRB94632 Sanctions; Trade License No. C34477 (Malta) SHIPPING LINES), Corner of Shabnam Alley [IRAN]. [IRAN]. 119, Tehran, Iran; No 101, Ghaem Magham Identified as meeting the definition of the Identified as meeting the definition of the Farhani Street, Tehran, Iran; No. 11, Abshar term Government of Iran as set forth in term Government of Iran as set forth in Alley, Corner of Azodi Street, PO Box 15875– section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section 4155, Tehran 1581674347, Iran; Valfajr Blvd., 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. Bushehr, Iran; website www.valfajr.ir; 203. ELEVENTH OCEAN GMBH & CO. KG 211. FOURTEENTH OCEAN GMBH & CO. Additional Sanctions Information—Subject (a.k.a. ELEVENTH OCEAN GMBH AND CO. KG (a.k.a. FOURTEENTH OCEAN GMBH to Secondary Sanctions [IRAN]. KG), Schottweg 5, Hamburg 22087, Germany; AND CO. KG), Schottweg 5, Hamburg 22087,

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Germany; Additional Sanctions 218. IRISL MARITIME TRAINING 224. SAFIRAN PAYAM DARYA SHIPPING Information—Subject to Secondary INSTITUTE (a.k.a. IRISL MTI), No. 63, East COMPANY (a.k.a. ‘‘SAPID’’), Asseman Sanctions; Trade License No. HRA 104174 Tajarloo Ave, Tajarloo Square, Shiyan, Tower, Pasdaran Street, Tehran, Iran; website [IRAN]. Tehran, Iran; Reiesali Delvari Ave, Bushehr www.sapidshpg.com; Additional Sanctions Identified as meeting the definition of the 7514618787, Iran; Farhang Ave, Khazar’s Information—Subject to Secondary Sanctions term Government of Iran as set forth in Building, Anzali 4314695613, Iran; website [IRAN]. section 7(d) of E.O. 13599 and section www.irmti.ir; Additional Sanctions Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560. Information—Subject to Secondary Sanctions term Government of Iran as set forth in 212. KALAN KISH SHIPPING CO (a.k.a. [IRAN]. section 7(d) of E.O. 13599 and section KALAN KISH SHIPPING LINES), Unit 5, 9th Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560. Street 2, Ahmad Ghasir Avenue, PO Box term Government of Iran as set forth in 225. KHAZAR SEA SHIPPING LINES 19635–1114, Tehran, Iran; Additional section 7(d) of E.O. 13599 and section (a.k.a. DARYA-YE KHAZAR SHIPPING Sanctions Information—Subject to Secondary 560.304 of the ITSR, 31 CFR part 560. LINES), Shahid Mostafa Khomeini Street, Sanctions [IRAN]. 219. SHIPPING COMPUTER SERVICES Ghazian Street, PO Box 43145/1711–324, Identified as meeting the definition of the COMPANY (a.k.a. SCSCO), No. 37, Asseman Bandar Azali 4315671145, Iran; Mostafa term Government of Iran as set forth in Shahid Sayyad Shirazeesq, Pasdaran Ave, PO Khomeini St. Ghazian, PO BOX 4315671145, section 7(d) of E.O. 13599 and section Box 1587553–1351, Tehran, Iran; website Anzali Free Zone, Iran; website 560.304 of the ITSR, 31 CFR part 560. www.scsco.net; Additional Sanctions www.khazarshipping.ir; Additional 213. KHAYBAR COMPANY (a.k.a. Information—Subject to Secondary Sanctions Sanctions Information—Subject to Secondary KHAYBARCO; a.k.a. KHEYBAR COMPANY; [IRAN]. Sanctions [IRAN]. a.k.a. SHERKAT SAHAMI KHASS Identified as meeting the definition of the Identified as meeting the definition of the KHAYBAR), No 97, Ghaem Magham term Government of Iran as set forth in term Government of Iran as set forth in Farahani Ave, Tehran 1589653313, Iran; PO section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section Box 15815–1966, Tehran, Iran; website 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. www.khaybarco.ir; Additional Sanctions 220. PERSIAN GULF SHIPPING LINES 226. HAFEZ DARYA ARYA SHIPPING Information—Subject to Secondary LTD (a.k.a. KHALIJ-E FARS (PERSIAN COMPANY (a.k.a. HAFEZ DARYA ARYA Sanctions; Chamber of Commerce Number GULF) SHIPPING LINES; a.k.a. ‘‘PGSL’’), SHIPPING LINE; a.k.a. HAFEZ-E DARYAY-E 11047591 (Iran); Registration Number 63383 Strovolos Center, Flat No. 204, Floor No. 2, ARIA SHIPPING LINES; f.k.a. HAFIZ DARYA (Iran) [IRAN]. Strovolou 77, Nicosia 2018, Cyprus; SHIPPING COMPANY; f.k.a. HAFIZ-E- Identified as meeting the definition of the Additional Sanctions Information—Subject DARYA SHIPPING LINES; a.k.a. HDAS CO.; term Government of Iran as set forth in to Secondary Sanctions; Trade License No. f.k.a. HDAS LINES; a.k.a. HDASCO; a.k.a. section 7(d) of E.O. 13599 and section C334268 (Cyprus) [IRAN]. HDASCO SHIPPING COMPANY; f.k.a. HDS 560.304 of the ITSR, 31 CFR part 560. Identified as meeting the definition of the LINES; f.k.a. HDSL; f.k.a. HDSLINES CO.), 214. MARBLE SHIPPING LTD, 143/1 term Government of Iran as set forth in Asseman Tower, Pasdaran Street, Tehran, Tower Road, Sliema, Malta; Additional section 7(d) of E.O. 13599 and section Iran; No 60, Pasdaran Avenue, 7th Neyestan Sanctions Information—Subject to Secondary 560.304 of the ITSR, 31 CFR part 560. Street, Ehteshamiyeh Square, Tehran, Iran; Sanctions; Trade License No. C 41949 (Malta) 221. SOUTH SHIPPING LINES—IRAN website www.hdasco.com; Additional [IRAN]. LINE (a.k.a. KASHTIRANI-E JONOUB KHAT- Sanctions Information—Subject to Secondary Identified as meeting the definition of the E IRAN), No 119 Shabnam Alley, Ghaem Sanctions; Registration Number 341417 (Iran) term Government of Iran as set forth in Magham Street, Tehran, Iran; website [IRAN]. section 7(d) of E.O. 13599 and section www.sslil.net; IFCA Determination—Involved Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560. in the Shipping Sector; Additional Sanctions term Government of Iran as set forth in 215. GHESHM SHIPPING LINES MARINE Information—Subject to Secondary Sanctions section 7(d) of E.O. 13599 and section AND ENGINEERING SERVICES CO (a.k.a. [IRAN] [IFCA]. 560.304 of the ITSR, 31 CFR part 560. IMSENGCO; a.k.a. IRISL MARINE SERVICES; Identified as meeting the definition of the 227. DARYA CAPITAL a.k.a. IRISL MARINE SERVICES AND term Government of Iran as set forth in ADMINISTRATION GMBH, Schottweg 5, ENGINEERING COMPANY), Iran shahr Street section 7(d) of E.O. 13599 and section Hamburg 22087, Germany; Additional 221, Karimkhan Zand Avenue, Tehran, Iran; 560.304 of the ITSR, 31 CFR part 560. Sanctions Information—Subject to Secondary website www.imsengco.com; Additional 222. IRANO HIND SHIPPING COMPANY Sanctions; Trade License No. HRB 96253 Sanctions Information—Subject to Secondary LTD (a.k.a. IRAN AND INDIA SHIPPING [IRAN]. Sanctions [IRAN]. COMPANY; a.k.a. IRAN AND INDIA Identified as meeting the definition of the Identified as meeting the definition of the SHIPPING LINES), 18 Sedaghat St, Opposite term Government of Iran as set forth in term Government of Iran as set forth in Park Millat, Vali-e-Asr Ave, PO Box 15875– section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section 4647, Tehran, Iran; website 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. www.iranohind.com; Additional Sanctions 228. OCEAN CAPITAL ADMINISTRATION 216. IRISL EUROPE GMBH, Schottweg 5, Information—Subject to Secondary Sanctions GMBH, Schottweg 5, Hamburg 22087, Hamburg 22087, Germany; website www.irisl- [IRAN]. Germany; Additional Sanctions europe.de; Additional Sanctions Identified as meeting the definition of the Information—Subject to Secondary Information—Subject to Secondary term Government of Iran as set forth in Sanctions; Trade License No. HRA 92501 Sanctions; Trade License No. HRB 81573 section 7(d) of E.O. 13599 and section [IRAN]. [IRAN]. 560.304 of the ITSR, 31 CFR part 560. Identified as meeting the definition of the Identified as meeting the definition of the 223. IRANO MISR SHIPPING COMPANY term Government of Iran as set forth in term Government of Iran as set forth in (a.k.a. IRAN AND EGYPT SHIPPING section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section COMPANY; a.k.a. IRAN AND EGYPT 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. SHIPPING LINES; a.k.a. IRANO—MISR 229. FIRST OCEAN GMBH & CO KG (a.k.a. 217. IRISL MULTIMODAL TRANSPORT SHIPPING CO; a.k.a. IRANO MISR; f.k.a. FIRST OCEAN GMBH AND CO KG), CO., No. 25 Sanaei Street, Karim Khan Zand NEFERTITI SHIPPING AND MARITIME Schottweg 5, Hamburg 22087, Germany; Street, Shahid Arabi Line, Tehran, Iran; SERVICES), Building 6, Al Horreya Street, 1st Additional Sanctions Information—Subject website www.irislmtc.com; Additional Floor, El Attarin Area, 1016, Alexandria, to Secondary Sanctions; Trade License No. Sanctions Information—Subject to Secondary Egypt; PO Box 1016, Alexandria, Egypt; HRA 102601 [IRAN]. Sanctions; Registration Number 230766 Additional Sanctions Information—Subject Identified as meeting the definition of the [IRAN]. to Secondary Sanctions [IRAN]. term Government of Iran as set forth in Identified as meeting the definition of the Identified as meeting the definition of the section 7(d) of E.O. 13599 and section term Government of Iran as set forth in term Government of Iran as set forth in 560.304 of the ITSR, 31 CFR part 560. section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section 230. FOURTH OCEAN GMBH & CO KG 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. (a.k.a. FOURTH OCEAN GMBH AND CO

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KG), Schottweg 5, Hamburg 22087, Germany; ASATIR SHIP MANAGEMENT CO.; f.k.a. Additional Sanctions Information—Subject Additional Sanctions Information—Subject SOROUSH SARZAMIN ASATIR SSA; f.k.a. to Secondary Sanctions; Trade License No. C to Secondary Sanctions; Trade License No. SSA SHIP MANAGEMENT CO.), Unit 5, 9th 37423 (Malta) [IRAN]. HRA102600 [IRAN]. Street 2, Ahmad Ghasir Avenue, PO Box Identified as meeting the definition of the Identified as meeting the definition of the 19635–1114, Tehran, Iran; No. 5, Shabnam term Government of Iran as set forth in term Government of Iran as set forth in Alley, Ghaem Magham Farahani Street, section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section Shahid Motahari Avenue, Tehran, Iran; 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. website www.rodsmc.com; Additional 243. ISLAMIC REPUBLIC OF IRAN— 231. TWELFTH OCEAN GMBH & CO. KG Sanctions Information—Subject to Secondary MIDDLE EAST SHIPPING LINES COMPANY, (a.k.a. TWELFTH OCEAN GMBH AND CO. Sanctions; Registration Number 341563 (Iran) Next to CB hotel, Sharaf Building, Office No. KG), Schottweg 5, Hamburg 22087, Germany; [IRAN]. 202, Dubai, United Arab Emirates; Additional Additional Sanctions Information—Subject Identified as meeting the definition of the Sanctions Information—Subject to Secondary to Secondary Sanctions; Trade License No. term Government of Iran as set forth in Sanctions [IRAN]. HRA 102506 [IRAN]. section 7(d) of E.O. 13599 and section Identified as meeting the definition of the Identified as meeting the definition of the 560.304 of the ITSR, 31 CFR part 560. term Government of Iran as set forth in term Government of Iran as set forth in 237. PERSIA HORMOZ SHIP REPAIR section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section YARD COMPANY PJS (a.k.a. PERSIA 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. HORMOZ SHIP REPAIRS; a.k.a. PERSIA 244. SHIPPING WELFARE SERVICES 232. FIFTEENTH OCEAN GMBH & CO. KG HORMOZ SHIPYARD), 37 Km, West Bandar INSTITUTE (a.k.a. IRISL CLUB; a.k.a. (a.k.a. FIFTEENTH OCEAN GMBH AND CO. Abbas Road, Bandar Abbas 791453859, Iran; ISLAMIC REPUBLIC OF IRAN SHIPPING KG), Schottweg 5, Hamburg 22087, Germany; website www.persiahormoz.com; Additional LINES COMFORT SERVICES; a.k.a. Additional Sanctions Information—Subject Sanctions Information—Subject to Secondary MARITIME WELFARE SERVICES to Secondary Sanctions; Trade License No. Sanctions [IRAN]. INSTITUTE), Number 63, East Shahid Tajrlu HRA 104175 [IRAN]. Identified as meeting the definition of the Street, Shahid Tajrlu Square, Shian, Iran; Identified as meeting the definition of the term Government of Iran as set forth in website www.irislclub.com; Additional term Government of Iran as set forth in section 7(d) of E.O. 13599 and section Sanctions Information—Subject to Secondary section 7(d) of E.O. 13599 and section 560.304 of the ITSR, 31 CFR part 560. Sanctions [IRAN]. 560.304 of the ITSR, 31 CFR part 560. 238. MARINE INFORMATION Identified as meeting the definition of the 233. HTTS HANSEATIC TRADE TRUST & TECHNOLOGY DEVELOPMENT COMPANY term Government of Iran as set forth in SHIPPING GMBH (a.k.a. HTTS HANSEATIC (a.k.a. MARINE INFORMATION section 7(d) of E.O. 13599 and section TRADE TRUST AND SHIPPING GMBH), TECHNOLOGY DEVELOPMENT 560.304 of the ITSR, 31 CFR part 560. Schottweg 5–7, Hamburg 22087, Germany; CORPORATION; a.k.a. MARINE 245. OGHYANOUS KHOROSHAN KISH Additional Sanctions Information—Subject TECHNOLOGY AND INFORMATION (a.k.a. KHOROSHAN MARITIME to Secondary Sanctions; Trade License No. TECHNOLOGY DEVELOPMENT; a.k.a. COMPANY; a.k.a. OGHYANOUS-E HRB 109492 [IRAN]. MITDCO; a.k.a. ‘‘MITD’’), 5th Floor, No. 523, KHOROUSHAN-E KISH SHIPPING LINES), Identified as meeting the definition of the Aseman Tower, Pasdaran St., Tehran, Iran; Unit 5, 9th Street 2, Ahmad Ghasir Avenue, term Government of Iran as set forth in website www.mitdco.com; Additional PO Box 19635–1114, Tehran, Iran; section 7(d) of E.O. 13599 and section Sanctions Information—Subject to Secondary Additional Sanctions Information—Subject 560.304 of the ITSR, 31 CFR part 560. Sanctions [IRAN]. to Secondary Sanctions [IRAN]. 234. MARANER HOLDINGS LIMITED, Flat Identified as meeting the definition of the Identified as meeting the definition of the 1, 143, Tower Road, Sliema SLM1604, Malta; term Government of Iran as set forth in term Government of Iran as set forth in Additional Sanctions Information—Subject section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section to Secondary Sanctions; Trade License No. 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. C33482 (Malta) [IRAN]. 239. FARADARYAY-E NIK-E GHESHM 246. WITSHIPPING MARITIME PTE LTD Identified as meeting the definition of the INVESTMENT (a.k.a. NIK QESHM FARA (a.k.a. HARDSEA AGENCIES; f.k.a. SINOSE term Government of Iran as set forth in DARYA INVESTMENT COMPANY), MARITIME), Hoe Chiang Road 10, #15–02a, section 7(d) of E.O. 13599 and section Opposite Kimia Hotel 2, Sam & Zal Street, Central Business District 089315, Singapore; 560.304 of the ITSR, 31 CFR part 560. Qeshm, Hormozgan 7951189799, Iran; Additional Sanctions Information—Subject 235. HOOPAD DARYA SHIPPING Additional Sanctions Information—Subject to Secondary Sanctions; Trade License No. AGENCY SERVICES (a.k.a. HOOPAD to Secondary Sanctions [IRAN]. 201131193Z (Singapore) [IRAN]. DARYA SHIPPING AGENCY COMPANY; Identified as meeting the definition of the Identified as meeting the definition of the f.k.a. SOUTH WAY SHIPPING AGENCY), No. term Government of Iran as set forth in term Government of Iran as set forth in 101, Shabnam Alley, Ghaem Magham Street, section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section Tehran, Iran; Hoopad Darya Shipping Agency 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. Building, B.I.K. Port Complex, Bandar Imam 240. IRITAL SHIPPING LINES COMPANY 247. ESAIL SHIPPING LIMITED (a.k.a. E- Khomeini, Iran; Hoopad Darya Shipping (a.k.a. IR-ITAL; a.k.a. IRITAL SHIPPING SAIL SHIPPING COMPANY LTD; f.k.a. Agency Building, Imam Khomeini Blvd., S.R.L.), Via Gerolamo Morone 6, Milano SANTEX LINES), Building 1088, Suite 1501, Bandar Abbas, Iran; Flat No. 2, 2nd Floor, 20121, Italy; Additional Sanctions Pudong South Road (Shanghai Zhong Rong SSL Building, Coastal Blvd., Between City Information—Subject to Secondary Plaza), Shanghai 200122, China; Additional Hall and Post Office, Khorramshahr, Iran; Sanctions; Trade License No. GE0426505 Sanctions Information—Subject to Secondary Opposite to City Post Office, No. 2 (Italy) [IRAN]. Sanctions; Trade License No. 1429927 (Hong Telecommunications Center, Bandar Identified as meeting the definition of the Kong) [IRAN]. Assaluyeh, Iran; PO Box 1589673134, term Government of Iran as set forth in Identified as meeting the definition of the Tehran, Iran; website www.hdsac.net; section 7(d) of E.O. 13599 and section term Government of Iran as set forth in Additional Sanctions Information—Subject 560.304 of the ITSR, 31 CFR part 560. section 7(d) of E.O. 13599 and section to Secondary Sanctions; Registration Number 241. BUSHEHR SHIPPING COMPANY 560.304 of the ITSR, 31 CFR part 560. 349706 (Iran) [IRAN]. LIMITED, 143/1 Tower Road, Sliema, Malta; 248. ISLAMIC REPUBLIC OF IRAN— Identified as meeting the definition of the Additional Sanctions Information—Subject CHINA SHIPPING LINES, China; Additional term Government of Iran as set forth in to Secondary Sanctions; Trade License No. C Sanctions Information—Subject to Secondary section 7(d) of E.O. 13599 and section 37422 (Malta) [IRAN]. Sanctions [IRAN]. 560.304 of the ITSR, 31 CFR part 560. Identified as meeting the definition of the Identified as meeting the definition of the 236. RAHBARAN OMID DARYA SHIP term Government of Iran as set forth in term Government of Iran as set forth in MANAGEMENT CO. (a.k.a. RAHBARAN-E section 7(d) of E.O. 13599 and section section 7(d) of E.O. 13599 and section OMID-E DARYA SHIP MANAGEMENT; 560.304 of the ITSR, 31 CFR part 560. 560.304 of the ITSR, 31 CFR part 560. a.k.a. ROD SHIP MANAGEMENT CO; a.k.a. 242. KERMAN SHIPPING COMPANY 249. PERSIAN GULF SABZ RODSM; f.k.a. SOROUSH SARZAMIN LIMITED, 143/1 Tower Road, Sliema, Malta; KARAFARINAN (a.k.a. PERSIAN GULF

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KHATAR-PAZIR INVESTMENT COMPANY), Sanctions Information—Subject to Secondary Serial Number (MSN) 21093; Additional No. 17, Fifth Floor, 17th Alley, Vozara Street, Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Tehran, Iran; website AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN www.persiangulffvc.com; Additional 4. EP–CFI; Aircraft Manufacture Date 22 AIR). Sanctions Information—Subject to Secondary Jan 1996; Aircraft Model F28; Aircraft 15. EP–IAD; Aircraft Manufacture Date 26 Sanctions [SDGT] [IFSR] (Linked To: TOSE- Operator Iran Air; Aircraft Manufacturer’s Apr 1979; Aircraft Model B747; Aircraft E MELLI GROUP INVESTMENT COMPANY). Serial Number (MSN) 11511; Additional Operator Iran Air; Aircraft Manufacturer’s Designated pursuant to section 1(c) of E.O. Sanctions Information—Subject to Secondary Serial Number (MSN) 21758; Additional 13224 for being owned or controlled by Iran’s Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary TOSE-E MELLI GROUP INVESTMENT AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN COMPANY, a person determined to be 5. EP–CFJ; Aircraft Manufacture Date 09 AIR). subject to E.O. 13224. Jan 1996; Aircraft Model F28; Aircraft 16. EP–IAG; Aircraft Manufacture Date 21 250. CEMENT INDUSTRY INVESTMENT Operator Iran Air; Aircraft Manufacturer’s Jul 1976; Aircraft Model B747; Aircraft AND DEVELOPMENT COMPANY, Number Serial Number (MSN) 11516; Additional Operator Iran Air; Aircraft Manufacturer’s 20, W. Nahid Street, Africa Blvd., Tehran, Sanctions Information—Subject to Secondary Serial Number (MSN) 21217; Additional Iran; website www.cidco.ir; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions; Registration Number 218006 (Iran) 6. EP–CFK; Aircraft Manufacture Date 18 AIR). [SDGT] [IFSR] (Linked To: TOSE-E MELLI Feb 1996; Aircraft Model F28; Aircraft 17. EP–IAH; Aircraft Manufacture Date 22 GROUP INVESTMENT COMPANY). Operator Iran Air; Aircraft Manufacturer’s Dec 1976; Aircraft Model B747; Aircraft Designated pursuant to section 1(c) of E.O. Serial Number (MSN) 11518; Additional Operator Iran Air; Aircraft Manufacturer’s 13224 for being owned or controlled by Iran’s Sanctions Information—Subject to Secondary Serial Number (MSN) 21218; Additional TOSE-E MELLI GROUP INVESTMENT Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary COMPANY, a person determined to be AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN subject to E.O. 13224. 7. EP–CFL; Aircraft Manufacture Date 28 AIR). 251. SHOMAL CEMENT COMPANY, No. Jun 1991; Aircraft Model F28; Aircraft 18. EP–IAI; Aircraft Manufacture Date 01 269, Shahid Beheshti Street, Tehran, Iran; Operator Iran Air; Aircraft Manufacturer’s Dec 1981; Aircraft Model B747; Aircraft website www.shomalcement.com; Additional Serial Number (MSN) 11343; Additional Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Serial Number (MSN) 22670; Additional Sanctions [SDGT] [IFSR] (Linked To: Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary CEMENT INDUSTRY INVESTMENT AND AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN DEVELOPMENT COMPANY). 8. EP–CFM; Aircraft Manufacture Date 27 AIR). Designated pursuant to section 1(c) of E.O. Apr 1992; Aircraft Model F28; Aircraft 19. EP–IBA; Aircraft Manufacture Date 21 13224 for being owned or controlled by Operator Iran Air; Aircraft Manufacturer’s Dec 1993; Aircraft Model A300; Aircraft CEMENT INVESTMENT AND Serial Number (MSN) 11394; Additional Operator Iran Air; Aircraft Manufacturer’s DEVELOPMENT COMPANY, a person Sanctions Information—Subject to Secondary Serial Number (MSN) 723; Additional determined to be subject to E.O. 13224. Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary 252. BMIIC INTERNATIONAL GENERAL AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN TRADING L.L.C., 705 International Business 9. EP–CFO; Aircraft Manufacture Date 03 AIR). Tower, P.O. Box 181878, Dubai, United Arab Apr 1992; Aircraft Model F28; Aircraft 20. EP–IBB; Aircraft Manufacture Date 18 Emirates; Additional Sanctions Operator Iran Air; Aircraft Manufacturer’s Jan 1994; Aircraft Model A300; Aircraft Information—Subject to Secondary Sanctions Serial Number (MSN) 11389; Additional Operator Iran Air; Aircraft Manufacturer’s [SDGT] [IFSR] (Linked To: TOSE-E MELLI Sanctions Information—Subject to Secondary Serial Number (MSN) 727; Additional GROUP INVESTMENT COMPANY). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Designated pursuant to section 1(c) of E.O. AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN 13224 for being owned or controlled by Iran’s 10. EP–CFP; Aircraft Manufacture Date 24 AIR). TOSE-E MELLI GROUP INVESTMENT Jul 1992; Aircraft Model F28; Aircraft 21. EP–IBC; Aircraft Manufacture Date 11 COMPANY, a person determined to be Operator Iran Air; Aircraft Manufacturer’s Mar 1992; Aircraft Model A300; Aircraft subject to E.O. 13224. Serial Number (MSN) 11409; Additional Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 632; Additional Aircraft Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary The following aircraft have been AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN identified pursuant to E.O. 13599 as 11. EP–CFQ; Aircraft Manufacture Date 02 AIR). property in which IRAN AIR, a person Dec 1992; Aircraft Model F28; Aircraft 22. EP–IBD; Aircraft Manufacture Date Apr whose property and interests in Operator Iran Air; Aircraft Manufacturer’s 1993; Aircraft Model A300; Aircraft Operator property are blocked pursuant to E.O. Serial Number (MSN) 11429; Additional Iran Air; Aircraft Manufacturer’s Serial Sanctions Information—Subject to Secondary Number (MSN) 696; Additional Sanctions 13599, has an interest: Sanctions (aircraft) [IRAN] (Linked To: IRAN Information—Subject to Secondary Sanctions 1. EP–CFD; Aircraft Manufacture Date 19 AIR). (aircraft) [IRAN] (Linked To: IRAN AIR). Feb 1993; Aircraft Model F28; Aircraft 12. EP–CFR; Aircraft Manufacture Date 31 23. EP–IBG; Aircraft Manufacture Date 09 Operator Iran Air; Aircraft Manufacturer’s Mar 1992; Aircraft Model F28; Aircraft Aug 1984; Aircraft Model A300; Aircraft Serial Number (MSN) 11442; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 11383; Additional Serial Number (MSN) 299; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN 2. EP–CFE; Aircraft Manufacture Date 06 AIR). AIR). Oct 1992; Aircraft Model F28; Aircraft 13. EP–IAB; Aircraft Manufacture Date 22 24. EP–IBI; Aircraft Manufacture Date 09 Operator Iran Air; Aircraft Manufacturer’s Apr 1976; Aircraft Model B747; Aircraft Jun 1981; Aircraft Model A300; Aircraft Serial Number (MSN) 11422; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 20999; Additional Serial Number (MSN) 151; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN 3. EP–CFH; Aircraft Manufacture Date 24 AIR). AIR). Feb 1993; Aircraft Model F28; Aircraft 14. EP–IAC; Aircraft Manufacture Date 16 25. EP–IBJ; Aircraft Manufacture Date 18 Operator Iran Air; Aircraft Manufacturer’s May 1977; Aircraft Model B747; Aircraft May 1983; Aircraft Model A300; Aircraft Serial Number (MSN) 11443; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s

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Serial Number (MSN) 256; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 173; Additional Serial Number (MSN) 7418; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN 26. EP–IBK; Aircraft Manufacture Date 19 AIR). AIR). Feb 1993; Aircraft Model A310; Aircraft 37. EP–IDA; Aircraft Manufacture Date 12 48. EP–IJA; Aircraft Manufacture Date 02 Operator Iran Air; Aircraft Manufacturer’s Jun 1990; Aircraft Model F28; Aircraft Jun 2014; Aircraft Model A330; Aircraft Serial Number (MSN) 671; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 11292; Additional Serial Number (MSN) 1540; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN 27. EP–IBL; Aircraft Manufacture Date 02 AIR). AIR). May 1987; Aircraft Model A310; Aircraft 38. EP–IDD; Aircraft Manufacture Date 31 49. EP–IJB; Aircraft Manufacture Date 05 Operator Iran Air; Aircraft Manufacturer’s Oct 1990; Aircraft Model F28; Aircraft Nov 2014; Aircraft Model A330; Aircraft Serial Number (MSN) 436; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 11294; Additional Serial Number (MSN) 1586; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN 28. EP–IBN; Aircraft Manufacture Date 16 AIR). AIR). Apr 1985; Aircraft Model A310; Aircraft 39. EP–IDF; Aircraft Manufacture Date 07 50. EP–IRR; Aircraft Manufacture Date 24 Operator Iran Air; Aircraft Manufacturer’s Nov 1990; Aircraft Model F28; Aircraft Jun 1974; Aircraft Model B727; Aircraft Serial Number (MSN) 375; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 11298; Additional Serial Number (MSN) 20946; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary AIR). Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN 29. EP–IBP; Aircraft Manufacture Date 06 AIR). AIR). Jan 1986; Aircraft Model A310; Aircraft 40. EP–IDG; Aircraft Manufacture Date 30 51. EP–IRS; Aircraft Manufacture Date 12 Operator Iran Air; Aircraft Manufacturer’s Jan 1991; Aircraft Model F28; Aircraft Sep 1974; Aircraft Model B727; Aircraft Serial Number (MSN) 370; Additional Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Serial Number (MSN) 11302; Additional Serial Number (MSN) 20947; Additional Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 30. EP–IBQ; Aircraft Manufacture Date 20 41. EP–IEB; Aircraft Manufacture Date 26 52. EP–IRT; Aircraft Manufacture Date 03 Jan 1986; Aircraft Model A310; Aircraft Jan 1996; Aircraft Model A320; Aircraft Mar 1975; Aircraft Model B727; Aircraft Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Serial Number (MSN) 389; Additional Serial Number (MSN) 575; Additional Serial Number (MSN) 21078; Additional Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 31. EP–IBS; Aircraft Manufacture Date 13 42. EP–IEC; Aircraft Manufacture Date 18 53. EP–ITA; Aircraft Manufacture Date 05 Feb 1980; Aircraft Model A300; Aircraft Jun 1998; Aircraft Model A320; Aircraft Jan 2017; Aircraft Model ATR–72; Aircraft Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Serial Number (MSN) 80; Additional Serial Number (MSN) 857; Additional Serial Number (MSN) 1386; Additional Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 32. EP–IBT; Aircraft Manufacture Date 09 43. EP–IED; Aircraft Manufacture Date 18 54. EP–ITB; Aircraft Manufacture Date 17 Mar 1982; Aircraft Model A300; Aircraft Jun 1992; Aircraft Model A320; Aircraft Jan 2017; Aircraft Model ATR–72; Aircraft Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Serial Number (MSN) 185; Additional Serial Number (MSN) 345; Additional Serial Number (MSN) 1389; Additional Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 33. EP–IBZ; Aircraft Manufacture Date 13 44. EP–IEE; Aircraft Manufacture Date 14 55. EP–ITC; Aircraft Manufacture Date 11 Dec 1982; Aircraft Model A300; Aircraft Feb 1992; Aircraft Model A320; Aircraft Jan 2017; Aircraft Model ATR–72; Aircraft Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Serial Number (MSN) 226; Additional Serial Number (MSN) 303; Additional Serial Number (MSN) 1390; Additional Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 34. EP–ICD; Aircraft Manufacture Date 15 45. EP–IEF; Aircraft Manufacture Date 05 56. EP–ITD; Aircraft Manufacture Date 28 Sep 1988; Aircraft Model B747; Aircraft Mar 1992; Aircraft Model A320; Aircraft Dec 2016; Aircraft Model ATR–72; Aircraft Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Serial Number (MSN) 24134; Additional Serial Number (MSN) 312; Additional Serial Number (MSN) 1391; Additional Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 35. EP–ICE; Aircraft Manufacture Date 11 46. EP–IEG; Aircraft Manufacture Date 06 57. EP–ITE; Aircraft Manufacture Date 27 Mar 1981; Aircraft Model A300; Aircraft Jun 2003; Aircraft Model A320; Aircraft Jul 2017; Aircraft Model ATR–72; Aircraft Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Operator Iran Air; Aircraft Manufacturer’s Serial Number (MSN) 139; Additional Serial Number (MSN) 2054; Additional Serial Number (MSN) 1424; Additional Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions Information—Subject to Secondary Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN AIR). AIR). AIR). 36. EP–ICF; Aircraft Manufacture Date 14 47. EP–IFA; Aircraft Manufacture Date 16 58. EP–ITF; Aircraft Manufacture Date 04 Dec 1981; Aircraft Model A300; Aircraft Nov 2016; Aircraft Model A321; Aircraft Sep 2017; Aircraft Model ATR–72; Aircraft

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Operator Iran Air; Aircraft Manufacturer’s 1. AAJ Crew/Supply Vessel Iran flag; to Secondary Sanctions; Vessel Registration Serial Number (MSN) 1431; Additional Additional Sanctions Information—Subject Identification IMO 9420368 (vessel) [IRAN] Sanctions Information—Subject to Secondary to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN Sanctions (aircraft) [IRAN] (Linked To: IRAN Identification IMO 8984484 (vessel) [IRAN] SHIPPING LINES). AIR). (Linked To: ISLAMIC REPUBLIC OF IRAN 13. SHAYAN 1 Container Ship Iran flag; 59. EP–ITG; Aircraft Manufacture Date 20 SHIPPING LINES). Additional Sanctions Information—Subject Dec 2017; Aircraft Model ATR–72; Aircraft 2. AYNAZ Tug Iran flag; Additional to Secondary Sanctions; Vessel Registration Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary Identification IMO 9420356 (vessel) [IRAN] Serial Number (MSN) 1477; Additional Sanctions; Vessel Registration Identification (Linked To: ISLAMIC REPUBLIC OF IRAN Sanctions Information—Subject to Secondary IMO 9683570 (vessel) [IRAN] (Linked To: SHIPPING LINES). Sanctions (aircraft) [IRAN] (Linked To: IRAN ISLAMIC REPUBLIC OF IRAN SHIPPING 14. YARAN Container Ship Iran flag; AIR). LINES). Additional Sanctions Information—Subject 60. EP–ITH; Aircraft Manufacture Date 11 3. BRELYAN Passenger Iran flag; to Secondary Sanctions; Vessel Registration Dec 2017; Aircraft Model ATR–72; Aircraft Additional Sanctions Information—Subject Identification IMO 9420370 (vessel) [IRAN] Operator Iran Air; Aircraft Manufacturer’s to Secondary Sanctions; Other Vessel Type (Linked To: ISLAMIC REPUBLIC OF IRAN Serial Number (MSN) 1478; Additional Roll-on Roll-off; Vessel Registration SHIPPING LINES). Sanctions Information—Subject to Secondary Identification IMO 9138056 (vessel) [IRAN] 15. ZOMOROUD Passenger Iran flag; Sanctions (aircraft) [IRAN] (Linked To: IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject AIR). SHIPPING LINES). to Secondary Sanctions; Other Vessel Type 61. EP–ITI; Aircraft Manufacture Date 22 4. FIROUZEH Passenger Iran flag; Roll-on Roll-off; Vessel Registration Mar 2018; Aircraft Model ATR–72; Aircraft Additional Sanctions Information—Subject Identification IMO 9138044 (vessel) [IRAN] Operator Iran Air; Aircraft Manufacturer’s to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN Serial Number (MSN) 1489; Additional Identification IMO 9103099 (vessel) [IRAN] SHIPPING LINES). Sanctions Information—Subject to Secondary (Linked To: ISLAMIC REPUBLIC OF IRAN 16. HAMD Bunkering Tanker Iran flag; Sanctions (aircraft) [IRAN] (Linked To: IRAN SHIPPING LINES). Additional Sanctions Information—Subject AIR). 5. IRAN HORMUZ 25 (a.k.a. HAYAN) Roll- to Secondary Sanctions; Vessel Registration 62. EP–ITJ; Aircraft Manufacture Date 06 on Roll-off Iran flag; Additional Sanctions Identification IMO 9036052 (vessel) [IRAN] Apr 2018; Aircraft Model ATR–72; Aircraft Information—Subject to Secondary (Linked To: ISLAMIC REPUBLIC OF IRAN Operator Iran Air; Aircraft Manufacturer’s Sanctions; Other Vessel Type General Cargo; SHIPPING LINES). Serial Number (MSN) 1494; Additional Vessel Registration Identification IMO 17. CANREACH (f.k.a. HAMOUN) Sanctions Information—Subject to Secondary 8422072 (vessel) [IRAN] (Linked To: Container Ship Hong Kong flag; Additional Sanctions (aircraft) [IRAN] (Linked To: IRAN ISLAMIC REPUBLIC OF IRAN SHIPPING Sanctions Information—Subject to Secondary AIR). LINES). Sanctions; Vessel Registration Identification 63. EP–ITK; Aircraft Manufacture Date 19 6. HORMUZ 2 Passenger Iran flag; IMO 9820271 (vessel) [IRAN] (Linked To: Jun 2018; Aircraft Model ATR–72; Aircraft Additional Sanctions Information—Subject ISLAMIC REPUBLIC OF IRAN SHIPPING Operator Iran Air; Aircraft Manufacturer’s to Secondary Sanctions; Vessel Registration LINES). Serial Number (MSN) 1503; Additional Identification IMO 7904580 (vessel) [IRAN] 18. HYUNDAI MIPO 2655 (a.k.a. YARD Sanctions Information—Subject to Secondary (Linked To: ISLAMIC REPUBLIC OF IRAN NO.2655 HYUNDAI M.D.) Products Tanker Sanctions (aircraft) [IRAN] (Linked To: IRAN SHIPPING LINES). Iran flag; Additional Sanctions Information— AIR). 7. IRAN HORMUZ 12 (a.k.a. IRAN Subject to Secondary Sanctions; Vessel 64. EP–ITL; Aircraft Manufacture Date 24 HORMOZ 12) Passenger Iran flag; Additional Registration Identification IMO 9820312 May 2018; Aircraft Model ATR–72; Aircraft Sanctions Information—Subject to Secondary (vessel) [IRAN] (Linked To: ISLAMIC Operator Iran Air; Aircraft Manufacturer’s Sanctions; Other Vessel Type Roll-on Roll- REPUBLIC OF IRAN SHIPPING LINES). Serial Number (MSN) 1504; Additional off; Vessel Registration Identification IMO 19. HYUNDAI MIPO 2656 (a.k.a. YARD Sanctions Information—Subject to Secondary 9005596 (vessel) [IRAN] (Linked To: NO.2656 HYUNDAI M.D.) Products Tanker Sanctions (aircraft) [IRAN] (Linked To: IRAN ISLAMIC REPUBLIC OF IRAN SHIPPING Iran flag; Additional Sanctions Information— AIR). LINES). Subject to Secondary Sanctions; Vessel 65. EP–ITM; Aircraft Manufacture Date 03 8. IRAN HORMUZ 14 (a.k.a. IRAN Registration Identification IMO 9820324 Jul 2018; Aircraft Model ATR–72; Aircraft HORMOZ 14) Passenger Iran flag; Additional (vessel) [IRAN] (Linked To: ISLAMIC Operator Iran Air; Aircraft Manufacturer’s Sanctions Information—Subject to Secondary REPUBLIC OF IRAN SHIPPING LINES). Serial Number (MSN) 1510; Additional Sanctions; Other Vessel Type Roll-on Roll- 20. IRAN HORMUZ 22 Passenger Iran flag; Sanctions Information—Subject to Secondary off; Vessel Registration Identification IMO Additional Sanctions Information—Subject Sanctions (aircraft) [IRAN] (Linked To: IRAN 9020778 (vessel) [IRAN] (Linked To: to Secondary Sanctions; Other Vessel Type AIR). ISLAMIC REPUBLIC OF IRAN SHIPPING Landing Craft; Vessel Registration 66. UR–BXI; Aircraft Manufacture Date Jun LINES). Identification IMO 8314275 (vessel) [IRAN] 1993; Aircraft Model DC–9; Aircraft Operator 9. IRAN SHAHED General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN Iran Air; Aircraft Manufacturer’s Serial Additional Sanctions Information—Subject SHIPPING LINES). Number (MSN) 53170; Additional Sanctions to Secondary Sanctions; Vessel Registration 21. IRAN PARAK Bunkering Tanker Iran Information—Subject to Secondary Sanctions Identification IMO 9184691 (vessel) [IRAN] flag; Additional Sanctions Information— (aircraft) [IRAN] (Linked To: IRAN AIR). (Linked To: ISLAMIC REPUBLIC OF IRAN Subject to Secondary Sanctions; Vessel 67. UR–CBD; Aircraft Manufacture Date SHIPPING LINES). Registration Identification IMO 8322064 Mar 1989; Aircraft Model DC–9; Aircraft 10. NEGEEN Passenger Iran flag; (vessel) [IRAN] (Linked To: ISLAMIC Operator Iran Air; Aircraft Manufacturer’s Additional Sanctions Information—Subject REPUBLIC OF IRAN SHIPPING LINES). Serial Number (MSN) 49510; Additional to Secondary Sanctions; Vessel Registration 22. IRAN SHALAK Bunkering Tanker Iran Sanctions Information—Subject to Secondary Identification IMO 9071519 (vessel) [IRAN] flag; Additional Sanctions Information— Sanctions (aircraft) [IRAN] (Linked To: IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN Subject to Secondary Sanctions; Vessel AIR). SHIPPING LINES). Registration Identification IMO 8319940 11. IRAN SHALAMCHEH (a.k.a. (vessel) [IRAN] (Linked To: ISLAMIC Vessels IR.SHALAMCHE; a.k.a. SEPEHR SAM) REPUBLIC OF IRAN SHIPPING LINES). The following vessels have been General Cargo Iran flag; Additional Sanctions 23. IRAN YOUSHAT Bunkering Tanker identified pursuant to E.O. 13599 as Information—Subject to Secondary Iran flag; Additional Sanctions Information— Sanctions; Vessel Registration Identification Subject to Secondary Sanctions; Vessel property in which the ISLAMIC IMO 8820925 (vessel) [IRAN] (Linked To: Registration Identification IMO 8319952 REPUBLIC OF IRAN SHIPPING LINES, ISLAMIC REPUBLIC OF IRAN SHIPPING (vessel) [IRAN] (Linked To: ISLAMIC a person whose property and interests LINES). REPUBLIC OF IRAN SHIPPING LINES). in property are blocked pursuant to E.O. 12. TABAN 1 Container Ship Iran flag; 24. HYUNDAI MIPO 2657 (a.k.a. YARD 13599, has an interest: Additional Sanctions Information—Subject NO.2657 HYUNDAI M.D.) Tanker Iran flag;

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Additional Sanctions Information—Subject 37. PARISAN Bulk Carrier Iran flag; 49. NOOR 1 Bulk Carrier Iran flag; to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject Additional Sanctions Information—Subject Identification IMO 9820336 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9465851 (vessel) [IRAN] Identification IMO 9506320 (vessel) [IRAN] SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN 25. IRAN CHARAK Bunkering Tanker Iran SHIPPING LINES). SHIPPING LINES). flag; Additional Sanctions Information— 38. PARSHAD Bulk Carrier Iran flag; 50. TERMEH Bulk Carrier Iran flag; Subject to Secondary Sanctions; Vessel Additional Sanctions Information—Subject Additional Sanctions Information—Subject Registration Identification IMO 8322076 to Secondary Sanctions; Vessel Registration to Secondary Sanctions; Vessel Registration (vessel) [IRAN] (Linked To: ISLAMIC Identification IMO 9387786 (vessel) [IRAN] Identification IMO 9213399 (vessel) [IRAN] REPUBLIC OF IRAN SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN 26. KASHAN Container Ship Iran flag; SHIPPING LINES). SHIPPING LINES). Additional Sanctions Information—Subject 39. SHAHRAZ Container Ship Iran flag; 51. WARTA Bulk Carrier Iran flag; to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject Additional Sanctions Information—Subject Identification IMO 9270696 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9349576 (vessel) [IRAN] Identification IMO 9465849 (vessel) [IRAN] SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN 27. SOBHAN Bunkering Tanker Iran flag; SHIPPING LINES). SHIPPING LINES). Additional Sanctions Information—Subject 40. TABUK Crude/Oil Products Tanker 52. ARTARIA Bulk Carrier Iran flag; to Secondary Sanctions; Vessel Registration Togo flag; Additional Sanctions Additional Sanctions Information—Subject Identification IMO 9036935 (vessel) [IRAN] Information—Subject to Secondary to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN Sanctions; Vessel Registration Identification Identification IMO 9226944 (vessel) [IRAN] SHIPPING LINES). IMO 8917467 (vessel) [IRAN] (Linked To: (Linked To: ISLAMIC REPUBLIC OF IRAN 28. AMINA Bulk Carrier Iran flag; ISLAMIC REPUBLIC OF IRAN SHIPPING SHIPPING LINES). Additional Sanctions Information—Subject LINES). 53. ARTMAN Bulk Carrier Iran flag; to Secondary Sanctions; Vessel Registration 41. AVANG Bulk Carrier Iran flag; Additional Sanctions Information—Subject Identification IMO 9305192 (vessel) [IRAN] Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Identification IMO 9405930 (vessel) [IRAN] SHIPPING LINES). Identification IMO 9465746 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN 29. AREZOO General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). Additional Sanctions Information—Subject SHIPPING LINES). 54. MENA Crude/Oil Products Tanker to Secondary Sanctions; Vessel Registration 42. BASKAR Bulk Carrier Iran flag; Togo flag; Additional Sanctions Identification IMO 9165786 (vessel) [IRAN] Additional Sanctions Information—Subject Information—Subject to Secondary (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Sanctions; Vessel Registration Identification SHIPPING LINES). Identification IMO 9405942 (vessel) [IRAN] IMO 8909472 (vessel) [IRAN] (Linked To: 30. ARSHAM Bulk Carrier Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN ISLAMIC REPUBLIC OF IRAN SHIPPING Additional Sanctions Information—Subject SHIPPING LINES). LINES). to Secondary Sanctions; Vessel Registration 43. CASPIA Chemical/Products Tanker 55. PARSHAN General Cargo Iran flag; Identification IMO 9386500 (vessel) [IRAN] Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Panama flag; Additional Sanctions SHIPPING LINES). Information—Subject to Secondary to Secondary Sanctions; Vessel Registration 31. BAVAND Bulk Carrier Iran flag; Sanctions; Vessel Registration Identification Identification IMO 9051648 (vessel) [IRAN] Additional Sanctions Information—Subject IMO 9125126 (vessel) [IRAN] (Linked To: (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration ISLAMIC REPUBLIC OF IRAN SHIPPING SHIPPING LINES). Identification IMO 9387798 (vessel) [IRAN] LINES). 56. PERARIN Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN 44. DELICE Chemical/Products Tanker Additional Sanctions Information—Subject SHIPPING LINES). Panama flag; Additional Sanctions to Secondary Sanctions; Vessel Registration 32. BEHSHAD General Cargo Iran flag; Information—Subject to Secondary Identification IMO 9209350 (vessel) [IRAN] Additional Sanctions Information—Subject Sanctions; Vessel Registration Identification (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration IMO 9125138 (vessel) [IRAN] (Linked To: SHIPPING LINES). Identification IMO 9167289 (vessel) [IRAN] ISLAMIC REPUBLIC OF IRAN SHIPPING 57. SARVIN Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN LINES). Additional Sanctions Information—Subject SHIPPING LINES). 45. DELNAVAZ Bulk Carrier Iran flag; to Secondary Sanctions; Vessel Registration 33. BEHTA Container Ship Iran flag; Additional Sanctions Information—Subject Identification IMO 9209348 (vessel) [IRAN] Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Identification IMO 9387803 (vessel) [IRAN] SHIPPING LINES). Identification IMO 9349590 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN 58. SAVIZ General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). Additional Sanctions Information—Subject SHIPPING LINES). 46. DEVREZ Chemical/Products Tanker to Secondary Sanctions; Vessel Registration 34. DARYABAR Bulk Carrier Iran flag; Panama flag; Additional Sanctions Identification IMO 9167253 (vessel) [IRAN] Additional Sanctions Information—Subject Information—Subject to Secondary (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Sanctions; Vessel Registration Identification SHIPPING LINES). Identification IMO 9369710 (vessel) [IRAN] IMO 9120994 (vessel) [IRAN] (Linked To: 59. SHABDIS Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN ISLAMIC REPUBLIC OF IRAN SHIPPING Additional Sanctions Information—Subject SHIPPING LINES). LINES). to Secondary Sanctions; Vessel Registration 35. DELRUBA Bulk Carrier Iran flag; 47. KIAZAND Bulk Carrier Iran flag; Identification IMO 9349588 (vessel) [IRAN] Additional Sanctions Information—Subject Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration to Secondary Sanctions; Vessel Registration SHIPPING LINES). Identification IMO 9305207 (vessel) [IRAN] Identification IMO 9465758 (vessel) [IRAN] 60. ZARDIS Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject SHIPPING LINES). SHIPPING LINES). to Secondary Sanctions; Vessel Registration 36. GANJ Bulk Carrier Iran flag; Additional 48. NEGAR General Cargo Iran flag; Identification IMO 9349679 (vessel) [IRAN] Sanctions Information—Subject to Secondary Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Sanctions; Vessel Registration Identification to Secondary Sanctions; Vessel Registration SHIPPING LINES). IMO 9305219 (vessel) [IRAN] (Linked To: Identification IMO 9165839 (vessel) [IRAN] 61. ARVIN Bulk Carrier Iran flag; ISLAMIC REPUBLIC OF IRAN SHIPPING (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject LINES). SHIPPING LINES). to Secondary Sanctions; Vessel Registration

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Identification IMO 9193202 (vessel) [IRAN] 74. ABTIN 1 Container Ship Iran flag; Identification IMO 8605234 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). to Secondary Sanctions; Vessel Registration SHIPPING LINES). 62. BAHJAT Bulk Carrier Iran flag; Identification IMO 9379636 (vessel) [IRAN] 87. KASMA General Cargo Iran flag; Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration SHIPPING LINES). to Secondary Sanctions; Vessel Registration Identification IMO 9405954 (vessel) [IRAN] 75. ABYAN Container Ship Iran flag; Identification IMO 8721351 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). to Secondary Sanctions; Vessel Registration SHIPPING LINES). 63. BATIS Bulk Carrier Iran flag; Identification IMO 9349667 (vessel) [IRAN] 88. GILDA General Cargo Iran flag; Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration SHIPPING LINES). to Secondary Sanctions; Vessel Registration Identification IMO 9465760 (vessel) [IRAN] 76. ANDIA Bulk Carrier Iran flag; Identification IMO 9367982 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). to Secondary Sanctions; Vessel Registration SHIPPING LINES). 64. GOLBON Container Ship Iran flag; Identification IMO 9193197 (vessel) [IRAN] 89. KADOS General Cargo Iran flag; Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration SHIPPING LINES). to Secondary Sanctions; Vessel Registration Identification IMO 9283033 (vessel) [IRAN] 77. ARDAVAN Bulk Carrier Iran flag; Identification IMO 9137258 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). to Secondary Sanctions; Vessel Registration SHIPPING LINES). 65. HAMGAM Bulk Carrier Iran flag; Identification IMO 9465863 (vessel) [IRAN] 90. NARDIS General Cargo Iran flag; Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration SHIPPING LINES). to Secondary Sanctions; Vessel Registration Identification IMO 9226956 (vessel) [IRAN] 78. ARTAVAND Bulk Carrier Iran flag; Identification IMO 9137246 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). to Secondary Sanctions; Vessel Registration SHIPPING LINES). 66. KHURAN Products Tanker Togo flag; Identification IMO 9193214 (vessel) [IRAN] 91. PARAND General Cargo Iran flag; Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration SHIPPING LINES). to Secondary Sanctions; Vessel Registration Identification IMO 9032666 (vessel) [IRAN] 79. FANREACH (f.k.a. BARZIN) Container Identification IMO 9118551 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN Ship Hong Kong flag; Additional Sanctions SHIPPING LINES). SHIPPING LINES). Information—Subject to Secondary 67. MIAMI PRIDE Bulk Carrier Togo flag; 92. PARIN General Cargo Iran flag; Sanctions; Vessel Registration Identification Additional Sanctions Information—Subject Additional Sanctions Information—Subject IMO 9820269 (vessel) [IRAN] (Linked To: to Secondary Sanctions; Vessel Registration to Secondary Sanctions; Vessel Registration ISLAMIC REPUBLIC OF IRAN SHIPPING Identification IMO 9274941 (vessel) [IRAN] Identification IMO 9076478 (vessel) [IRAN] LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN (Linked To: ISLAMIC REPUBLIC OF IRAN 80. BEHDOKHT Bulk Carrier Iran flag; SHIPPING LINES). SHIPPING LINES). 68. OURA Bulk Carrier Iran flag; Additional Sanctions Information—Subject 93. SARINA General Cargo Iran flag; Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Identification IMO 9405978 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration Identification IMO 9387815 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 8203608 (vessel) [IRAN] (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). 81. SHIBA Container Ship Iran flag; SHIPPING LINES). 69. GOODREACH (f.k.a. RADIN) Container Additional Sanctions Information—Subject 94. SARIR General Cargo Iran flag; Ship Hong Kong flag; Additional Sanctions to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject Information—Subject to Secondary Identification IMO 9270646 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration Sanctions; Vessel Registration Identification (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9368003 (vessel) [IRAN] IMO 9820257 (vessel) [IRAN] (Linked To: SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN ISLAMIC REPUBLIC OF IRAN SHIPPING 82. SANIA General Cargo Iran flag; SHIPPING LINES). LINES). Additional Sanctions Information—Subject 95. SOMIA General Cargo Iran flag; 70. TENREACH (f.k.a. RAYEN) Container to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject Ship Hong Kong flag; Additional Sanctions Identification IMO 9367994 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration Information—Subject to Secondary (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9368015 (vessel) [IRAN] Sanctions; Vessel Registration Identification SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN IMO 9820245 (vessel) [IRAN] (Linked To: 83. SABRINA General Cargo Iran flag; SHIPPING LINES). ISLAMIC REPUBLIC OF IRAN SHIPPING Additional Sanctions Information—Subject 96. TARADIS General Cargo Iran flag; LINES). to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject 71. ROSHAK Bulk Carrier Iran flag; Identification IMO 8215742 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9245304 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9405966 (vessel) [IRAN] 84. PARMIS General Cargo Iran flag; SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject 97. VIANA General Cargo Iran flag; SHIPPING LINES). to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject 72. SHAMIM Container Ship Iran flag; Identification IMO 9245316 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9010723 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9270658 (vessel) [IRAN] 85. PATRIS General Cargo Iran flag; SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject 98. VISTA General Cargo Iran flag; SHIPPING LINES). to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject 73. ABBA General Cargo Iran flag; Identification IMO 9137210 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9010711 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN Identification IMO 9051624 (vessel) [IRAN] 86. DORITA General Cargo Iran flag; SHIPPING LINES). (Linked To: ISLAMIC REPUBLIC OF IRAN Additional Sanctions Information—Subject 99. ARTABAZ Container Ship Iran flag; SHIPPING LINES). to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject

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to Secondary Sanctions; Vessel Registration 112. ALVAN General Cargo Iran flag; (vessel) [IRAN] (Linked To: NATIONAL Identification IMO 9283007 (vessel) [IRAN] Additional Sanctions Information—Subject IRANIAN TANKER COMPANY). (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration 124. DIONA Crude Oil Tanker Panama flag; SHIPPING LINES). Identification IMO 9165798 (vessel) [IRAN] Additional Sanctions Information—Subject 100. ARTAM Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject SHIPPING LINES). Identification IMO 9569695 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration 113. ARIES Bulk Carrier Iran flag; (Linked To: NATIONAL IRANIAN TANKER Identification IMO 9284154 (vessel) [IRAN] Additional Sanctions Information—Subject COMPANY). (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration 125. DUNE Crude Oil Tanker Panama flag; SHIPPING LINES). Identification IMO 9369722 (vessel) [IRAN] Additional Sanctions Information—Subject 101. AYSAN General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject SHIPPING LINES). Identification IMO 9569712 (vessel) [IRAN] to Secondary Sanctions; Vessel Registration 114. ARTIN Bulk Carrier Iran flag; (Linked To: NATIONAL IRANIAN TANKER Identification IMO 9165803 (vessel) [IRAN] Additional Sanctions Information—Subject COMPANY). (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration SHIPPING LINES). Identification IMO 9305221 (vessel) [IRAN] The following individuals, entities, 102. GOLAFRUZ Bulk Carrier Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN and vessels previously appeared on the Additional Sanctions Information—Subject SHIPPING LINES). List of Persons Identified as Blocked to Secondary Sanctions; Vessel Registration 115. ARZIN Container Ship Iran flag; Solely Pursuant to E.O. 13599 (E.O. Identification IMO 9323833 (vessel) [IRAN] Additional Sanctions Information—Subject 13599 List). Based on the President’s (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration SHIPPING LINES). Identification IMO 9284142 (vessel) [IRAN] decision to cease U.S. participation in 103. MAHNAM Bulk Carrier Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN the Joint Comprehensive Plan of Action Additional Sanctions Information—Subject SHIPPING LINES). of July 14, 2015, these individuals, to Secondary Sanctions; Vessel Registration 116. AZARGOUN Container Ship Iran flag; entities, and vessels, which continue to Identification IMO 9213387 (vessel) [IRAN] Additional Sanctions Information—Subject be blocked pursuant to E.O. 13599, were (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration transferred from the E.O. 13599 List and SHIPPING LINES). Identification IMO 9283019 (vessel) [IRAN] placed on OFAC’s List of Specially 104. TOUSKA Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN Designated Nationals and Blocked Additional Sanctions Information—Subject SHIPPING LINES). Persons on November 5, 2018, and the to Secondary Sanctions; Vessel Registration 117. BASHT Container Ship Iran flag; Identification IMO 9328900 (vessel) [IRAN] Additional Sanctions Information—Subject E.O. 13599 List was removed. (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration 1. AA ENERGY FZCO, United Arab SHIPPING LINES). Identification IMO 9346536 (vessel) [IRAN] Emirates; Additional Sanctions 105. PARNIA General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN Information—Subject to Secondary Sanctions Additional Sanctions Information—Subject SHIPPING LINES). [IRAN]. to Secondary Sanctions; Vessel Registration 118. BEHDAD General Cargo Iran flag; 2. APAMA (f.k.a. ABELIA; f.k.a. ASTARA; Identification IMO 9167265 (vessel) [IRAN] Additional Sanctions Information—Subject f.k.a. JUPITER) (9HDS9) Crude/Oil Products (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Tanker 99,087DWT 56,068GRT Iran flag; SHIPPING LINES). Identification IMO 9051636 (vessel) [IRAN] Former Vessel Flag Tuvalu; alt. Former 106. ARTENOS Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN Vessel Flag Malta; Additional Sanctions Additional Sanctions Information—Subject SHIPPING LINES). Information—Subject to Secondary to Secondary Sanctions; Vessel Registration 119. GOLSAN General Cargo Iran flag; Sanctions; Vessel Registration Identification Identification IMO 9283021 (vessel) [IRAN] Additional Sanctions Information—Subject IMO 9187631; MMSI 256845000 (vessel) (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration [IRAN] (Linked To: NATIONAL IRANIAN SHIPPING LINES). Identification IMO 9165815 (vessel) [IRAN] TANKER COMPANY). 107. BEHNAVAZ Container Ship Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN 3. ARNICA (f.k.a. ALERT; f.k.a. ASTANEH; Additional Sanctions Information—Subject SHIPPING LINES). f.k.a. NEPTUNE; f.k.a. SEAPRIDE) (T2ES4) to Secondary Sanctions; Vessel Registration 120. GOLSAR Bulk Carrier Iran flag; Crude/Oil Products Tanker 99,144DWT Identification IMO 9346548 (vessel) [IRAN] Additional Sanctions Information—Subject 56,068GRT Iran flag; Former Vessel Flag (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration Malta; alt. Former Vessel Flag Tuvalu; alt. SHIPPING LINES). Identification IMO 9193185 (vessel) [IRAN] Former Vessel Flag Tanzania; Additional 108. ELYANA General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN Sanctions Information—Subject to Secondary Additional Sanctions Information—Subject SHIPPING LINES). Sanctions; Vessel Registration Identification to Secondary Sanctions; Vessel Registration 121. JAIRAN General Cargo Iran flag; IMO 9187643; MMSI 572467210 (vessel) Identification IMO 9165827 (vessel) [IRAN] Additional Sanctions Information—Subject [IRAN] (Linked To: NATIONAL IRANIAN (Linked To: ISLAMIC REPUBLIC OF IRAN to Secondary Sanctions; Vessel Registration TANKER COMPANY). SHIPPING LINES). Identification IMO 9167291 (vessel) [IRAN] 4. AMBER (f.k.a. FREEDOM; f.k.a. HARAZ) 109. NESHAT General Cargo Iran flag; (Linked To: ISLAMIC REPUBLIC OF IRAN (5IM 597) Crude Oil Tanker 317,356DWT Additional Sanctions Information—Subject SHIPPING LINES). 163,660GRT Panama flag; Former Vessel Flag to Secondary Sanctions; Vessel Registration The following vessels have been identified Cyprus; alt. Former Vessel Flag Tanzania; Identification IMO 9167277 (vessel) [IRAN] pursuant to E.O. 13599 as property in which Additional Sanctions Information—Subject (Linked To: ISLAMIC REPUBLIC OF IRAN the NATIONAL IRANIAN TANKER to Secondary Sanctions; Vessel Registration SHIPPING LINES). COMPANY, a person whose property and Identification IMO 9357406; MMSI 110. SHABGOUN Container Ship Iran flag; interests in property are blocked pursuant to 677049700 (vessel) [IRAN] (Linked To: Additional Sanctions Information—Subject E.O. 13599, has an interest. NATIONAL IRANIAN TANKER COMPANY). to Secondary Sanctions; Vessel Registration 122. FAXON Chemical/Products Tanker 5. AMIN INVESTMENT BANK (a.k.a. Identification IMO 9346524 (vessel) [IRAN] Panama flag; Additional Sanctions AMINIB), No. 51 Ghobadiyan Street, Valiasr (Linked To: ISLAMIC REPUBLIC OF IRAN Information—Subject to Secondary Street, Tehran 1968917173, Iran; website SHIPPING LINES). Sanctions; Vessel Registration Identification http://www.aminib.com [IRAN]. 111. SHAHR E KORD Container Ship Iran IMO 9283758 (vessel) [IRAN] (Linked To: 6. ARASH SHIPPING ENTERPRISES flag; Additional Sanctions Information— NATIONAL IRANIAN TANKER COMPANY). LIMITED, Diagoras House, 7th Floor, 16 Subject to Secondary Sanctions; Vessel 123. DERYA Crude Oil Tanker Panama Panteli Katelari Street, Nicosia 1097, Cyprus; Registration Identification IMO 9270684 flag; Additional Sanctions Information— Additional Sanctions Information—Subject (vessel) [IRAN] (Linked To: ISLAMIC Subject to Secondary Sanctions; Vessel to Secondary Sanctions; Telephone REPUBLIC OF IRAN SHIPPING LINES). Registration Identification IMO 9569700 (357)(22660766); Fax (357)(22678777) [IRAN]

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(Linked To: NATIONAL IRANIAN TANKER 18. BADR (EQJU) Iran flag; Additional 31. BLUE TANKER SHIPPING SA, Care of COMPANY). Sanctions Information—Subject to Secondary Sambouk Shipping FCZ, Office 101, 1st 7. ARTA SHIPPING ENTERPRISES Sanctions; Vessel Registration Identification Floor, FITCO Building No 3, Inside Fujairah LIMITED, Diagoras House, 7th Floor, 16 IMO 8407345 (vessel) [IRAN] (Linked To: Port, PO Box 50044, Fujairah, United Arab Panteli Katelari Street, Nicosia 1097, Cyprus; NATIONAL IRANIAN TANKER COMPANY). Emirates; Majuro MH, Marshall Islands; Additional Sanctions Information—Subject 19. BAHADORI, Masoud; nationality Iran; Liberia; Additional Sanctions Information— to Secondary Sanctions; Telephone Additional Sanctions Information—Subject Subject to Secondary Sanctions [IRAN]. (357)(22660766); Fax (357)(22678777) [IRAN] to Secondary Sanctions; Passport T12828814 32. BOU ALI SINA PETROCHEMICAL (Linked To: NATIONAL IRANIAN TANKER (Iran); Managing Director, Petro Suisse COMPANY (a.k.a. BUALI SINA COMPANY). Intertrade Company (individual) [IRAN]. PETROCHEMICAL COMPANY), No. 17, 1st 8. ASAN SHIPPING ENTERPRISE 20. BANDAR IMAM PETROCHEMICAL Floor, Daman Afshar St., Vanak Sq., Vali-e- LIMITED, 85 St. John Street, Valletta VLT COMPANY, North Kargar Street, Tehran, Asr Ave, Tehran 19697, Iran; Petrochemical 1165, Malta; Additional Sanctions Iran; Mahshahr, Bandar Imam, Khuzestan Special Economic Zone (PETZONE), Iran; Information—Subject to Secondary Province, Iran; Additional Sanctions Additional Sanctions Information—Subject Sanctions; Telephone (356)(21241817); Fax Information—Subject to Secondary Sanctions to Secondary Sanctions [IRAN]. (356)(25990640) [IRAN] (Linked To: [IRAN]. 33. BREYELLER STAHL TECHNOLOGY NATIONAL IRANIAN TANKER COMPANY). 21. BANEH (EQKF) Landing Craft 640DWT GMBH & CO. KG (a.k.a. BREYELLER STAHL 9. ASCOTEC HOLDING GMBH (f.k.a. 478GRT Iran flag; Additional Sanctions TECHNOLOGY GMBH AND CO. KG; f.k.a. AHWAZ STEEL COMMERCIAL & Information—Subject to Secondary ROETZEL-STAHL GMBH & CO. KG; f.k.a. TECHNICAL SERVICE GMBH ASCOTEC; Sanctions; Vessel Registration Identification ROETZEL-STAHL GMBH AND CO. KG), f.k.a. AHWAZ STEEL COMMERCIAL AND IMO 8508462; MMSI 422141000 (vessel) Josefstrasse 82, Nettetal 41334, Germany; TECHNICAL SERVICE GMBH ASCOTEC; [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject a.k.a. ASCOTEC GMBH), Tersteegen Strasse TANKER COMPANY). to Secondary Sanctions; Registration ID HRA 10, Dusseldorf 40474, Germany; Additional 22. BANK KESHAVARZI IRAN (a.k.a. 4528 (Germany); all offices worldwide Sanctions Information—Subject to Secondary AGRICULTURAL BANK OF IRAN; a.k.a. [IRAN]. Sanctions; Registration ID HRB 26136 BANK KESHAVARZI), PO Box 14155–6395, 34. BRIGHT (f.k.a. ZAP) Crude Oil Tanker (Germany); all offices worldwide [IRAN]. 129 Patrice Lumumba St, Jalal-al-Ahmad Mongolia flag; Former Vessel Flag Liberia; 10. ASCOTEC JAPAN K.K., 8th Floor, Expressway, Tehran 14454, Iran; all offices Additional Sanctions Information—Subject Shiba East Building, 2–3–9 Shiba, Minato-ku, worldwide [IRAN]. to Secondary Sanctions; Vessel Registration Tokyo 105–0014, Japan; Additional 23. BANK MARKAZI JOMHOURI ISLAMI Identification IMO 9005235 (vessel) [IRAN]. Sanctions Information—Subject to Secondary IRAN (a.k.a. BANK MARKAZI IRAN; a.k.a. 35. CAMBIS, Dimitris (a.k.a. KAMPIS, Sanctions; all offices worldwide [IRAN]. CENTRAL BANK OF IRAN; a.k.a. CENTRAL Dimitrios Alexandros; a.k.a. ‘‘KLIMT, 11. ASCOTEC MINERAL & MACHINERY BANK OF THE ISLAMIC REPUBLIC OF Gustav’’); DOB 14 Oct 1963; Additional GMBH (a.k.a. ASCOTEC MINERAL AND IRAN), PO Box 15875/7177, 144 Mirdamad Sanctions Information—Subject to Secondary MACHINERY GMBH; f.k.a. BREYELLER Blvd., Tehran, Iran; 213 Ferdowsi Avenue, Sanctions (individual) [IRAN]. KALTBAND GMBH), Tersteegenstr. 10, Tehran 11365, Iran; Additional Sanctions 36. CARIBO (f.k.a. NEREYDA) Crude Oil Dusseldorf 40474, Germany; Additional Information—Subject to Secondary Sanctions Tanker Panama flag; Additional Sanctions Sanctions Information—Subject to Secondary [IRAN]. Information—Subject to Secondary Sanctions; Registration ID HRB 55668 24. BANK MASKAN (a.k.a. HOUSING Sanctions; Vessel Registration Identification (Germany); all offices worldwide [IRAN]. BANK (OF IRAN)), PO Box 11365/5699, No IMO 9011246 (vessel) [IRAN]. 12. ASCOTEC SCIENCE & TECHNOLOGY 247 3rd Floor Fedowsi Ave, Cross Sarhang 37. CASPIAN MARITIME LIMITED, GMBH (a.k.a. ASCOTEC SCIENCE AND Sakhaei St, Tehran, Iran; all offices Fortuna Court, Block B, 284 Archbishop TECHNOLOGY GMBH), Tersteegenstrasse worldwide [IRAN]. Makarios II Avenue, Limassol 3105, Cyprus; 10, Dusseldorf D 40474, Germany; Additional 25. BANK REFAH KARGARAN (a.k.a. Additional Sanctions Information—Subject Sanctions Information—Subject to Secondary BANK REFAH; a.k.a. WORKERS’ WELFARE to Secondary Sanctions; Telephone Sanctions; Registration ID HRB 58745 BANK (OF IRAN)), No. 40 North Shiraz (357)(25800000); Fax (357)(25588055) [IRAN] (Germany); all offices worldwide [IRAN]. Street, Mollasadra Ave, Vanak Sq, Tehran (Linked To: NATIONAL IRANIAN TANKER 13. ASCOTEC STEEL TRADING GMBH 19917, Iran; all offices worldwide [IRAN]. COMPANY). (a.k.a. ASCOTEC STEEL), Tersteegenstr. 10, 26. BANK-E SHAHR, Sepahod Gharani, 38. COMMERCIAL PARS OIL CO., 9th Dusseldorf 40474, Germany; Georg-Glock-Str. Corner of Khosro St., No. 147, Tehran, Iran Floor, No. 346, Mirdamad Avenue, Tehran, 3, Dusseldorf 40474, Germany; Additional [IRAN]. Iran; Additional Sanctions Information— Sanctions Information—Subject to Secondary 27. BAZARGAN, Farzad; DOB 03 Jun 1956; Subject to Secondary Sanctions [IRAN]. Sanctions; Registration ID HRB 48319 Additional Sanctions Information—Subject 39. HILDA I (f.k.a. COURAGE; f.k.a. (Germany); all offices worldwide [IRAN]. to Secondary Sanctions; Passport D14855558 HOMA) (5IM 596) Crude Oil Tanker 14. ASIA ENERGY GENERAL TRADING (Iran); alt. Passport Y21130717 (Iran); 317,367DWT 163,660GRT Panama flag; (LLC), Suite 703, Twin Tower, Baniyas Managing Director, Hong Kong Intertrade Former Vessel Flag Cyprus; alt. Former Street, Deira, Dubai, United Arab Emirates; Company (individual) [IRAN]. Vessel Flag Tanzania; Additional Sanctions Additional Sanctions Information—Subject 28. BEHSAZ KASHANE TEHRAN Information—Subject to Secondary to Secondary Sanctions [IRAN]. CONSTRUCTION CO. (a.k.a. BEHSAZ Sanctions; Vessel Registration Identification 15. ATLANTIC (f.k.a. SEAGULL) Crude Oil KASHANEH CO.), No. 40, East Street Journal, IMO 9357389; MMSI 677049600 (vessel) Tanker Liberia flag; Additional Sanctions North Shiraz Street, Sadra Avenue, Tehran, [IRAN] (Linked To: NATIONAL IRANIAN Information—Subject to Secondary Iran; website http://www.behsazco.ir; TANKER COMPANY). Sanctions; Vessel Registration Identification Additional Sanctions Information—Subject 40. CREDIT INSTITUTION FOR IMO 9107655 (vessel) [IRAN]. to Secondary Sanctions [IRAN]. DEVELOPMENT, 53 Saanee, Jahan-e Koodak, 16. STARLA (f.k.a. ATLANTIS) (5IM316) 29. BICAS (f.k.a. GLAROS) Crude Oil Crossroads Africa St., Tehran, Iran [IRAN]. Crude Oil Tanker Panama flag (NITC); Tanker Liberia flag; Additional Sanctions 41. CYLINDER SYSTEM L.T.D. (a.k.a. Former Vessel Flag Tanzania; Additional Information—Subject to Secondary CILINDER SISTEM D.O.O.; a.k.a. CILINDER Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Identification SISTEM D.O.O. ZA PROIZVODNJU I Sanctions; Vessel Registration Identification IMO 9077850 (vessel) [IRAN]. USLUGE), Dr. Mile Budaka 1, Slavonski Brod IMO 9569621 (vessel) [IRAN] (Linked To: 30. BIMEH IRAN INSURANCE COMPANY 35000, Croatia; 1 Mile Budaka, Slavonski NATIONAL IRANIAN TANKER COMPANY). (U.K.) LIMITED (a.k.a. BIUK), 4/5 Fenchurch Brod 35000, Croatia; website http://www.csc- 17. AURA (f.k.a. OCEAN PERFORMER) Buildings, London EC3M 5HN, United sb.hr; Additional Sanctions Information— Crude Oil Tanker Mongolia flag; Former Kingdom; Additional Sanctions Subject to Secondary Sanctions; Registration Vessel Flag Liberia; Additional Sanctions Information—Subject to Secondary ID 050038884 (Croatia); Tax ID No. Information—Subject to Secondary Sanctions; UK Company Number 01223433 27694384517 (Croatia) [IRAN]. Sanctions; Vessel Registration Identification (United Kingdom); all offices worldwide 42. DORE (f.k.a. COMPANION; f.k.a. DAL IMO 9013749 (vessel) [IRAN]. [IRAN]. LAKE; f.k.a. DAVAR) (5IM 593) Crude Oil

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Tanker 317,850DWT 164,241GRT Panama to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject flag; Former Vessel Flag Cyprus; alt. Former Identification IMO 9218480; MMSI to Secondary Sanctions [IRAN]. Vessel Flag Tanzania; Additional Sanctions 256861000 (vessel) [IRAN] (Linked To: 61. GHADIR INVESTMENT COMPANY, Information—Subject to Secondary NATIONAL IRANIAN TANKER COMPANY). 341 West Mirdamad Boulevard, Tehran, Iran; Sanctions; Vessel Registration Identification 52. DENA TANKERS FZE, Free Zone, P.O. P.O. Box 19696, Tehran, Iran; website http:// IMO 9357717; MMSI 677049300 (vessel) Box 5232, Fujairah, United Arab Emirates; www.ghadir-invest.com; Additional [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject Sanctions Information—Subject to Secondary TANKER COMPANY). to Secondary Sanctions [IRAN] (Linked To: Sanctions [IRAN]. 43. DIAMOND II (f.k.a. DAMAVAND) NATIONAL IRANIAN TANKER COMPANY). 62. GHAED BASSIR PETROCHEMICAL (9HEG9) Crude Oil Tanker 297,013DWT 53. DESTINY (f.k.a. ULYSSES 1) Crude Oil PRODUCTS COMPANY (a.k.a. GHAED 160,576GRT Panama flag; Former Vessel Flag Tanker Panama flag; Former Vessel Flag BASSIR), No. 15, Palizvani (7th) Street, Malta; Additional Sanctions Information— Liberia; alt. Former Vessel Flag Mongolia; Gandhi (South) Avenue, Tehran 1517655711, Subject to Secondary Sanctions; Vessel Additional Sanctions Information—Subject Iran; Km 10 of Khomayen Road, Golpayegan, Registration Identification IMO 9218478; to Secondary Sanctions; Vessel Registration Iran; website http://www.gbpc.net; MMSI 256865000 (vessel) [IRAN] (Linked To: Identification IMO 9177155 (vessel) [IRAN]. Additional Sanctions Information—Subject NATIONAL IRANIAN TANKER COMPANY). 54. SNOW (f.k.a. DOJRAN; f.k.a. to Secondary Sanctions [IRAN]. 44. DANESH SHIPPING COMPANY RAINBOW; f.k.a. SOUVENIR; a.k.a. YARD 63. GHALEBANI, Ahmad (a.k.a. LIMITED, Diagoras House, 7th Floor, 16 NO. 1221 SHANGHAI WAIGAOQIAO) Crude GHALEHBANI, Ahmad; a.k.a. QALEHBANI, Panteli Katelari Street, Nicosia 1097, Cyprus; Oil Tanker 318,000DWT 165,000GRT Ahmad); DOB 01 Jan 1953 to 31 Dec 1954; Additional Sanctions Information—Subject Panama flag; Former Vessel Flag Malta; alt. Additional Sanctions Information—Subject to Secondary Sanctions; Telephone Former Vessel Flag Tuvalu; alt. Former to Secondary Sanctions; Passport H20676140 (357)(22660766); Fax (357)(22668608) [IRAN] Vessel Flag Tanzania; Additional Sanctions (Iran); Managing Director, National Iranian (Linked To: NATIONAL IRANIAN TANKER Information—Subject to Secondary Oil Company; Director, Hong Kong Intertrade COMPANY). Sanctions; Vessel Registration Identification Company; Director, Petro Suisse Intertrade 45. DEEP SEA (f.k.a. DARAB) (9HEE9) IMO 9569619 (vessel) [IRAN] (Linked To: Company (individual) [IRAN]. Crude Oil Tanker 296,803DWT 160,576GRT NATIONAL IRANIAN TANKER COMPANY). 64. GHARZOLHASANEH RESALAT Panama flag; Former Vessel Flag Malta; 55. HORSE (f.k.a. DOVE; f.k.a. HONAR; BANK, Beside the No. 1 Baghestan Alley, Additional Sanctions Information—Subject f.k.a. JANUS; f.k.a. VICTORY) (T2EA4) Crude Saadat Abad Ave., Kaj Sq., Tehran, Iran; All to Secondary Sanctions; Vessel Registration Oil Tanker 317,367DWT 163,660GRT offices worldwide [IRAN]. Identification IMO 9218492; MMSI Panama flag; Former Vessel Flag Cyprus; alt. 65. GOLDEN RESOURCES TRADING 256862000 (vessel) [IRAN] (Linked To: Former Vessel Flag Tuvalu; alt. Former COMPANY L.L.C. (a.k.a. ‘‘GRTC’’), 9th Floor, NATIONAL IRANIAN TANKER COMPANY). Vessel Flag Tanzania; Additional Sanctions Office No. 905, Khalid Al Attar Tower 1, 46. DAVAR SHIPPING CO LTD, Diagoras Information—Subject to Secondary Sheikh Zayed Road, After Crown Plaza Hotel, House, 7th Floor, 16 Panteli Katelari Street, Sanctions; Vessel Registration Identification Al Wasl Area, Dubai, United Arab Emirates; Nicosia 1097, Cyprus; Additional Sanctions IMO 9362061; MMSI 209511000 (vessel) Postal Box 34489, Dubai, United Arab Information—Subject to Secondary [IRAN] (Linked To: NATIONAL IRANIAN Emirates; Postal Box 14358, Dubai, United Sanctions; Telephone (357)(22660766); Fax TANKER COMPANY). Arab Emirates; Additional Sanctions (357)(22678777) [IRAN] (Linked To: 56. EGHTESAD NOVIN BANK (a.k.a. Information—Subject to Secondary Sanctions NATIONAL IRANIAN TANKER COMPANY). BANK-E EGHTESAD NOVIN; a.k.a. EN [IRAN]. 47. DOVER (f.k.a. DAYLAM) (9HEU9) BANK PJSC), Vali Asr Street, Above Vanak 66. GRACE BAY SHIPPING INC, Care of Crude Oil Tanker 299,500DWT 160,576GRT Circle, across Niayesh, Esfandiari Blvd., No. Sambouk Shipping FCZ, 1st Floor, FITCO Panama flag; Former Vessel Flag Malta; 24, Tehran, Iran; SWIFT/BIC BEGNIRTH Building No 3, Inside Fujairah Port, PO Box Additional Sanctions Information—Subject [IRAN]. 50044, Fujairah, United Arab Emirates; Trust to Secondary Sanctions; Vessel Registration 57. EXECUTION OF IMAM KHOMEINI’S Company Complex, Ajeltake Road, Ajeltake Identification IMO 9218466; MMSI ORDER (a.k.a. EIKO; a.k.a. SETAD; a.k.a. Island, Majuro MH96960, Marshall Islands; 256872000 (vessel) [IRAN] (Linked To: SETAD EJRAEI EMAM; a.k.a. SETAD-E Additional Sanctions Information—Subject NATIONAL IRANIAN TANKER COMPANY). EJRAEI-E FARMAN-E HAZRAT-E EMAM; to Secondary Sanctions [IRAN]. 48. DREAM II (f.k.a. DANESH; f.k.a. a.k.a. SETAD-E FARMAN-EJRAEI-YE 67. HADI SHIPPING COMPANY LIMITED, DECESIVE; f.k.a. LEADERSHIP) (5IM 592) EMAM), Khaled Stamboli St., Tehran, Iran; Diagoras House, 7th Floor, 16 Panteli Katelari Crude Oil Tanker 319,988DWT 164,241GRT Additional Sanctions Information—Subject Street, Nicosia 1097, Cyprus; Additional Panama flag; Former Vessel Flag Cyprus; alt. to Secondary Sanctions [IRAN]. Sanctions Information—Subject to Secondary Former Vessel Flag Tanzania; Additional 58. FOREST (f.k.a. FAEZ; f.k.a. FIANGA; Sanctions; Telephone (357)(22660766); Fax Sanctions Information—Subject to Secondary f.k.a. MAESTRO; f.k.a. SATEEN) (T2DM4) (357)(22668608) [IRAN] (Linked To: Sanctions; Vessel Registration Identification Chemical/Products Tanker 35,124DWT NATIONAL IRANIAN TANKER COMPANY). IMO 9356593; MMSI 677049200 (vessel) 25,214GRT Panama flag; Former Vessel Flag 68. HENNA (f.k.a. HALISTIC; f.k.a. [IRAN] (Linked To: NATIONAL IRANIAN Malta; alt. Former Vessel Flag Tuvalu; alt. HAMOON; f.k.a. LENA; f.k.a. TAMAR) TANKER COMPANY). Former Vessel Flag Tanzania; Additional (T2EQ4) Crude Oil Tanker 299,242DWT 49. DEVON (f.k.a. DELVAR) (9HEF9) Crude Sanctions Information—Subject to Secondary 160,930GRT Panama flag; Former Vessel Flag Oil Tanker 299,500DWT 160,576GRT None Sanctions; Vessel Registration Identification Malta; alt. Former Vessel Flag Tuvalu; alt. Identified flag; Former Vessel Flag Malta; IMO 9283760; MMSI 572438210 (vessel) Former Vessel Flag Tanzania; Additional Additional Sanctions Information—Subject [IRAN] (Linked To: NATIONAL IRANIAN Sanctions Information—Subject to Secondary to Secondary Sanctions; Vessel Registration TANKER COMPANY). Sanctions; Vessel Registration Identification Identification IMO 9218454; MMSI 59. STREAM (f.k.a. FORTUN; f.k.a. IMO 9212929; MMSI 572465210 (vessel) 256864000 (vessel) [IRAN] (Linked To: SONATA; a.k.a. YARD NO. 1222 SHANGHAI [IRAN] (Linked To: NATIONAL IRANIAN NATIONAL IRANIAN TANKER COMPANY). WAIGAOQIAO) Crude Oil Tanker TANKER COMPANY). 50. DANIEL (f.k.a. DEMOS) (5IM656) 318,000DWT 165,000GRT Panama flag; 69. HAPPINESS I (f.k.a. HAPPINESS; f.k.a. Crude Oil Tanker Panama flag (NITC); Former Vessel Flag Malta; Additional HENGAM; f.k.a. LOYAL; f.k.a. TULAR) Former Vessel Flag Tanzania; Additional Sanctions Information—Subject to Secondary (T2ER4) Crude Oil Tanker 299,214DWT Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Identification 160,930GRT Panama flag; Former Vessel Flag Sanctions; Vessel Registration Identification IMO 9569633 (vessel) [IRAN] (Linked To: Malta; alt. Former Vessel Flag Tuvalu; alt. IMO 9569683 (vessel) [IRAN] (Linked To: NATIONAL IRANIAN TANKER COMPANY). Former Vessel Flag Tanzania; Additional NATIONAL IRANIAN TANKER COMPANY). 60. GARBIN NAVIGATION LTD, Care of Sanctions Information—Subject to Secondary 51. DOWNY (f.k.a. DENA) (9HED9) Crude Sambouk Shipping FCZ, Office 101, 1st Sanctions; Vessel Registration Identification Oil Tanker 296,894DWT 160,576GRT Floor, FITCO Building No 3, Inside Fujairah IMO 9212905; MMSI 256875000 (vessel) Panama flag; Former Vessel Flag Malta; Port, PO Box 50044, Fujairah, United Arab [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject Emirates; 80 Broad Street, Monrovia, Liberia; TANKER COMPANY).

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70. HARAZ SHIPPING COMPANY IMO 9357391; MMSI 572450210 (vessel) Sanctions Information—Subject to Secondary LIMITED, Diagoras House, 7th Floor, 16 [IRAN] (Linked To: NATIONAL IRANIAN Sanctions; Vessel Registration Identification Panteli Katelari Street, Nicosia 1097, Cyprus; TANKER COMPANY). IMO 9404560 (vessel) [IRAN] (Linked To: Additional Sanctions Information—Subject 80. HONG KONG INTERTRADE NATIONAL IRANIAN TANKER COMPANY). to Secondary Sanctions; Telephone COMPANY, Hong Kong; Additional 91. IMPIRE SHIPPING COMPANY (a.k.a. (357)(22660766); Fax (357)(22668608) [IRAN] Sanctions Information—Subject to Secondary IMPIRE SHIPPING; a.k.a. IMPIRE SHIPPING (Linked To: NATIONAL IRANIAN TANKER Sanctions [IRAN]. LIMITED), Greece; Additional Sanctions COMPANY). 81. HALTI (f.k.a. HORIZON; f.k.a. Information—Subject to Secondary Sanctions 71. HATEF SHIPPING COMPANY HORMOZ; f.k.a. SCORPIAN) (9HEK9) Crude [IRAN]. LIMITED, Diagoras House, 7th Floor, 16 Oil Tanker 299,261DWT 160,930GRT 92. INDUSTRIAL DEVELOPMENT AND Panteli Katelari Street, Nicosia 1097, Cyprus; Panama flag; Former Vessel Flag Tuvalu; alt. RENOVATION ORGANIZATION OF IRAN Additional Sanctions Information—Subject Former Vessel Flag Tanzania; Additional (a.k.a. IDRO; a.k.a. IRAN DEVELOPMENT & to Secondary Sanctions; Telephone Sanctions Information—Subject to Secondary RENOVATION ORGANIZATION (357)(22660766); Fax (357)(22668608) [IRAN] Sanctions; Vessel Registration Identification COMPANY; a.k.a. IRAN DEVELOPMENT (Linked To: NATIONAL IRANIAN TANKER IMO 9212890; MMSI 256870000 (vessel) AND RENOVATION ORGANIZATION COMPANY). [IRAN] (Linked To: NATIONAL IRANIAN COMPANY; a.k.a. SAWZEMANE 72. HEKMAT IRANIAN BANK (a.k.a. TANKER COMPANY). GOSTARESH VA NOWSAZI SANAYE BANK-E HEKMAT IRANIAN), Argentine 82. HORMOZ OIL REFINING COMPANY, IRAN), Vali Asr Building, Jam e Jam Street, Circle, beginning of Africa St., Corner of 37th Next to the Current Bandar Abbas Refinery, Vali Asr Avenue, Tehran 15815–3377, Iran; St., (Dara Cul-de-sac), No. 26, Tehran, Iran Bandar Abbas City, Iran; Additional Additional Sanctions Information—Subject [IRAN]. Sanctions Information—Subject to Secondary to Secondary Sanctions; all offices 73. HERCULES INTERNATIONAL SHIP, Sanctions [IRAN]. worldwide [IRAN]. Care of Sambouk Shipping FCZ, Office 101, 83. HUMANITY (f.k.a. OCEAN NYMPH) 93. DINO I (f.k.a. INFINITY) (5IM411) 1st Floor, FITCO Building No 3, Inside Crude Oil Tanker Panama flag; Former Vessel Crude Oil Tanker Panama flag (NITC); Fujairah Port, PO Box 50044, Fujairah, Flag Panama; alt. Former Vessel Flag Former Vessel Flag Tanzania; Additional United Arab Emirates; 80 Broad Street, Mongolia; Additional Sanctions Sanctions Information—Subject to Secondary Monrovia, Liberia; Additional Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Identification Information—Subject to Secondary Sanctions Sanctions; Vessel Registration Identification IMO 9569671 (vessel) [IRAN] (Linked To: [IRAN]. IMO 9180281 (vessel) [IRAN]. NATIONAL IRANIAN TANKER COMPANY). 74. HERMIS SHIPPING SA, Care of 84. HEDY (f.k.a. HUWAYZEH) (9HEJ9) 94. INTRA CHEM TRADING GMBH (a.k.a. Sambouk Shipping FCZ, Office 101, 1st Crude Oil Tanker 299,242DWT 160,930GRT INTRA-CHEM TRADING CO. (GMBH)), Floor, FITCO Building No 3, Inside Fujairah Panama flag; Former Vessel Flag Malta; Schottweg 3, Hamburg 22087, Germany; Port, PO Box 50044, Fujairah, United Arab Additional Sanctions Information—Subject Additional Sanctions Information—Subject Emirates; Panama City, Panama; Monrovia, to Secondary Sanctions; Vessel Registration to Secondary Sanctions; Registration ID Liberia; Additional Sanctions Information— Identification IMO 9212888; MMSI HRB48416 (Germany); all offices worldwide Subject to Secondary Sanctions [IRAN]. 256869000 (vessel) [IRAN] (Linked To: [IRAN]. 75. HIRMAND SHIPPING COMPANY NATIONAL IRANIAN TANKER COMPANY). 95. IRAN & SHARGH COMPANY (a.k.a. LIMITED, Diagoras House, 7th Floor, 16 85. HERBY (f.k.a. EXPLORER; f.k.a. HODA; IRAN AND EAST COMPANY; a.k.a. IRAN Panteli Katelari Street, Nicosia 1097, Cyprus; f.k.a. HYDRA; f.k.a. PRECIOUS) (T2EH4) AND SHARGH COMPANY; a.k.a. Additional Sanctions Information—Subject Crude Oil Tanker 317,356DWT 163,660GRT IRANOSHARGH COMPANY; a.k.a. to Secondary Sanctions; Telephone Panama flag; Former Vessel Flag Cyprus; alt. SHERKAT-E IRAN VA SHARGH), 827, North (357)(22660766); Fax (357)(22668608) [IRAN] Former Vessel Flag Tuvalu; alt. Former of Seyedkhandan Bridge, Shariati Street, P.O. (Linked To: NATIONAL IRANIAN TANKER Vessel Flag Tanzania; Additional Sanctions Box 13185–1445, Tehran 16616, Iran; No. 41, COMPANY). Information—Subject to Secondary Next to 23rd Alley, South Gandi St., Vanak 76. HODA SHIPPING COMPANY Sanctions; Vessel Registration Identification Square, Tehran 15179, Iran; website http:// LIMITED, Diagoras House, 7th Floor, 16 IMO 9362059; MMSI 572458210 (vessel) www.iranoshargh.com; Additional Sanctions Panteli Katelari Street, Nicosia 1097, Cyprus; [IRAN] (Linked To: NATIONAL IRANIAN Information—Subject to Secondary Sanctions Additional Sanctions Information—Subject TANKER COMPANY). [IRAN]. to Secondary Sanctions; Telephone 86. IFIC HOLDING AG (a.k.a. IHAG), 96. IRAN & SHARGH LEASING (357)(22660766); Fax (357)(22668608) [IRAN] Koenigsallee 60 D, Dusseldorf 40212, COMPANY (a.k.a. IRAN AND EAST (Linked To: NATIONAL IRANIAN TANKER Germany; Additional Sanctions LEASING COMPANY; a.k.a. IRAN AND COMPANY). Information—Subject to Secondary SHARGH LEASING COMPANY; a.k.a. 77. HOMA SHIPPING COMPANY Sanctions; Registration ID HRB 48032 SHERKAT-E LIZING-E IRAN VA SHARGH), LIMITED, Diagoras House, 7th Floor, 16 (Germany); all offices worldwide [IRAN]. 1st Floor, No. 33, Shahid Atefi Alley, Panteli Katelari Street, Nicosia 1097, Cyprus; 87. IHAG TRADING GMBH, Koenigsallee Opposite Mellat Park, Vali-e-Asr Street, Additional Sanctions Information—Subject 60 D, Dusseldorf 40212, Germany; Additional Tehran 1967933759, Iran; website http:// to Secondary Sanctions; Telephone Sanctions Information—Subject to Secondary www.isleasingco.com; Additional Sanctions (357)(22660766); Fax (357)(22668608) [IRAN] Sanctions; Registration ID HRB 37918 Information—Subject to Secondary Sanctions (Linked To: NATIONAL IRANIAN TANKER (Germany); all offices worldwide [IRAN]. [IRAN]. COMPANY). 88. IMICO NEKA 455 (a.k.a. YARD NO. 97. IRAN FAHIM Chemical/Products 78. HONAR SHIPPING COMPANY 455 IRAN MARINE) Shuttle Tanker Tanker 34,900DWT 26,561GRT Iran flag; LIMITED, Diagoras House, 7th Floor, 16 63,000DWT 40,800GRT Iran flag; Additional Additional Sanctions Information—Subject Panteli Katelari Street, Nicosia 1097, Cyprus; Sanctions Information—Subject to Secondary to Secondary Sanctions; Vessel Registration Additional Sanctions Information—Subject Sanctions; Vessel Registration Identification Identification IMO 9286140 (vessel) [IRAN] to Secondary Sanctions; Telephone IMO 9404546 (vessel) [IRAN] (Linked To: (Linked To: NATIONAL IRANIAN TANKER (357)(22660766); Fax (357)(22668608) [IRAN] NATIONAL IRANIAN TANKER COMPANY). COMPANY). (Linked To: NATIONAL IRANIAN TANKER 89. IMICO NEKA 456 (a.k.a. YARD NO. 98. IRAN FALAGH Chemical/Products COMPANY). 456 IRAN MARINE) Shuttle Tanker Tanker 34,900DWT 25,000GRT Iran flag; 79. HELM (f.k.a. HIRMAND; f.k.a. 63,000DWT 40,800GRT Iran flag; Additional Additional Sanctions Information—Subject HONESTY; f.k.a. MILLIONAIRE) (T2DZ4) Sanctions Information—Subject to Secondary to Secondary Sanctions; Vessel Registration Crude Oil Tanker 317,356DWT 163,660GRT Sanctions; Vessel Registration Identification Identification IMO 9286152 (vessel) [IRAN] Panama flag; Former Vessel Flag Cyprus; alt. IMO 9404558 (vessel) [IRAN] (Linked To: (Linked To: NATIONAL IRANIAN TANKER Former Vessel Flag Tuvalu; alt. Former NATIONAL IRANIAN TANKER COMPANY). COMPANY). Vessel Flag Tanzania; Additional Sanctions 90. IMICO NEKA 457 (a.k.a. YARD NO. 99. FORTUNE (f.k.a. IRAN FAZEL) (9BAC) Information—Subject to Secondary 457 IRAN MARINE) Shuttle Tanker Chemical/Products Tanker 35,155DWT Sanctions; Vessel Registration Identification 63,000DWT 40,800GRT Iran flag; Additional 25,214GRT Panama flag; Former Vessel Flag

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Iran; Additional Sanctions Information— 106. IRASCO S.R.L. (a.k.a. IRASCO Sabounchi St., Shahid Beheshti Ave., Tehran, Subject to Secondary Sanctions; Vessel ITALY), Via Di Francia 3, Genoa 16149, Italy; Iran; SWIFT/BIC KHMIIRTH; All offices Registration Identification IMO 9283746; Additional Sanctions Information—Subject worldwide [IRAN]. MMSI 422303000 (vessel) [IRAN] (Linked To: to Secondary Sanctions; Registration ID GE 117. KISH INTERNATIONAL BANK (a.k.a. NATIONAL IRANIAN TANKER COMPANY). 348075 (Italy); all offices worldwide [IRAN]. KISH INTERNATIONAL BANK OFFSHORE 100. IRAN FOREIGN INVESTMENT 107. ISLAMIC REGIONAL COOPERATION COMPANY PJS), NBO–9, Andisheh Blvd., COMPANY (a.k.a. IFIC), No. 4, Saba Blvd., BANK (a.k.a. BANK-E TAAWON Sanayi Street, Kish Island, Iran; All offices Africa Blvd., Tehran 19177, Iran; P.O. Box MANTAGHEEY-E ESLAMI; a.k.a. REGIONAL worldwide [IRAN]. 19395–6947, Tehran, Iran; Additional COOPERATION OF THE ISLAMIC BANK 118. KONING MARINE CORP, Care of Sanctions Information—Subject to Secondary FOR DEVELOPMENT & INVESTMENT), Sambouk Shipping FCZ, Office 101, 1st Sanctions; all offices worldwide [IRAN]. Building No. 59, District 929, Street No. 17, Floor, FITCO Building No 3, Inside Fujairah 101. IRAN INSURANCE COMPANY (a.k.a. Arsat Al-Hindia, Al Masbah, Baghdad, Iraq; Port, PO Box 50044, Fujairah, United Arab BIMEH IRAN), 107 Dr Fatemi Avenue, Tohid Street, Before Tohid Circle, No. 33, Emirates; 80 Broad Street, Monrovia, Liberia; Tehran 14155/6363, Iran; Abdolaziz-Al- Upper Level of Eghtesad-e Novin Bank, Additional Sanctions Information—Subject Masaeed Building, Sheikh Maktoom St., Tehran 1419913464, Iran; SWIFT/BIC to Secondary Sanctions [IRAN]. Deira, P.O. Box 2004, Dubai, United Arab RCDFIQBA [IRAN]. 119. MACHINE SAZI ARAK CO. LTD. Emirates; P.O. Box 1867, Al Ain, Abu Dhabi, 108. JASHNSAZ, Seifollah (a.k.a. JASHN (a.k.a. MACHINE SAZI ARAK COMPANY P United Arab Emirates; P.O. Box 3281, Abu SAZ, Seifollah; a.k.a. JASHNSAZ, Seyfollah); J S C; a.k.a. MACHINE SAZI ARAK SSA; Dhabi, United Arab Emirates; P.O. Box 1666, DOB 22 Mar 1958; POB Behbahan, Iran; a.k.a. MASHIN SAZI ARAK; a.k.a. ‘‘MSA’’), Sharjah, United Arab Emirates; P.O. Box 849, nationality Iran; Additional Sanctions P.O. Box 148, Arak 351138, Iran; Arak, Km Ras-Al-Khaimah, United Arab Emirates; P.O. Information—Subject to Secondary 4 Tehran Road, Arak, Markazi Province, Iran; Box 417, Muscat 113, Oman; P.O. Box 676, Sanctions; Passport R17589399 (Iran); alt. No. 1, Northern Kargar Street, Tehran 14136, Salalah 211, Oman; P.O. Box 995, Manama, Passport T23700825 (Iran); Chairman & Iran; Additional Sanctions Information— Bahrain; Al-Lami Center, Ali-Bin-Abi Taleb Director, Naftiran Intertrade Co. (NICO) Sarl; Subject to Secondary Sanctions; all offices St. Sharafia, P.O. Box 11210, Jeddah 21453, Chairman & Director, Naft Iran Intertrade worldwide [IRAN]. Saudi Arabia; Al Alia Center, Salaheddine Company Ltd.; Director, Hong Kong 120. MAHAB GHODSS CONSULTING Rd., Al Malaz, P.O. Box 21944, Riyadh Intertrade Company; Chairman of the Board ENGINEERING COMPANY (a.k.a. MAHAB 11485, Saudi Arabia; Al Rajhi Bldg., 3rd of Directors, Iranian Oil Company (U.K.) GHODSS CONSULTING ENGINEERING CO.; Floor, Suite 23, Dhahran St., P.O. Box 1305, Limited; Chairman & Director, Petro Suisse a.k.a. MAHAB GHODSS CONSULTING Dammam 31431, Saudi Arabia; Additional Intertrade Company (individual) [IRAN]. ENGINEERS SSK; a.k.a. MAHAB QODS Sanctions Information—Subject to Secondary 109. JUPITER SEAWAYS SHIPPING, Care ENGINEERING CONSULTING CO.), No. 17, Sanctions; all offices worldwide [IRAN]. of Sambouk Shipping FCZ, Office 101, 1st Dastgerdy Avenue, Takharestan Alley, 102. IRAN PETROCHEMICAL Floor, FITCO Building No 3, Inside Fujairah 19395–6875, Tehran 1918781185, Iran; 16 COMMERCIAL COMPANY (a.k.a. Port, PO Box 50044, Fujairah, United Arab Takharestan Alley, Dastgerdy Avenue, P.O. PETROCHEMICAL COMMERCIAL Emirates; 80 Broad Street, Monrovia, Liberia; Box 19395–6875, Tehran 19187 81185, Iran; COMPANY; a.k.a. SHERKATE BASARGANI Additional Sanctions Information—Subject Additional Sanctions Information—Subject PETROCHEMIE (SAHAMI KHASS); a.k.a. to Secondary Sanctions [IRAN]. SHERKATE BAZARGANI PETRCHEMIE; to Secondary Sanctions; Registration ID 110. DAN (f.k.a. JUSTICE) Crude Oil a.k.a. ‘‘IPCC’’; a.k.a. ‘‘PCC’’), No. 1339, Vali 48962 (Iran) issued 1983; all offices Nejad Alley, Vali-e-Asr St., Vanak Sq., Tanker Panama flag; Additional Sanctions worldwide [IRAN]. Tehran, Iran; INONU CAD. SUMER Sok., Information—Subject to Secondary 121. BELEMA LIGHT CRUDE (f.k.a. Zitas Bloklari C.2 Bloc D.H, Kozyatagi, Sanctions; Vessel Registration Identification MAHARLIKA; f.k.a. NOOR) (9HES9) Crude Kadikoy, Istanbul, Turkey; Topcu Ibrahim IMO 9357729 (vessel) [IRAN] (Linked To: Oil Tanker 298,732DWT 156,809GRT Sokak No: 13 D: 7 Icerenkoy-Kadikoy, NATIONAL IRANIAN TANKER COMPANY). Panama flag; Former Vessel Flag Malta; alt. Istanbul, Turkey; 99–A, Maker Tower F, 9th 111. KAFOLATBANK (a.k.a. CJSC Former Vessel Flag Tuvalu; alt. Former 4 Floor, Cuffe Parade, Colabe, Mumbai 400 KAFOLATBANK), Apartment ⁄1, Academics Vessel Flag Tanzania; Additional Sanctions 005, India; No. 1014, Doosan We’ve Pavilion, Rajabovs Street, Dushanbe, Tajikistan; Information—Subject to Secondary 58, Soosong-Dong, Jongno-Gu, Seoul, Korea, SWIFT/BIC KACJTJ22; All offices worldwide Sanctions; Vessel Registration Identification South; Office No. 707, No. 10, Chao Waidajie, [IRAN]. IMO 9079066; MMSI 256882000 (vessel) Chao Tang District, Beijing 100020, China; 112. KALA LIMITED (a.k.a. KALA NAFT [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject LONDON LTD), NIOC House, 4 Victoria TANKER COMPANY). to Secondary Sanctions; all offices Street, Westminster, London SW1H 0NE, 122. HUGE (f.k.a. GLORY; f.k.a. HATEF; worldwide [IRAN]. United Kingdom; Additional Sanctions f.k.a. MAJESTIC) (T2EG4) Crude Oil Tanker 103. IRAN ZAMIN BANK (a.k.a. BANK-E Information—Subject to Secondary 317,367DWT 163,660GRT Panama flag; IRAN ZAMIN), Seyyed Jamal-oldin Sanctions; UK Company Number 01517853 Former Vessel Flag Cyprus; alt. Former Asadabadi St., Corner of 68th St., No. 472, (United Kingdom); all offices worldwide Vessel Flag Tuvalu; alt. Former Vessel Flag Tehran, Iran [IRAN]. [IRAN]. Tanzania; Additional Sanctions 104. IRANIAN MINES AND MINING 113. KALA PENSION TRUST LIMITED, C/ Information—Subject to Secondary INDUSTRIES DEVELOPMENT AND O Kala Limited, N.I.O.C. House, 4 Victoria Sanctions; Vessel Registration Identification RENOVATION ORGANIZATION (a.k.a. Street, London SW1H 0NE, United Kingdom; IMO 9357183; MMSI 212256000 (vessel) IMIDRO; a.k.a. IRAN MINING INDUSTRIES Additional Sanctions Information—Subject [IRAN] (Linked To: NATIONAL IRANIAN DEVELOPMENT AND RENOVATION to Secondary Sanctions; UK Company TANKER COMPANY). ORGANIZATION; a.k.a. IRANIAN MINES Number 01573317 (United Kingdom); all 123. HASNA (f.k.a. HARSIN; f.k.a. AND MINERAL INDUSTRIES offices worldwide [IRAN]. MARINA; f.k.a. VALOR) (5IM600) Crude Oil DEVELOPMENT AND RENOVATION), No. 114. KARAFARIN BANK (a.k.a. BANK–E Tanker 299,229DWT 160,930GRT Panama 39, Sepahbod Gharani Avenue, Ferdousi KARAFARIN), Zafar St. No. 315, Between flag; Former Vessel Flag Malta; alt. Former Square, Tehran, Iran; Additional Sanctions Vali Asr and Jordan, Tehran, Iran; SWIFT/ Vessel Flag Tanzania; Additional Sanctions Information—Subject to Secondary BIC KBIDIRTH [IRAN]. Information—Subject to Secondary Sanctions; all offices worldwide [IRAN]. 115. KASB INTERNATIONAL LLC (a.k.a. Sanctions; Vessel Registration Identification 105. IRANIAN OIL COMPANY (U.K.) FIRST FURAT TRADING LLC), 10th Floor, IMO 9212917; MMSI 677050000 (vessel) LIMITED (a.k.a. IOC UK LTD), Riverside Citi Bank Building, Oud Metha Road, Oud [IRAN] (Linked To: NATIONAL IRANIAN House, Riverside Drive, Aberdeen AB11 7LH, Metha, Dubai, United Arab Emirates; TANKER COMPANY). United Kingdom; Additional Sanctions Additional Sanctions Information—Subject 124. MARIVAN (EQKH) Bunkering Tanker Information—Subject to Secondary to Secondary Sanctions; Telephone Number: 640DWT 478GRT Iran flag; Additional Sanctions; UK Company Number 01019769 (971) (4) (3248000) [IRAN]. Sanctions Information—Subject to Secondary (United Kingdom); all offices worldwide 116. KHAVARMIANEH BANK (a.k.a. Sanctions; Vessel Registration Identification [IRAN]. MIDDLE EAST BANK), No. 22, Second Floor IMO 8517243; MMSI 422143000 (vessel)

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[IRAN] (Linked To: NATIONAL IRANIAN 134. MINES AND METALS ENGINEERING N.I.O.C., Kish, Iran; 10th Floor, Sadaf Tower, TANKER COMPANY). GMBH (a.k.a. ‘‘M.M.E.’’), Georg-Glock-Str. 3, Kish Island, Iran; Additional Sanctions 125. MARJAN PETROCHEMICAL Dusseldorf 40474, Germany; Additional Information—Subject to Secondary COMPANY (a.k.a. MARJAN METHANOL Sanctions Information—Subject to Secondary Sanctions; all offices worldwide [IRAN]. COMPANY), Ground Floor, No. 39, Meftah/ Sanctions; Registration ID HRB 34095 141. N.I.T.C. REPRESENTATIVE OFFICE Garmsar West Alley, Shiraz (South) Street, (Germany); all offices worldwide [IRAN]. (a.k.a. NATIONAL IRANIAN TANKER Molla Sadra Avenue, Tehran, Iran; Post 135. MOBIN PETROCHEMICAL COMPANY), Droogdokweg 71, Rotterdam Office Box 19935–561, Tehran, Iran; COMPANY, South Pars Special Economic 3089 JN, Netherlands; Email Address Additional Sanctions Information—Subject Energy Zone, Postal Box: 75391–418, [email protected]; Additional Sanctions to Secondary Sanctions [IRAN]. Assaluyeh, Bushehr, Iran; PO Box, Mashhad, Information—Subject to Secondary 126. MCS ENGINEERING (a.k.a. Iran; Additional Sanctions Information— Sanctions; Telephone +31 010–4951863; EFFICIENT PROVIDER SERVICES GMBH), Subject to Secondary Sanctions [IRAN]. Telephone +31 10–4360037; Fax +31 10– Karlstrasse 21, Dinslaken, Nordrhein- 136. MODABER (a.k.a. MODABER 4364096 [IRAN] (Linked To: NATIONAL Westfalen 46535, Germany; Additional INVESTMENT COMPANY; a.k.a. TADBIR IRANIAN TANKER COMPANY). Sanctions Information—Subject to Secondary INDUSTRIAL HOLDING COMPANY); 142. NAFTIRAN INTERTRADE CO. (NICO) Sanctions [IRAN]. Additional Sanctions Information—Subject LIMITED (a.k.a. NAFT IRAN INTERTRADE 127. MCS INTERNATIONAL GMBH (a.k.a. to Secondary Sanctions [IRAN]. COMPANY LTD; a.k.a. NAFTIRAN MANNESMAN CYLINDER SYSTEMS; a.k.a. 137. MOHADDES, Seyed Mahmoud; DOB INTERTRADE COMPANY (NICO); a.k.a. MCS TECHNOLOGIES GMBH), Karlstrasse 07 Jun 1957; citizen Iran; Additional NAFTIRAN INTERTRADE COMPANY LTD; 23–25, Dinslaken, Nordrhein-Westfalen Sanctions Information—Subject to Secondary a.k.a. NICO), 41, 1st Floor, International 46535, Germany; website http://www.mcs- Sanctions; Managing Director, Iranian Oil House, The Parade, St Helier JE2 3QQ, Jersey; tch.com; Additional Sanctions Information— Company (U.K.) Ltd. (individual) [IRAN]. Petro Pars Building, Saadat Abad Ave, No 35, Subject to Secondary Sanctions [IRAN]. 138. MOINIE, Mohammad; DOB 04 Jan Farhang Blvd., Tehran, Iran; Additional 128. MEHR IRAN CREDIT UNION BANK 1956; POB Brojerd, Iran; citizen United Sanctions Information—Subject to Secondary (a.k.a. BANK-E GHARZOLHASANEH MEHR Kingdom; Additional Sanctions Sanctions; all offices worldwide [IRAN] IRAN; a.k.a. GHARZOLHASANEH MEHR Information—Subject to Secondary (Linked To: NIOC INTERNATIONAL IRAN BANK), Taleghani St., No.204, Before Sanctions; Passport 301762718 (United AFFAIRS (LONDON) LIMITED). the intersection of Mofateh, across from the Kingdom); Commercial Director, Naftiran 143. NAFTIRAN INTERTRADE CO. (NICO) former U.S. embassy, Tehran, Iran [IRAN]. Intertrade Company Sarl (individual) [IRAN]. SARL (a.k.a. NICO), 6, Avenue de la Tour- 129. MEHRAN SHIPPING COMPANY 139. MONSOON SHIPPING LTD, Care of Haldimand, Pully, VD 1009, Switzerland; LIMITED, Diagoras House, 7th Floor, 16 Sambouk Shipping FCZ, Office 101, 1st Additional Sanctions Information—Subject Panteli Katelari Street, Nicosia 1097, Cyprus; Floor, FITCO Building No 3, Inside Fujairah to Secondary Sanctions; all offices Additional Sanctions Information—Subject Port, PO Box 50044, Fujairah, United Arab worldwide [IRAN]. to Secondary Sanctions; Telephone Emirates; Valletta, Malta; Trust Company 144. NAFTIRAN TRADING SERVICES CO. (357)(22660766); Fax (357)(22668608) [IRAN] Complex, Ajeltake Road, Ajeltake Island, (NTS) LIMITED, 47 Queen Anne Street, (Linked To: NATIONAL IRANIAN TANKER Majuro MH96960, Marshall Islands; London W1G 9JG, United Kingdom; 6th Floor COMPANY). Additional Sanctions Information—Subject NIOC Ho, 4 Victoria St, London SW1H 0NE, 130. MELLAT INSURANCE COMPANY, to Secondary Sanctions [IRAN]. United Kingdom; Additional Sanctions No. 48, Haghani Street, Vanak Square, Before Information—Subject to Secondary Jahan-Kodak Cross, Tehran 1517973913, Iran; 140. MSP KALA NAFT CO. TEHRAN No. 40, Shahid Haghani Express Way, Vanak (a.k.a. KALA NAFT CO SSK; a.k.a. KALA Sanctions; UK Company Number 02600121 Square, Tehran, Iran; No. 9, Niloofar Street, NAFT COMPANY LTD; a.k.a. KALA NAFT (United Kingdom); all offices worldwide Sharabyani Avenue, Taavon Boulevard, TEHRAN; a.k.a. KALA NAFT TEHRAN [IRAN]. Shahr-e-Ziba, Tehran, Iran; 72 Hillview COMPANY; a.k.a. KALAYEH NAFT CO; 145. NAINITAL (f.k.a. MIDSEA; f.k.a. Court, Woking, Surrey GU22 7QW, United a.k.a. M.S.P.-KALA; a.k.a. MOTION; f.k.a. NAJM) (T2DR4) Crude Oil Kingdom; No. 697 Saeeidi Alley, Crossroads MANUFACTURING SUPPORT & Tanker 298,731DWT 156,809GRT None College, Enghelab St., Tehran, Iran; website PROCUREMENT CO.-KALA NAFT; a.k.a. Identified flag; Former Vessel Flag Malta; alt. http://www.mellatinsurance.com; Additional MANUFACTURING SUPPORT AND Former Vessel Flag Tuvalu; alt. Former Sanctions Information—Subject to Secondary PROCUREMENT (M.S.P.) KALA NAFT CO. Vessel Flag Tanzania; Additional Sanctions Sanctions [IRAN]. TEHRAN; a.k.a. MANUFACTURING, Information—Subject to Secondary 131. MERSAD SHIPPING COMPANY SUPPORT AND PROCUREMENT KALA Sanctions; Vessel Registration Identification LIMITED, Diagoras House, 7th Floor, 16 NAFT COMPANY; a.k.a. MSP KALA NAFT IMO 9079092; MMSI 572442210 (vessel) Panteli Katelari Street, Nicosia 1097, Cyprus; TEHRAN COMPANY; a.k.a. MSP [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject KALANAFT; a.k.a. MSP–KALANAFT TANKER COMPANY). to Secondary Sanctions; Telephone COMPANY; a.k.a. SHERKAT SAHAMI 146. NAVARZ (f.k.a. ELITE; f.k.a. NAPOLI; (357)(22660766); Fax (357)(22668608) [IRAN] KHASS KALA NAFT; a.k.a. SHERKAT f.k.a. NOAH; f.k.a. VOYAGER) (T2DQ4) (Linked To: NATIONAL IRANIAN TANKER SAHAMI KHASS POSHTIBANI VA Crude Oil Tanker 298,731DWT 156,809GRT COMPANY). TEHIYEH KALAYE NAFT TEHRAN; a.k.a. Panama flag; Former Vessel Flag Malta; alt. 132. METAL & MINERAL TRADE S.A.R.L. SHERKATE POSHTIBANI SAKHT VA Former Vessel Flag Tuvalu; alt. Former (a.k.a. METAL & MINERAL TRADE (MMT); TAHEIH KALAIE NAFTE TEHRAN), 242 Vessel Flag Tanzania; Additional Sanctions a.k.a. METAL AND MINERAL TRADE Sepahbod Gharani Street, Karim Khan Zand Information—Subject to Secondary (MMT); a.k.a. METAL AND MINERAL Bridge, Corner Kalantari Street, 8th Floor, Sanctions; Vessel Registration Identification TRADE S.A.R.L.; a.k.a. MMT LUXEMBURG; P.O. Box 15815–1775/15815–3446, Tehran IMO 9079078; MMSI 572441210 (vessel) a.k.a. MMT SARL), 11b, Boulevard Joseph II 15988, Iran; Building No. 226, Corner of [IRAN] (Linked To: NATIONAL IRANIAN L–1840, Luxembourg; Additional Sanctions Shahid Kalantari Street, Sepahbod Gharani TANKER COMPANY). Information—Subject to Secondary Avenue, Karimkhan Avenue, Tehran 147. NATIONAL IRANIAN OIL COMPANY Sanctions; Registration ID B 59411 1598844815, Iran; No. 242, Shahid Kalantari (a.k.a. NIOC), Hafez Crossing, Taleghani (Luxembourg); all offices worldwide [IRAN]. St., Near Karimkhan Bridge, Sepahbod Avenue, P.O. Box 1863 and 2501, Tehran, 133. MINAB SHIPPING COMPANY Gharani Avenue, Tehran, Iran; Head Office Iran; National Iranian Oil Company Building, LIMITED (f.k.a. MIGHAT SHIPPING Tehran, Sepahbod Gharani Ave., P.O. Box Taleghani Avenue, Hafez Street, Tehran, Iran; COMPANY LIMITED), Diagoras House, 7th 15815/1775 15815/3446, Tehran, Iran; P.O. website www.nioc.ir; Additional Sanctions Floor, 16 Panteli Katelari Street, Nicosia Box 2965, Sharjah, United Arab Emirates; Information—Subject to Secondary 1097, Cyprus; Additional Sanctions 333 7th Ave SW #1102, Calgary, AB T2P 2Z1, Sanctions; all offices worldwide [IRAN] Information—Subject to Secondary Canada; Chekhov St., 24.2, AP 57, Moscow, [IFCA]. Sanctions; Telephone (357)(22660766); Fax Russia; Room No. 704—No. 10 Chao Waidajie 148. NATIONAL IRANIAN OIL COMPANY (357)(22668608) [IRAN] (Linked To: Chao Yang District, Beijing 10020, China; PTE LTD, 7 Temasek Boulevard #07–02, NATIONAL IRANIAN TANKER COMPANY). Sanaee Ave., P.O. Box 79417–76349, Suntec Tower One 038987, Singapore;

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Additional Sanctions Information—Subject Information—Subject to Secondary BRANCH; a.k.a. PCC SINGAPORE PTE LTD), to Secondary Sanctions; Registration ID Sanctions; Company Number LL08318 78 Shenton Way, #08–02 079120, Singapore; 199004388C (Singapore); all offices [IRAN]. 78 Shenton Way, 26–02A Lippo Centre worldwide [IRAN]. 157. NOURI PETROCHEMICAL 079120, Singapore; Additional Sanctions 149. NATIONAL IRANIAN TANKER COMPANY (a.k.a. BORZUYEH Information—Subject to Secondary COMPANY (a.k.a. NITC), NITC Building, 67– PETROCHEMICAL COMPANY; a.k.a. NOURI Sanctions; Registration ID 199708410K 88, Shahid Atefi Street, Africa Avenue, PETROCHEMICAL COMPLEX), Pars Special (Singapore); all offices worldwide [IRAN]. Tehran, Iran; website www.nitc.co.ir; Email Economic Energy Zone, Assaluyeh Port, 167. PARDIS INVESTMENT COMPANY Address [email protected]; alt. Email Address Bushehr, Iran; Additional Sanctions (a.k.a. SHERKAT-E SARMAYEGOZARI–E [email protected]; Additional Information—Subject to Secondary Sanctions PARDIS), Iran; Unit D4 and C4, 4th Floor, Sanctions Information—Subject to Secondary [IRAN]. Building 29 Africa, Corner of 25th Street, Sanctions; Telephone (98)(21)(66153220); 158. NPC INTERNATIONAL LIMITED Africa Boulevard, Tehran, Iran; Additional Telephone (98)(21)(23803202); Telephone (a.k.a. N P C INTERNATIONAL LTD; a.k.a. Sanctions Information—Subject to Secondary (98)(21)(23803303); Telephone NPC INTERNATIONAL COMPANY), 5th Sanctions [IRAN]. (98)(21)(66153224); Telephone Floor NIOC House, 4 Victoria Street, London 168. PARS MCS (a.k.a. PARS MCS CO.; (98)(21)(23802230); Telephone SW1H 0NE, United Kingdom; Additional a.k.a. PARS MCS COMPANY), 2nd Floor, No. (98)(9121115315); Telephone Sanctions Information—Subject to Secondary 4, Sasan Dead End, Afriqa Avenue, After (98)(9128091642); Telephone Sanctions; UK Company Number 02696754 Esfandiar, Crossroads, Tehran, Iran; No. 5 (98)(9127389031); Fax (98)(21)(22224537); (United Kingdom); all offices worldwide Sasan Alley, Atefi Sharghi St., Afrigha Fax (98)(21)(23803318); Fax [IRAN]. Boulevard, Tehran, Iran; Oshtorjan Industrial (98)(21)(22013392); Fax (98)(21)(22058763) 159. NYOS (f.k.a. BRAWNY; f.k.a. Zone, Zob-e Ahan Highway, Isafahan, Iran; [IRAN] [IFCA]. MARIGOLD; f.k.a. NABI) (T2DS4) Crude Oil website http://www.parsmcs.com; Additional 150. NATIONAL IRANIAN TANKER Tanker 298,731DWT 156,809GRT None Sanctions Information—Subject to Secondary COMPANY LLC (a.k.a. NATIONAL IRANIAN Identified flag; Former Vessel Flag Malta; alt. Sanctions [IRAN]. TANKER COMPANY LLC SHARJAH Former Vessel Flag Tuvalu; alt. Former 169. PARS OIL AND GAS COMPANY BRANCH; a.k.a. NITC SHARJAH), Al Wahda Vessel Flag Tanzania; Additional Sanctions (a.k.a. POGC), No. 133, Side of Parvin Street, Street No. 4, Sharjah, United Arab Information—Subject to Secondary Etesami Alley, opposite Sazman Ab—Dr. Emirates; P.O. Box 3267, Sharjah, United Sanctions; Vessel Registration Identification Fatemi Avenue, Tehran, Iran; No. 1 Parvin Arab Emirates; website http:// IMO 9079080; MMSI 572443210 (vessel) Etesami Street, Fatemi Avenue, Tehran, Iran; nitcsharjah.com/index.html; Additional [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject to Secondary Sanctions [IRAN]. Sanctions Information—Subject to Secondary TANKER COMPANY). 160. OIL INDUSTRY INVESTMENT 170. PARS OIL CO. (a.k.a. PARS OIL; a.k.a. Sanctions; Telephone +97165030600; COMPANY (a.k.a. ‘‘O.I.I.C.’’), No. 83, SHERKAT NAFT PARS SAHAMI AAM), Telephone + 97165749996; Telephone Sepahbod Gharani Street, Tehran, Iran; Iran; No. 346, Pars Oil Company Building, +971506262258; Fax +97165394666; Fax website http://www.oiic-ir.com; Additional Modarres Highway, East Mirdamad +97165746661 [IRAN] (Linked To: Sanctions Information—Subject to Secondary Boulevard, Tehran 1549944511, Iran; Postal NATIONAL IRANIAN TANKER COMPANY). Sanctions [IRAN]. Box 14155–1473, Tehran 159944511, Iran; 151. NATIONAL PETROCHEMICAL 161. OMID REY CIVIL & CONSTRUCTION website http://www.parsoilco.com; COMPANY (a.k.a. ‘‘NPC’’), No. 104, North COMPANY (a.k.a. OMID DEVELOPMENT Additional Sanctions Information—Subject Sheikh Bahaei Blvd., Molla Sadra Ave., AND CONSTRUCTION; a.k.a. OMID REY to Secondary Sanctions [IRAN]. Tehran, Iran; Additional Sanctions CIVIL AND CONSTRUCTION COMPANY; 171. PARS PETROCHEMICAL COMPANY, Information—Subject to Secondary a.k.a. OMID REY RENOVATION AND Pars Special Economic Energy Zone, PO Box Sanctions; all offices worldwide [IRAN]. DEVELOPMENT CO.); website http:// 163–75391, Assaluyeh, Bushehr, Iran; 152. NASHA (f.k.a. NATIVE LAND; f.k.a. www.omidrey.com; Additional Sanctions Additional Sanctions Information—Subject NESA; f.k.a. OCEANIC; f.k.a. TRUTH) Information—Subject to Secondary Sanctions to Secondary Sanctions [IRAN]. (T2DP4) Crude Oil Tanker 298,732DWT [IRAN]. 172. PARS PETROCHEMICAL SHIPPING 156,809GRT Panama flag; Former Vessel Flag 162. ONE CLASS PROPERTIES (PTY) LTD. COMPANY, 1st Floor, No. 19, Shenasa Street, Malta; alt. Former Vessel Flag Tuvalu; alt. (a.k.a. ONE CLASS INCORPORATED), Cape Vali E Asr Avenue, Tehran, Iran; website Former Vessel Flag Tanzania; Additional Town, South Africa; Additional Sanctions www.parsshipping.com; Additional Sanctions Information—Subject to Secondary Information—Subject to Secondary Sanctions Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Identification [IRAN]. Sanctions [IRAN] (Linked To: NATIONAL IMO 9079107; MMSI 572440210 (vessel) 163. ONE VISION INVESTMENTS 5 (PTY) IRANIAN TANKER COMPANY). [IRAN] (Linked To: NATIONAL IRANIAN LTD. (a.k.a. ONE VISION 5), 3rd Floor, 173. PARSAEI, Reza; DOB 09 Aug 1963; TANKER COMPANY). Tygervalley Chambers, Bellville, Cape Town citizen Iran; Additional Sanctions 153. NICO ENGINEERING LIMITED, 41, 7530, South Africa; Canal Walk, P.O. Box 17, Information—Subject to Secondary 1st Floor, International House, The Parade, Century City, Milnerton 7446, South Africa; Sanctions; Director, NIOC International St. Helier JE2 3QQ, Jersey; Additional Additional Sanctions Information—Subject Affairs (London) Ltd. (individual) [IRAN]. Sanctions Information—Subject to Secondary to Secondary Sanctions; Registration ID 174. PASARGAD BANK (a.k.a. BANK-E Sanctions; Registration ID 75797 (Jersey); all 2002/022757/07 (South Africa) [IRAN]. PASARGAD), Valiasr St., Mirdamad St., No. offices worldwide [IRAN]. 164. ONERBANK ZAO (a.k.a. EFTEKHAR 430, Tehran, Iran; SWIFT/BIC BKBPIRTH 154. NIKOUSOKHAN, Mahmoud; DOB 01 BANK; a.k.a. HONOR BANK; a.k.a. [IRAN]. Jan 1961 to 31 Dec 1962; nationality Iran; HONORBANK; a.k.a. HONORBANK ZAO; 175. PERSIA OIL & GAS INDUSTRY Additional Sanctions Information—Subject a.k.a. ONER BANK; a.k.a. ONERBANK; a.k.a. DEVELOPMENT CO. (a.k.a. PERSIA OIL to Secondary Sanctions; Passport U14624657 ONER–BANK), Ulitsa Klary Tsetkin 51, AND GAS INDUSTRY DEVELOPMENT CO.; (Iran); Finance Director, National Iranian Oil Minsk 220004, Belarus; SWIFT/BIC a.k.a. TOSE SANAT-E NAFT VA GAS Company; Director, Hong Kong Intertrade HNRBBY2X; Registration ID 807000227 PERSIA), 7th Floor, No. 346, Mirdamad Company; Director, Petro Suisse Intertrade (Belarus) issued 16 Oct 2009; all offices Avenue, Tehran, Iran; Ground Floor, No. 14, Company (individual) [IRAN]. worldwide [IRAN]. Saba Street, Africa Boulevard, Tehran, Iran; 155. NIOC INTERNATIONAL AFFAIRS 165. FELICITY (f.k.a. LEYCOTHEA; f.k.a. website http://www.pogidc.com; Additional (LONDON) LIMITED, NIOC House, 4 Victoria ORIENTAL) Crude Oil Tanker Panama flag; Sanctions Information—Subject to Secondary Street, London SW1H 0NE, United Kingdom; Former Vessel Flag Panama; Additional Sanctions [IRAN]. Additional Sanctions Information—Subject Sanctions Information—Subject to Secondary 176. PETRO ENERGY INTERTRADE to Secondary Sanctions; UK Company Sanctions; Vessel Registration Identification COMPANY, Dubai, United Arab Emirates; Number 02772297 (United Kingdom); all IMO 9183934 (vessel) [IRAN] (Linked To: Additional Sanctions Information—Subject offices worldwide [IRAN]. NATIONAL IRANIAN TANKER COMPANY). to Secondary Sanctions [IRAN]. 156. NOOR ENERGY (MALAYSIA) LTD., 166. P.C.C. (SINGAPORE) PRIVATE 177. PETRO ROYAL FZE, United Arab Labuan, Malaysia; Additional Sanctions LIMITED (a.k.a. P.C.C. SINGAPORE Emirates; Additional Sanctions

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Information—Subject to Secondary Sanctions 185. PETROPARS UK LIMITED, 47 Queen 196. SADAF PETROCHEMICAL [IRAN]. Anne Street, London W1G 9JG, United ASSALUYEH COMPANY (a.k.a. SADAF 178. PETRO SUISSE INTERTRADE Kingdom; Additional Sanctions ASALUYEH CO.; a.k.a. SADAF CHEMICAL COMPANY SA, 6 Avenue de la Tour- Information—Subject to Secondary ASALUYEH COMPANY; a.k.a. SADAF Haldimand, Pully 1009, Switzerland; Sanctions; UK Company Number 03503060 PETROCHEMICAL ASSALUYEH Additional Sanctions Information—Subject (United Kingdom); all offices worldwide INVESTMENT SERVICE), Assaluyeh, Iran; to Secondary Sanctions [IRAN]. [IRAN]. South Pars Special Economy/Energy Zone, 179. PETROCHEMICAL COMMERCIAL 186. POLINEX GENERAL TRADING LLC, Iran; Additional Sanctions Information— COMPANY (U.K.) LIMITED (a.k.a. PCC (UK); Health Care City, Umm Hurair Rd., Oud Subject to Secondary Sanctions [IRAN]. a.k.a. PCC UK; a.k.a. PCC UK LTD), 4 Victoria Mehta Offices, Block A, 4th Floor 420, Dubai, 197. SERENA (f.k.a. SALALEH; f.k.a. Street, London SW1H 0NE, United Kingdom; United Arab Emirates; Additional Sanctions SONGBIRD; a.k.a. YARD NO. 1224 Additional Sanctions Information—Subject Information—Subject to Secondary Sanctions SHANGHAI WAIGAOQIAO) Crude Oil to Secondary Sanctions; UK Company [IRAN]. Tanker 318,000DWT 165,000GRT Panama Number 02647333 (United Kingdom); all 187. POLYNAR COMPANY, No. 58, St. 14, flag; Former Vessel Flag Malta; Additional offices worldwide [IRAN]. Qanbarzadeh Avenue, Resalat Highway, Sanctions Information—Subject to Secondary 180. PETROCHEMICAL COMMERCIAL Tehran, Iran; website http:// Sanctions; Vessel Registration Identification COMPANY FZE (a.k.a. PCC FZE), 1703, 17th www.polynar.com; Additional Sanctions IMO 9569645 (vessel) [IRAN] (Linked To: Floor, Dubai World Trade Center Tower, Information—Subject to Secondary Sanctions NATIONAL IRANIAN TANKER COMPANY). Sheikh Zayed Road, Dubai, United Arab [IRAN]. 198. SAMAN BANK (a.k.a. BANK–E Emirates; Office No. 99–A, Maker Tower ‘‘F’’ 188. POURANSARI, Hashem; nationality SAMAN), Vali Asr. St. No. 3, Before Vey Park 9th Floor Cutte Pavade, Colabe, Mumbai Iran; Additional Sanctions Information— intersection, corner of Tarakesh Dooz St., 700005, India; Additional Sanctions Subject to Secondary Sanctions; Passport Tehran, Iran; SWIFT/BIC SABCIRTH [IRAN]. Information—Subject to Secondary B19488852 (Iran); Managing Director, Asia 199. SAMAN SHIPPING COMPANY Sanctions; all offices worldwide [IRAN]. Energy General Trading (individual) [IRAN]. LIMITED, Diagoras House, 7th Floor, 16 181. PETROCHEMICAL COMMERCIAL 189. PROTON PETROCHEMICALS Panteli Katelari Street, Nicosia 1097, Cyprus; COMPANY INTERNATIONAL (a.k.a. SHIPPING LIMITED (a.k.a. PROTON Additional Sanctions Information—Subject PETROCHEMICAL COMMERCIAL SHIPPING CO; a.k.a. ‘‘PSC’’), Diagoras House, to Secondary Sanctions; Telephone COMPANY INTERNATIONAL LIMITED; 7th Floor, 16 Panteli Katelari Street, Nicosia (357)(22660766); Fax (357)(22668608) [IRAN] a.k.a. PETROCHEMICAL COMMERCIAL 1097, Cyprus; Additional Sanctions (Linked To: NATIONAL IRANIAN TANKER COMPANY INTERNATIONAL LTD; a.k.a. Information—Subject to Secondary COMPANY). PETROCHEMICAL TRADING COMPANY Sanctions; Telephone (357)(22660766); Fax 200. SAMBOUK SHIPPING FZC, FITCO LIMITED; a.k.a. ‘‘PCCI’’), 41, 1st Floor, (357)(22668608) [IRAN] (Linked To: Building No. 3, Office 101, 1st Floor, P.O. NATIONAL IRANIAN TANKER COMPANY). International House, The Parade, St. Helier Box 50044, Fujairah, United Arab Emirates; JE2 3QQ, Jersey; Ave. 54, Yimpash Business 190. REY INVESTMENT COMPANY, 2nd Office 1202, Crystal Plaza, PO Box 50044, Center, No. 506, 507, Ashkhabad 744036, and 3rd Floors, No. 14, Saba Boulevard, After Buhaira Corniche, Sharjah, United Arab Turkmenistan; P.O. Box 261539, Jebel Ali, Esfandiar Crossroad, Africa Boulevard, Emirates; Additional Sanctions Dubai, United Arab Emirates; No. 21 End of Tehran 1918973657, Iran; website http:// Information—Subject to Secondary Sanctions 9th St, Gandi Ave, Tehran, Iran; 21, Africa www.rey-co.com; Additional Sanctions [IRAN]. Boulevard, Tehran, Iran; Additional Information—Subject to Secondary Sanctions 201. SANCHI (f.k.a. GARDENIA; f.k.a. Sanctions Information—Subject to Secondary [IRAN]. Sanctions; Registration ID 77283 (Jersey); all 191. REY NIRU ENGINEERING COMPANY SEAHORSE; f.k.a. SEPID) (T2EF4) Crude Oil offices worldwide [IRAN]. (a.k.a. REY NIROO ENGINEERING Tanker 164,154DWT 85,462GRT None 182. PETROIRAN DEVELOPMENT COMPANY); website http:// Identified flag; Former Vessel Flag Malta; alt. COMPANY (PEDCO) LIMITED (a.k.a. PETRO www.reyniroo.com; Additional Sanctions Former Vessel Flag Tuvalu; alt. Former IRAN DEVELOPMENT COMPANY; a.k.a. Information—Subject to Secondary Sanctions Vessel Flag Tanzania; Additional Sanctions ‘‘PEDCO’’), 41, 1st Floor, International [IRAN]. Information—Subject to Secondary House, The Parade, St. Helier JE2 3QQ, 192. REYCO GMBH. (a.k.a. REYCO GMBH Sanctions; Vessel Registration Identification Jersey; National Iranian Oil Company— GERMANY), Karlstrasse 19, Dinslaken, IMO 9356608; MMSI 572455210 (vessel) PEDCO, P.O. Box 2965, Al Bathaa Tower, 9th Nordrhein-Westfalen 46535, Germany; [IRAN] (Linked To: NATIONAL IRANIAN Floor, Apt. 905, Al Buhaira Corniche, Additional Sanctions Information—Subject TANKER COMPANY). Sharjah, United Arab Emirates; P.O. Box to Secondary Sanctions [IRAN]. 202. SARDASHT (EQKG) Landing Craft 15875–6731, Tehran, Iran; No. 22, 7th Lane, 193. RISHMAK PRODUCTIVE & EXPORTS 640DWT 478GRT Iran flag; Additional Khalid Eslamboli Street, Shahid Beheshti COMPANY (a.k.a. RISHMAK COMPANY; Sanctions Information—Subject to Secondary Avenue, Tehran, Iran; No. 102, Next to a.k.a. RISHMAK EXPORT AND Sanctions; Vessel Registration Identification Shahid Amir Soheil Tabrizian Alley, Shahid MANUFACTURING P.J.S.; a.k.a. RISHMAK IMO 8517231; MMSI 422142000 (vessel) Dastgerdi (Ex Zafar) Street, Shariati Street, PRODUCTION AND EXPORT COMPANY; [IRAN] (Linked To: NATIONAL IRANIAN Tehran 19199/45111, Iran; Kish Harbour, a.k.a. RISHMAK PRODUCTIVE AND TANKER COMPANY). Bazargan Ferdos Warehouses, Kish Island, EXPORTS COMPANY; a.k.a. SHERKAT-E 203. SARMAYEH BANK (a.k.a. BANK-E Iran; Additional Sanctions Information— TOLID VA SADERAT-E RISHMAK), Rishmak SARMAYEH), Sepahod Gharani No. 24, Subject to Secondary Sanctions; Registration Cross Rd., 3rd Km. of Amir Kabir Road, Corner of Arak St., Tehran, Iran [IRAN]. ID 67493 (Jersey); all offices worldwide Shiraz 71365, Iran; Additional Sanctions 204. SARV SHIPPING COMPANY [IRAN]. Information—Subject to Secondary Sanctions LIMITED, 198 Old Bakery Street, Valletta 183. PETROPARS INTERNATIONAL FZE [IRAN]. VLT 1455, Malta; Additional Sanctions (a.k.a. PPI FZE), P.O. Box 72146, Dubai, 194. ROYAL ARYA CO. (a.k.a. ARIA Information—Subject to Secondary United Arab Emirates; Additional Sanctions ROYAL CONSTRUCTION COMPANY), Iran; Sanctions; Telephone (356)(21241232) Information—Subject to Secondary Additional Sanctions Information—Subject [IRAN] (Linked To: NATIONAL IRANIAN Sanctions; all offices worldwide [IRAN]. to Secondary Sanctions [IRAN]. TANKER COMPANY). 184. PETROPARS LTD. (a.k.a. 195. SILVIA I (f.k.a. MAGNOLIA; f.k.a. 205. SEPID SHIPPING COMPANY PETROPARS LIMITED; a.k.a. ‘‘PPL’’), No. 35, SABRINA; f.k.a. SARVESTAN) (5IM590) LIMITED, 198 Old Bakery Street, Valletta Farhang Blvd., Saadat Abad, Tehran, Iran; Crude Oil Tanker 159,711DWT 81,479GRT VLT 1455, Malta; Additional Sanctions Calle La Guairita, Centro Profesional Panama flag; Former Vessel Flag Malta; alt. Information—Subject to Secondary Eurobuilding, Piso 8, Oficina 8E, Chuao, Former Vessel Flag Tanzania; Additional Sanctions; Telephone (356)(21241232) Caracas 1060, Venezuela; P.O. Box 3136, Sanctions Information—Subject to Secondary [IRAN] (Linked To: NATIONAL IRANIAN Road Town, Tortola, Virgin Islands, British; Sanctions; Vessel Registration Identification TANKER COMPANY). Additional Sanctions Information—Subject IMO 9172052; MMSI 677049000 (vessel) 206. SEYYEDI, Seyed Nasser Mohammad; to Secondary Sanctions; all offices [IRAN] (Linked To: NATIONAL IRANIAN DOB 21 Apr 1963; citizen Iran; Additional worldwide [IRAN]. TANKER COMPANY). Sanctions Information—Subject to Secondary

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Sanctions; Passport B14354139 (Iran); alt. Additional Sanctions Information—Subject SUNSHINE; a.k.a. YARD NO. 1220 Passport L18507193 (Iran); alt. Passport to Secondary Sanctions; Vessel Registration SHANGHAI WAIGAOQIAO) Crude Oil X95321252 (Iran); Managing Director, Sima Identification IMO 9569657 (vessel) [IRAN] Tanker 318,000DWT 165,000GRT Panama General Trading (individual) [IRAN]. (Linked To: NATIONAL IRANIAN TANKER flag; Former Vessel Flag Tuvalu; alt. Former 207. SHAHID TONDGOOYAN COMPANY). Vessel Flag Malta; alt. Former Vessel Flag PETROCHEMICAL COMPANY (a.k.a. 216. STARK I (f.k.a. CLOVE; f.k.a. Tanzania; Additional Sanctions SHAHID TONDGUYAN PETROCHEMICAL SEMNAN; f.k.a. SPARROW) (5IM 595) Crude Information—Subject to Secondary COMPANY), Petrochemical Special Oil Tanker 159,681DWT 81,479GRT Panama Sanctions; Vessel Registration Identification Economic Zone (PETZONE), Iran; Additional flag; Former Vessel Flag Malta; alt. Former IMO 9569205 (vessel) [IRAN] (Linked To: Sanctions Information—Subject to Secondary Vessel Flag Tanzania; Additional Sanctions NATIONAL IRANIAN TANKER COMPANY). Sanctions [IRAN]. Information—Subject to Secondary 224. SINOPA (f.k.a. DAISY; f.k.a. 208. SHAZAND PETROCHEMICAL Sanctions; Vessel Registration Identification SUPERIOR; f.k.a. SUSANGIRD) (5IM584) COMPANY (a.k.a. AR.P.C.; a.k.a. ARAK IMO 9171450; MMSI 677049500 (vessel) Crude Oil Tanker 159,681DWT 81,479GRT PETROCHEMICAL COMPANY; a.k.a. [IRAN] (Linked To: NATIONAL IRANIAN Panama flag; Former Vessel Flag Malta; alt. SHAZAND PETROCHEMICAL TANKER COMPANY). Former Vessel Flag Tanzania; Additional CORPORATION), No. 68, Taban St., Vali Asr 217. SALINA (f.k.a. BLACKSTONE; f.k.a. Sanctions Information—Subject to Secondary Ave., Tehran, Iran; Additional Sanctions SARV; f.k.a. SPLENDOUR) (9HNZ9) Crude Sanctions; Vessel Registration Identification Information—Subject to Secondary Sanctions Oil Tanker 163,870DWT 85,462GRT Panama IMO 9172038; MMSI 677048400 (vessel) [IRAN]. flag; Former Vessel Flag Malta; alt. Former [IRAN] (Linked To: NATIONAL IRANIAN 209. ARTAVIL (f.k.a. ABADAN; f.k.a. Vessel Flag Tuvalu; alt. Former Vessel Flag TANKER COMPANY). ALPHA; f.k.a. SHONA) (T2EU4) Crude/Oil Seychelles; Additional Sanctions 225. SOL (f.k.a. CAMELLIA; f.k.a. SAVEH; Products Tanker 99,144DWT 56,068GRT Iran Information—Subject to Secondary f.k.a. SWALLOW) (5IM 594) Crude Oil flag; Former Vessel Flag Malta; alt. Former Sanctions; Vessel Registration Identification Tanker 159,758DWT 81,479GRT Panama flag; Vessel Flag Tuvalu; alt. Former Vessel Flag IMO 9357377; MMSI 249257000 (vessel) Former Vessel Flag Malta; alt. Former Vessel None Identified; alt. Former Vessel Flag [IRAN] (Linked To: NATIONAL IRANIAN Flag Tanzania; Additional Sanctions Tanzania; Additional Sanctions TANKER COMPANY). Information—Subject to Secondary Information—Subject to Secondary 218. SABITI (f.k.a. LANTANA; f.k.a. Sanctions; Vessel Registration Identification Sanctions; Vessel Registration Identification SANANDAJ; f.k.a. SPOTLESS) (5IM591) IMO 9171462; MMSI 677049400 (vessel) IMO 9187629; MMSI 572469210 (vessel) Crude Oil Tanker 159,681DWT 81,479GRT [IRAN] (Linked To: NATIONAL IRANIAN [IRAN] (Linked To: NATIONAL IRANIAN Panama flag; Former Vessel Flag Malta; alt. TANKER COMPANY). 226. SWISS MANAGEMENT SERVICES TANKER COMPANY). Former Vessel Flag Tanzania; Additional SARL, 28C, Route de Denges, Lonay 1027, 210. ARGO I (f.k.a. AMOL; a.k.a. ARGO 1; Sanctions Information—Subject to Secondary Switzerland; Additional Sanctions f.k.a. CASTOR; f.k.a. CHRISTINA; f.k.a. Sanctions; Vessel Registration Identification Information—Subject to Secondary Sanctions SILVER CLOUD) (T2EM4) Crude/Oil IMO 9172040; MMSI 677049100 (vessel) [IRAN]. Products Tanker 99,094DWT 56,068GRT [IRAN] (Linked To: NATIONAL IRANIAN 227. SYNERGY GENERAL TRADING FZE, Panama flag; Former Vessel Flag Malta; alt. TANKER COMPANY). Sharjah—Saif Zone, Sharjah Airport Former Vessel Flag Tuvalu; alt. Former 219. SANA (f.k.a. BAIKAL; f.k.a. International Free Zone, United Arab Vessel Flag Tanzania; Additional Sanctions BLOSSOM; f.k.a. SIMA; f.k.a. SUCCESS) Emirates; Additional Sanctions Information—Subject to Secondary (T2DY4) Crude Oil Tanker 164,154DWT Information—Subject to Secondary Sanctions Sanctions; Vessel Registration Identification 85,462GRT Panama flag; Former Vessel Flag [IRAN]. IMO 9187667; MMSI 256843000 (vessel) Malta; alt. Former Vessel Flag Tuvalu; alt. 228. TABATABAEI, Seyyed Mohammad [IRAN] (Linked To: NATIONAL IRANIAN Former Vessel Flag Tanzania; Additional Ali Khatibi; DOB 27 Sep 1955; citizen Iran; TANKER COMPANY). Sanctions Information—Subject to Secondary Additional Sanctions Information—Subject 211. SIMA GENERAL TRADING CO FZE Sanctions; Vessel Registration Identification to Secondary Sanctions; Director, NIOC (a.k.a. SIMA GENERAL TRADING & IMO 9357353; MMSI 572449210 (vessel) International Affairs (London) Ltd.; Director INDUSTRIALS FOR BUILDING MATERIAL [IRAN] (Linked To: NATIONAL IRANIAN of International Affairs, NIOC (individual) CO FZE), Office No. 703 Office Tower, Twin TANKER COMPANY). [IRAN]. Tower, Baniyas Rd., Deira, P.O. Box 49754, 220. ARK (f.k.a. ABADEH; f.k.a. CRYSTAL; 229. TABRIZ PETROCHEMICAL Dubai, United Arab Emirates; Additional f.k.a. SUNDIAL) (9HDQ9) Crude/Oil Products COMPANY, Off Km 8, Azarshahr Road, Sanctions Information—Subject to Secondary Tanker 99,030DWT 56,068GRT Panama flag; Kojuvar Road, Tabriz, Iran; Additional Sanctions [IRAN]. Former Vessel Flag Malta; alt. Former Vessel Sanctions Information—Subject to Secondary 212. SIMA SHIPPING COMPANY Flag Tanzania; Additional Sanctions Sanctions [IRAN]. LIMITED, 198 Old Bakery Street, Valletta Information—Subject to Secondary 230. TADBIR BROKERAGE COMPANY VLT 1455, Malta; Additional Sanctions Sanctions; Vessel Registration Identification (a.k.a. SHERKAT-E KARGOZARI-E Information—Subject to Secondary IMO 9187655; MMSI 256842000 (vessel) TADBIRGARAN-E FARDA; a.k.a. Sanctions; Telephone (356)(21241232) [IRAN] (Linked To: NATIONAL IRANIAN TADBIRGARAN FARDA BROKERAGE [IRAN] (Linked To: NATIONAL IRANIAN TANKER COMPANY). COMPANY; a.k.a. TADBIRGARAN-E FARDA TANKER COMPANY). 221. SONIA I (f.k.a. AZALEA; f.k.a. SINA; BROKERAGE COMPANY; a.k.a. 213. SINA SHIPPING COMPANY f.k.a. SUNEAST) (9HNY9) Crude Oil Tanker TADBIRGARANE FARDA MERCANTILE LIMITED, 198 Old Bakery Street, Valletta 164,154DWT 85,462GRT Panama flag; EXCHANGE CO.), Unit C2, 2nd Floor, VLT 1455, Malta; Additional Sanctions Former Vessel Flag Malta; alt. Former Vessel Building No. 29, Corner of 25th Street, After Information—Subject to Secondary Flag Tuvalu; alt. Former Vessel Flag None Jahan Koudak, Cross Road Africa Street, Sanctions; Telephone (356)(21241232) Identified; alt. Former Vessel Flag Seychelles; Tehran 15179, Iran; website http:// [IRAN] (Linked To: NATIONAL IRANIAN Additional Sanctions Information—Subject www.tadbirbroker.com; Additional Sanctions TANKER COMPANY). to Secondary Sanctions; Vessel Registration Information—Subject to Secondary Sanctions 214. DORENA (f.k.a. SKYLINE) (5IM632) Identification IMO 9357365; MMSI [IRAN]. Crude Oil Tanker Panama flag (NITC); 249256000 (vessel) [IRAN] (Linked To: 231. TADBIR CONSTRUCTION Former Vessel Flag Tanzania; Additional NATIONAL IRANIAN TANKER COMPANY). DEVELOPMENT COMPANY (a.k.a. GORUH- Sanctions Information—Subject to Secondary 222. MARIA III (f.k.a. SUNRISE) LPG E TOSE-E SAKHTEMAN-E TADBIR; a.k.a. Sanctions; Vessel Registration Identification Tanker Panama flag (NITC); Additional TADBIR BUILDING EXPANSION GROUP; IMO 9569669 (vessel) [IRAN] (Linked To: Sanctions Information—Subject to Secondary a.k.a. TADBIR HOUSING DEVELOPMENT NATIONAL IRANIAN TANKER COMPANY). Sanctions; Vessel Registration Identification GROUP), Block 1, Mehr Passage, 4th Street, 215. SEA CLIFF (f.k.a. SMOOTH; a.k.a. IMO 9615092 (vessel) [IRAN] (Linked To: Iran Zamin Boulevard, Shahrak Qods, YARD NO. 1225 SHANGHAI WAIGAOQIAO) NATIONAL IRANIAN TANKER COMPANY). Tehran, Iran; Additional Sanctions Crude Oil Tanker 318,000DWT 165,000GRT 223. SEA STAR III (f.k.a. CARNATION; Information—Subject to Secondary Sanctions Panama flag; Former Vessel Flag Malta; f.k.a. SAFE; a.k.a. SEASTAR III; f.k.a. [IRAN].

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232. TADBIR ECONOMIC DEVELOPMENT Mirdamad Blvd., North East Corner of IMO 8212465 (vessel) [IRAN] (Linked To: GROUP (a.k.a. TADBIR GROUP), 16 Avenue Mirdamad Bridge, No. 271, Tehran, Iran NATIONAL IRANIAN TANKER COMPANY). Bucharest, Tehran, Iran; Additional [IRAN]. 246. YOUSEF (EQOG) Offshore Tug/ Sanctions Information—Subject to Secondary 240. TOURISM BANK (a.k.a. BANK-E Supply Ship 1,050DWT 584GRT Iran flag; Sanctions [IRAN]. GARDESHGARI), Vali Asr St., above Vey Additional Sanctions Information—Subject 233. TADBIR ENERGY DEVELOPMENT Park, Shahid Fiazi St., No. 51, first floor, to Secondary Sanctions; Vessel Registration GROUP CO., 6th Floor, Mirdamad Avenue, Tehran, Iran [IRAN]. Identification IMO 8316106; MMSI No. 346, Tehran, Iran; website http:// 241. VALFAJR2 (EQOX) Tug 650DWT 422144000 (vessel) [IRAN] (Linked To: www.tadbirenergy.com; Additional Sanctions 419GRT Iran flag; Additional Sanctions NATIONAL IRANIAN TANKER COMPANY). Information—Subject to Secondary Information—Subject to Secondary Sanctions 247. ZARIN RAFSANJAN CEMENT [IRAN]. Sanctions; Vessel Registration Identification COMPANY (a.k.a. RAFSANJAN CEMENT 234. TADBIR INVESTMENT COMPANY, IMO 8400103 (vessel) [IRAN] (Linked To: COMPANY; a.k.a. ZARRIN RAFSANJAN Tehran, Iran; Additional Sanctions NATIONAL IRANIAN TANKER COMPANY). Information—Subject to Secondary Sanctions 242. WEST SUN TRADE GMBH (a.k.a. CEMENT COMPANY), 2nd Floor, No. 67, [IRAN]. WEST SUN TRADE), Winterhuder Weg 8, North Sindokht Street, West Dr. Fatemi 235. TAT BANK (a.k.a. BANK-E TAT), Hamburg 22085, Germany; Arak Machine Avenue, Tehran 1411953943, Iran; website Shahid Ahmad Ghasir (Bocharest), Shahid Mfg. Bldg., 2nd Floor, opp. of College http://www.zarrincement.com; Additional Ahmadian (15th) St., No. 1, Tehran, Iran; No. Economy, Northern Kargar Ave., Tehran Sanctions Information—Subject to Secondary 1 Ahmadian Street, Bokharest Avenue, 14136, Iran; Mundsburger Damm 16, Sanctions [IRAN]. Tehran, Iran; SWIFT/BIC TATBIRTH [IRAN]. Hamburg 22087, Germany; Additional 248. HERO II (f.k.a. HADI; f.k.a. PIONEER; 236. TC SHIPPING COMPANY LIMITED, Sanctions Information—Subject to Secondary f.k.a. ZEUS) (T2EJ4) Crude Oil Tanker Diagoras House, 7th Floor, 16 Panteli Katelari Sanctions; Registration ID HRB 45757 317,355DWT 163,650GRT Panama flag; Street, Nicosia 1097, Cyprus; Additional (Germany); all offices worldwide [IRAN]. Former Vessel Flag Cyprus; alt. Former Sanctions Information—Subject to Secondary 243. YAGHOUB (EQOE) Platform Supply Vessel Flag Tuvalu; Additional Sanctions Sanctions; Telephone (357)(22660766); Fax Ship 950DWT 1,019GRT Iran flag; Additional Information—Subject to Secondary (357)(22668608) [IRAN] (Linked To: Sanctions Information—Subject to Secondary Sanctions; Vessel Registration Identification NATIONAL IRANIAN TANKER COMPANY). Sanctions; Vessel Registration Identification IMO 9362073; MMSI 572459210 (vessel) 237. TOLOU (EQOD) Crew/Supply Vessel IMO 8316168; MMSI 422150000 (vessel) [IRAN] (Linked To: NATIONAL IRANIAN 250DWT 178GRT Iran flag; Additional [IRAN] (Linked To: NATIONAL IRANIAN TANKER COMPANY). Sanctions Information—Subject to Secondary TANKER COMPANY). 249. ZIRACCHIAN ZADEH, Mahmoud; Sanctions; Vessel Registration Identification 244. YANGZHOU DAYANG DY905 (a.k.a. DOB 24 Jul 1959; citizen Iran; Additional IMO 8318178 (vessel) [IRAN] (Linked To: YARD NO. DY905 YANGZHOU D.) LPG Sanctions Information—Subject to Secondary NATIONAL IRANIAN TANKER COMPANY). Tanker 11,750DWT 8,750GRT Iran flag; Sanctions; Director, Iranian Oil Company 238. TOSEE EQTESAD AYANDEHSAZAN Additional Sanctions Information—Subject (U.K.) Ltd. (individual) [IRAN]. COMPANY (a.k.a. TEACO; a.k.a. TOSEE to Secondary Sanctions; Vessel Registration EGHTESAD AYANDEHSAZAN COMPANY), Identification IMO 9575424 (vessel) [IRAN] Dated: March 26, 2020. 39 Gandhi Avenue, Tehran 1517883115, Iran; (Linked To: NATIONAL IRANIAN TANKER Andrea M. Gacki, Additional Sanctions Information—Subject COMPANY). Director, Office of Foreign Assets Control, to Secondary Sanctions [IRAN]. 245. YOUNES (EQYY) Platform Supply U.S. Department of the Treasury. 239. TOSEE TAAVON BANK (a.k.a. Ship Iran flag; Additional Sanctions BANK-E TOSE’E TA’AVON; a.k.a. Information—Subject to Secondary [FR Doc. 2020–06652 Filed 3–31–20; 8:45 am] COOPERATIVE DEVELOPMENT BANK), Sanctions; Vessel Registration Identification BILLING CODE 4810–AL–P

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Part III

National Labor Relations Board

29 CFR Part 103 Representation—Case Procedures: Election Bars; Proof of Majority Support in Construction-Industry Collective-Bargaining Relationships; Final Rule

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NATIONAL LABOR RELATIONS of employees’’ in an appropriate required to prove that an employer and BOARD bargaining unit; 2 and promoting labor- a labor organization in the construction relations stability.3 As discussed further industry have established a voluntary 29 CFR Part 103 below, Section 8(f) allows ‘‘an employer majority-supported collective- RIN 3142–AA16 engaged primarily in the building and bargaining relationship that could bar construction industry to make an an election. Under the Board’s current Representation—Case Procedures: agreement covering’’ certain employees practice, certain contract language, Election Bars; Proof of Majority ‘‘with a labor organization of which standing alone, is sufficient to prove Support in Construction-Industry building and construction employees such a relationship. The proposed Collective-Bargaining Relationships are members,’’ even if it has not been amendment would require positive established that the labor organization evidence that the union unequivocally AGENCY: National Labor Relations represents a majority of the employees demanded recognition as the majority- Board. that it represents.4 In addition, while it supported exclusive bargaining ACTION: Final rule. is well established that the Act permits representative of employees in an voluntary recognition of labor appropriate bargaining unit, and that the SUMMARY: As part of ongoing efforts to organizations, the Act also requires the employer unequivocally accepted it as more effectively administer the National Board—when the necessary such, based on a contemporaneous Labor Relations Act (the Act or the prerequisites are met—to direct and showing of support from a majority of NLRA) and to further the purposes of conduct secret-ballot elections and employees in an appropriate unit. the Act, the National Labor Relations certify the results thereof.5 Board (the Board or the NLRB) hereby 2. Reasons for Rulemaking makes three amendments to its rules B. Notice of Proposed Rulemaking In the NPRM, the Board and regulations governing the filing and (NPRM) acknowledged that it historically has processing of petitions for a Board- On August 12, 2019, the Board issued made most substantive policy conducted representation election and the NPRM. The Board set an initial determinations through case proof of majority support in comment period of 60 days, with 14 adjudication, but stated that it construction-industry collective- additional days allotted for reply interpreted section 6 of the Act, 29 bargaining relationships. The comments. Thereafter, the Board U.S.C. 156, as authorizing the Board to amendments effect changes in current extended these deadlines twice: First for engage in this informal notice-and- procedures that have not previously 60 days, and then for an additional 30 comment rulemaking. In addition, the been incorporated in the Board’s rules. days. Various aspects of the NPRM are Board found that using such rulemaking The Board believes that the summarized below. in this context was desirable because (1) amendments made in this final rule will it would enable the Board to solicit better protect employees’ statutory right 1. Summary of the Proposed Rule broad public comment on, and to of free choice on questions concerning In the NPRM, the Board proposed to address in a single proceeding, three representation by removing unnecessary make three amendments to its current related election-bar issues that would barriers to the fair and expeditious practices. The first amendment, not likely arise in the adjudication of a resolution of such questions through the § 103.20, proposed to modify the single case; (2) rulemaking does not preferred means of a Board-conducted Board’s current practices that permit a depend on the participation and secret-ballot election. party to block an election based on argument of parties in a specific case, DATES: This rule will be effective on pending unfair labor practice charges. and it cannot be mooted by June 1, 2020. The proposed amendment provided that developments in a pending case; and (3) FOR FURTHER INFORMATION CONTACT: a blocking charge would not delay the by establishing the new standards in its Roxanne L. Rothschild, Executive conduct of the election and that the Rules and Regulations, the Board would Secretary, National Labor Relations ballots would be impounded until there enable employers, unions, and Board, 1015 Half Street SE, Washington, is a final determination regarding the employees to plan their affairs free from DC 20570–0001, (202) 273–1940 (this is charge and its effect, if any, on the the uncertainty that the legal regime not a toll-free number), 1–866–315–6572 election petition or the fairness of the may change on a moment’s notice (and (TTY/TDD). election. possibly retroactively) through the adjudication process. SUPPLEMENTARY INFORMATION: The second amendment, § 103.21(a), proposed to modify the Board’s existing 3. Reasons for Proposed Changes to I. Background procedures providing for an immediate Blocking-Charge Policy A. The Act election bar following an employer’s As discussed in greater detail in the voluntary recognition of a union as the The NLRA sets forth a number of NPRM, through adjudication the Board majority-supported collective- rights and responsibilities that apply to created the blocking-charge policy, bargaining representative of the employers, employees, and labor which permits a party to block an employer’s employees. The proposed organizations representing employees, election indefinitely by filing unfair amendment provided for a post- in furtherance of the Act’s overarching labor practice charges that allegedly recognition open period of 45 days goals of protecting employees’ right to create doubt as to the validity of an within which election petitions could designate or select ‘‘representatives of election petition or the ability of be filed and processed. their own choosing,’’ or to refrain from employees to make a free and fair choice The third amendment, § 103.22(b), doing so; 1 ensuring that, except in concerning representation while the proposed to redefine the evidence situations covered by Section 8(f) of the charges remain unresolved. This policy Act, exclusive representatives are can preclude holding the petitioned-for 2 Sec. 9(a) of the Act, 29 U.S.C. 159(a). ‘‘designated or selected for the purposes 3 Sec. 1 of the Act, 29 U.S.C. 151. election for months or even years, if at of collective bargaining by the majority 4 Sec. 8(f) of the Act, 29 U.S.C. 158(f). all. See, e.g., Cablevision Systems Corp., 5 Sec. 9(c)(1)(B) of the Act, 29 U.S.C. 159(c)(1)(B); Case 29–RD–138839, https:// 1 Sec. 7 of the Act, 29 U.S.C. 157. Sec. 9(e) of the Act, 29 U.S.C. 159(e). www.nlrb.gov/case/29-RD-138839 (as

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noted by Cablevision Systems Corp., 367 momentum, and many of the employees 4. Reasons for Proposed Changes to NLRB No. 59 (2018), blocking charge ultimately voting on the issue of Voluntary-Recognition Bar followed by regional director’s representation may not even be the As discussed in greater detail in the misapplication of settlement-bar same as those who were in the NPRM, employers may voluntarily doctrine delayed processing until workforce when the petition was filed. recognize unions based on a union’s December 19, 2018, of valid Additionally, the Board stated, the showing of majority support; a Board decertification (RD) petition filed on blocking-charge policy rests on a election is not required. NLRB v. Gissel October 16, 2014; employee petitioner presumption that even an unlitigated Packing Co., 395 U.S. 575, 595–600 thereafter withdrew petition). and unproven allegation of any one of (1969); United Mine Workers of America As the Board noted, and as discussed a broad range of unfair labor practices v. Arkansas Oak Flooring Co., 351 U.S. further in Section III.E. below, courts of justifies indefinite delay because of a 62, 72 fn. 8 (1956). Over time, the Board appeals have criticized the blocking- discretionary administrative developed a rule that an employer’s charge policy’s adverse impacts on determination regarding the potential voluntary recognition of a union would employee RD petitions, as well as the impact of the alleged misconduct on immediately bar the filing of an election potential for abuse and manipulation of employees’ ability to cast a free and that policy by incumbent unions petition for a reasonable period of time uncoerced vote on the question of following recognition. See Sound seeking to avoid a challenge to their representation. Moreover, the current representative status. See NLRB v. Hart Contractors Assn., 162 NLRB 364 policy of holding petitions in abeyance (1966). Then, if the parties reached a Beverage Co., 445 F.2d 415, 420 (8th Cir. for certain pre-petition ‘‘Type I’’ 1971); Templeton v. Dixie Color Printing collective-bargaining agreement during blocking charges 6 ‘‘represents an Co., 444 F.2d 1064, 1069 (5th Cir. 1971); that reasonable period, the Board’s anomalous situation in which some NLRB v. Midtown Serv. Co., 425 F.2d contract-bar doctrine would continue to conduct that would not be found to 665, 672 (2d Cir. 1970); NLRB v. Minute bar election petitions for the duration of interfere with employee free choice if Maid Corp., 283 F.2d 705, 710 (5th Cir. the agreement, up to a maximum limit alleged in objections [to an election], 1960); Pacemaker Corp. v. NLRB, 260 of 3 years. See General Cable Corp., 139 F.2d 880, 882 (7th Cir. 1958). because it occurs outside the critical NLRB 1123, 1125 (1962). The potential for delay is the same election period, would nevertheless be In Dana Corp., 351 NLRB 434 (2007), when employees, instead of filing an RD the basis for substantially delaying a Board majority found that the existing petition, have otherwise expressed to holding any election at all.’’ immediate voluntary-recognition-bar their employer a desire to decertify an Representation—Case Procedures, 79 FR policy ‘‘should be modified to provide incumbent union representative. In that 74308, 74456 (Dec. 15, 2014) (2015 greater protection for employees’ circumstance, the blocking-charge Election Rule) (Dissenting Views of statutory right of free choice and to give policy can prevent the employer from Members Miscimarra and Johnson) proper effect to the court- and Board- being able to seek a timely Board- (citing Ideal Electric Mfg. Co., 134 NLRB recognized statutory preference for conducted election to resolve the 1275 (1961)). resolving questions concerning question concerning representation For these reasons, in the NPRM the representation through a Board secret- raised by evidence of good-faith Board proposed, subject to comments, to ballot election.’’ Id. at 437. Thus, the uncertainty as to the union’s continuing eliminate the current blocking-charge Dana majority held that voluntary majority support. Thus, the supposed policy and to adopt a ‘‘vote-and- recognition would not bar an election ‘‘safe harbor’’ of filing an employer (RM) impound’’ procedure. Under that unless (a) affected bargaining-unit petition that the Board majority proposed procedure, regional directors employees receive adequate notice of referenced in Levitz Furniture Co. of the would continue to process a the recognition and of their opportunity Pacific, 333 NLRB 717, 726 (2001), as an representation petition and would to file a Board election petition within alternative to the option of withdrawing conduct an election even when an 45 days, and (b) 45 days pass from the recognition (which the employer selects unfair labor practice charge and date of notice without the filing of a at its peril) is often illusory. blocking request have been filed. If the validly supported petition. Id. at 441. The Board further stated that, ‘‘if the Additionally, concerns have been charge has not been resolved prior to the notice and window-period requirements raised about the Board’s regional election, the Board proposed, the ballots directors not applying the blocking- have not been met, any postrecognition would remain impounded until the charge policy consistently, thereby contract will not bar an election.’’ Id. Board makes a final determination creating uncertainty and confusion Then, in Lamons Gasket Co., 357 regarding the charge.7 about when, if ever, parties can expect NLRB 739 (2011), a new Board majority an election to occur. See Zev J. Eigen & overruled Dana Corp. and reinstated the 6 Sandro Garofalo, Less Is More: A Case Type I blocking charges are charges that allege immediate voluntary-recognition conduct that interferes with employee free choice for Structural Reform of the National (but does not call into question the validity of the election bar. Additionally, the Board Labor Relations Board, 98 Minn. L. Rev. election petition itself). See NLRB Casehandling defined the reasonable period of time 1879, 1896–1897 (2014). Manual (Part Two) Representation Proceedings Sec. during which a voluntary recognition The Board stated that it was inclined 11730.2 (Jan. 2017). would bar an election as no less than 6 7 We note that nothing in the proposed rule to believe, subject to comments, that the purported to alter the existing requirements in 29 months after the date of the parties’ first blocking-charge policy impedes, rather CFR 103.20 that only a party to the representation bargaining session and no more than 1 than protects, employee free choice. In proceeding may file the request to block the year after that date. Id. at 748. a significant number of cases, the policy election process; only unfair labor practice charges As the NPRM noted, ‘‘[a]t least since filed by that party may be the subject of a request denies employees the right to have their to block; that party must file a written offer of proof Lamons Gasket, the imposition of the votes, in a Board-conducted election on as well as the names of witnesses who will testify immediate recognition bar, followed by questions concerning representation, in support of the charge and a summary of each the execution of a collective-bargaining ‘‘recorded accurately, efficiently and witness’s anticipated testimony; and that party agreement, can preclude the possibility must promptly make available to the regional speedily.’’ NLRB v. A.J. Tower Co., 329 director the witnesses identified in the offer of of conducting a Board election U.S. 324, 331 (1946). Unnecessary delay proof. As noted further below, the final rule also contesting the initial non-electoral robs an election-petition effort of does not affect any of those existing requirements. recognition of a union as a majority-

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supported exclusive bargaining appropriate to modify the Board’s nom. Operating Engineers Local 150 v. representative for as many as four current recognition-bar policy—not NLRB, 480 F.2d 1186 (DC Cir. 1973). years.’’ 84 FR at 39934 (August 12, currently set forth in the rules and Conversion to a 9(a) relationship and 2019). In response to a 2017 Board regulations—by reestablishing a notice agreement would occur if the union Request for Information, some requirement and 45-day open period for could show that it had achieved the respondents contended that the Board filing an election petition following an support of a majority of bargaining-unit should eliminate the voluntary- employer’s voluntary recognition of a employees during a contract term. recognition bar or, in the alternative, labor organization as employees’ However, as the Board later recognized, should reinstate the Dana notice and majority-supported exclusive collective- ‘‘[t]he achievement of majority support open-period requirements. bargaining representative under Section required no notice, no simultaneous In the NPRM, the Board proposed, 9(a) of the Act. Along with the other union claim of majority, and no assent subject to comments, to overrule changes in this rule, the Board stated by the employer to complete the Lamons Gasket and to reinstate the that it believed, subject to comments, conversion process’’; rather, ‘‘the Dana notice and open-period that the immediate imposition of a presence of an enforced union-security procedures following voluntary voluntary-recognition bar is an clause, actual union membership of a recognition under Section 9(a). In this overbroad and inappropriate limitation majority of unit employees, as well as connection, the Board cited the on the employees’ ability to exercise referrals from an exclusive hiring hall’’ justifications set forth by the Dana their fundamental statutory right to the were sufficient proof to trigger Board majority and the dissenting timely resolution of questions conversion. John Deklewa & Sons, 282 Member in Lamons Gasket. As the concerning representation through the NLRB 1375, 1378 (1987), enfd. sub nom. Board stated, while voluntary preferred means of a Board-conducted Iron Workers Local 3 v. NLRB, 843 F.2d recognition is undisputedly lawful, election. 770 (3d Cir. 1988), cert. denied 488 U.S. secret-ballot elections are the preferred 889 (1988). method of ascertaining whether a union 5. Reasons for Proposed Changes to In John Deklewa & Sons, the Board has majority-employee support. See Policy Regarding Proof of Majority- repudiated the conversion doctrine as NLRB v. Gissel Packing Co., 395 U.S. at Based Recognition Under Section 9(a) in inconsistent with statutory policy and 602. The Board further noted that, in the Construction Industry congressional intent expressed through conjunction with the contract bar, an As discussed in greater detail in the Section 8(f)’s second proviso. Id. at immediate recognition bar could deny NPRM, based on the unique 1382. According to the Board in employees an initial opportunity to vote characteristics of the construction Deklewa, conversion of an 8(f) in a secret-ballot Board election for as industry, Congress created an exception agreement into a 9(a) agreement raises many as 4 years—or even longer, to the majoritarian principles that ‘‘an absolute bar to employees’ efforts to because the reasonable period for govern collective-bargaining reject or to change their collective- bargaining runs from the date of the first relationships in other industries. Thus, bargaining representative,’’ contrary to bargaining session, which, to be lawful, as noted above, Section 8(f) of the Act the second proviso of Section 8(f). Id. In must come after voluntary recognition. permits a construction-industry addition, the Board adopted a The Board also stated that the Board employer and labor organization to presumption that construction-industry election statistics cited in Lamons establish a collective-bargaining contracts are governed by Section 8(f), Gasket supported, rather than detracted relationship in the absence of support so that ‘‘the party asserting the existence from, the need for a notice and brief from a majority of employees. However, of a 9(a) relationship’’ bears the burden open period following voluntary unlike collective-bargaining of proving it. Id. at 1385 fn. 41. Noting, recognition. In this connection, quoting relationships governed by Section 9(a), however, that ‘‘nothing in [its] opinion the Lamons Gasket dissent, the Board the second proviso to Section 8(f) [was] meant to suggest that unions have stated that the statistics showed that (1) provides that any agreement that is less favored status with respect to Dana served the intended purpose of lawful only because of 8(f)’s construction[-]industry employers,’’ the assuring employee free choice in those nonmajority exception cannot bar a Board also affirmed that a union could cases where the choice made in the petition for a Board election. achieve 9(a) status through ‘‘voluntary preferred Board electoral process Accordingly, there cannot be a contract recognition accorded . . . by the contradicted the showing on which bar or a voluntary-recognition bar to an employer of a stable workforce where voluntary recognition was granted; (2) election among employees covered by that recognition is based on a clear in those cases where the recognized an 8(f) agreement. showing of majority support among the union’s majority status was affirmed in As recounted in the NPRM, the Board unit employees, e.g., a valid card a Dana election, the union gained the has used various tests over the years to majority.’’ Id. at 1387 fn. 53. additional benefits of Section 9(a) determine whether a bargaining Thereafter, the Board repeatedly certification, including a 1-year bar to relationship or collective-bargaining stated that in order to prove a 9(a) further electoral challenge; (3) there was agreement in the construction industry relationship, a union would have to no substantial evidence that Dana had is governed by Section 9(a) majoritarian show its ‘‘express demand for, and an any discernible impact on the number of principles or by Section 8(f) and its employer’s voluntary grant of, union voluntary-recognition campaigns, exceptions to those principles. recognition to the union as bargaining or on the success rate of such Beginning in 1971, the Board adopted a representative, based on a showing of campaigns; and (4) there was no ‘‘conversion doctrine’’ under which a support for the union among a majority substantial evidence that Dana had any bargaining relationship initially of employees in an appropriate unit.’’ discernible impact on the negotiation of established under Section 8(f) could Brannan Sand & Gravel Co., 289 NLRB bargaining agreements during the open convert into a 9(a) relationship by 977, 979–980 (1988) (quoting American period or on the rate at which means other than a Board election or a Thoro-Clean, 283 NLRB 1107, 1108– agreements were reached after voluntary majority-based voluntary recognition. 1109 (1987)). And in J & R Tile, the recognition. See Ruttmann Construction, 191 NLRB Board held that, to establish voluntary Thus, the Board concluded, subject to 701 (1971); R. J. Smith Construction Co., recognition, there must be ‘‘positive comments, that it was necessary and 191 NLRB 693 (1971), enf. denied sub evidence’’ that ‘‘the union

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unequivocally demanded recognition as section 8(f) creates a limited exception industry, and to therefore require the employees’ 9(a) representative and to this rule for pre-hire agreements in positive evidence of majority union that the employer unequivocally the construction industry, the statute employee support before a collective- accepted it as such.’’ 291 NLRB 1034, explicitly preserves employee rights to bargaining agreement or voluntary 1036 (1988). petition for decertification or for a recognition between employers and Subsequently, however, the Board change in bargaining representative unions would bar a petition to an held in Staunton Fuel & Material that a under such contracts.’’ Id. ‘‘By focusing election. For support, the NPRM stated construction-industry union could exclusively on employer and union that (1) as the D.C. Circuit recognized, prove 9(a) status based on contract intent,’’ the court stated, the Board’s test Staunton Fuel permits an employer and language alone, without any other allowed employers and unions to union to ‘‘paper over’’ the presumption ‘‘positive evidence’’ of a ‘‘collud[e] at the expense of employees that construction-industry relationships contemporaneous showing of majority and rival unions,’’ betraying the Board’s are governed by Section 8(f); (2) under support. 335 NLRB 717, 719–720 (2001). ‘‘fundamental obligation to protect Staunton Fuel, the contract bar would Citing two decisions from the United employee section 7 rights.’’ Id. prevent employees and rival unions States Court of Appeals for the Tenth The court returned to this theme in from filing a Board election petition to Circuit,8 the Board explained that Colorado Fire Sprinkler, Inc. v. NLRB, challenge the union’s representative contract language would be 891 F.3d 1031 (DC Cir. 2018).9 There, status for the duration of the contract up independently sufficient to prove a 9(a) the court—focusing closely on the to 3 years, even though there was never relationship ‘‘where the language centrality of employee free choice in any extrinsic proof that a majority of unequivocally indicates that (1) the determining when a Section 9(a) employees supported the union; (3) the union requested recognition as the relationship has been established— ‘‘conversion’’ permitted under Staunton majority or 9(a) representative of the stated that ‘‘[t]he raison d’eˆtre of the Fuel is similar to the flawed unit employees; (2) the employer . . . Act’s protections for union ‘‘conversion doctrine’’ that the Deklewa recognized the union as the majority or representation is to vindicate the Board repudiated; and (4) the D.C. 9(a) bargaining representative; and (3) employees’ right to engage in collective Circuit raised a legitimate concern that the employer’s recognition was based on activity and to empower employees to Staunton Fuel conflicts with statutory the union’s having shown, or having freely choose their own labor majoritarian principles and represents offered to show, evidence of its majority representatives.’’ Id. at 1038 (emphasis an impermissible restriction on support.’’ 335 NLRB at 720. Finding that in original). The court observed that employee free choice, particularly in its contract-based approach ‘‘properly Section 8(f) ‘‘is meant not to cede all light of the protections intended by balance[d] Section 9(a)’s emphasis on employee choice to the employer or Section 8(f)’s second proviso. employee choice with Section 8(f)’s union, but to provide employees in the II. Summary of Changes to the recognition of the practical realities of inconstant and fluid construction and Proposed Rule the construction industry,’’ the Board building industries some opportunity stated that its test would allow for collective representation .... [I]t is In response to the comments received, ‘‘[c]onstruction unions and employers not meant to force the employees’ the final rule changes the proposed rule . . . to establish 9(a) bargaining choices any further than the statutory with respect to all three policy areas relationships easily and unmistakably scheme allows.’’ Id. at 1038–1039. discussed. where they seek to do so.’’ Id. at 719. Accordingly, the court held that ‘‘the A. Blocking-Charge Policy However, the United States Court of Board must faithfully police the For the reasons discussed in further Appeals for the District of Columbia presumption of Section 8(f) status and detail in Section III.E. below, the final Circuit has sharply disagreed with the the strict burden of proof to overcome rule does not retain the proposed rule’s Board’s holding in Staunton Fuel. In it’’ by ‘‘demand[ing] clear evidence that vote-and-impound procedure in all Nova Plumbing, Inc. v. NLRB, the D.C. the employees—not the union and not cases. Rather, it requires impoundment Circuit stated that ‘‘[t]he proposition the employer—have independently only for cases where the unfair labor that contract language standing alone chosen to transition away from a practice charge, filed by the party that can establish the existence of a section Section 8(f) pre-hire arrangement by is requesting to block the election 9(a) relationship runs roughshod over affirmatively choosing a union as their process, alleges (1) violations of Section the principles established in Section 9(a) representative.’’ Id. at 1039. 8(a)(1) and 8(a)(2) or Section 8(b)(1)(A) [International Ladies’ Garment Workers’ Applying this evidentiary standard, the of the Act that challenge the Union v. NLRB, 366 U.S. 731 (1961) court rejected the Board’s reliance solely circumstances surrounding the petition (Garment Workers)], for it completely on contract language in finding a 9(a) or the showing of interest submitted in fails to account for employee rights relationship, stating that such reliance support of the petition; or (2) that an under sections 7 and 8(f).’’ 330 F.3d ‘‘would reduce the requirement of employer has dominated a union in 531, 536–537 (DC Cir. 2003), granting affirmative employee support to a word violation of Section 8(a)(2) and seeks to review and denying enforcement of game controlled entirely by the union disestablish a bargaining relationship. Nova Plumbing, Inc., 336 NLRB 633 and employer. Which is precisely what For those categories of charges, the final (2001). According to the court, under the law forbids.’’ Id. at 1040. rule—unlike the proposed rule— Garment Workers ‘‘[a]n agreement In the interest of restoring protection provides that the ballots shall be between an employer and union is void of employee free choice in the impounded for up to 60 days from the and unenforceable . . . if it purports to construction industry, the NPRM conclusion of the election if the charge recognize a union that actually lacks proposed to overrule Staunton Fuel, to has not been withdrawn or dismissed, majority support as the employees’ adopt the D.C. Circuit’s position that or if a complaint has not issued, prior exclusive representative.’’ Id. at 537. contract language alone cannot create a to the conclusion of the election. If a The court further stated that, ‘‘[w]hile 9(a) bargaining relationship in that complaint issues with respect to the 8 NLRB v. Oklahoma Installation Co., 219 F.3d 9 Granting review and denying enforcement of charge at any time prior to expiration of 1160 (10th Cir. 2000); NLRB v. Triple C Maint., Inc., Colorado Fire Sprinkler, Inc., 364 NLRB No. 55 that 60-day post-election period, then 219 F.3d 1147 (10th Cir. 2000). (2016). the ballots shall continue to be

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impounded until there is a final conspicuous places, including all places the Board ‘‘shall have authority from determination regarding the charge and where notices to employees are time to time to make, amend, and its effect, if any, on the election petition. customarily posted’’); eliminates the rescind, in the manner prescribed by If the charge is withdrawn or dismissed proposed rule’s specific reference to the [the Administrative Procedure Act at any time prior to expiration of that right to file ‘‘a decertification or rival- (APA)], such rules and regulations as 60-day period, or if the 60-day period union petition’’ and instead refers may be necessary to carry out the ends without a complaint issuing, then generally to ‘‘a petition’’; adds a provisions of [the NLRA].’’ Although the the ballots shall be promptly opened requirement that an employer distribute Board historically has made most and counted. The final rule further the notice to unit employees substantive policy determinations provides that the 60-day period will not electronically if the employer through case adjudication, it has, with be extended, even if more than one customarily communicates with its Supreme Court approval, engaged in unfair labor practice charge is filed employees by such means; and sets substantive rulemaking. American serially. forth the wording of the notice. The Hosp. Ass’n v. NLRB, 499 U.S. 606 For all other types of unfair labor final rule also makes some minor, non- (1991) (upholding Board’s rulemaking practice charges, the final rule—unlike substantive changes to the title and on appropriate bargaining units in the the proposed rule—provides that the other wording of the proposed rule. healthcare industry). In this regard, the ballots will be promptly opened and Supreme Court has expressly stated that C. Proof of Majority-Based Recognition counted at the conclusion of the ‘‘the choice between rulemaking and in the Construction Industry election, rather than temporarily adjudication lies in the first instance impounded. For clarity purposes, we have within the Board’s discretion.’’ NLRB v. Finally, for all types of charges upon removed the amendment regarding Bell Aerospace Co., 416 U.S. 267, 294 which a blocking-charge request is proof of majority-based voluntary (1974). based, the final rule clarifies that the recognition in the construction industry Further, Section 6 authorizes the final certification of results (including, where from § 103.21 of the proposed rule and rule as necessary to carry out Sections appropriate, a certification of have placed it in its own section, Final 1, 7, 8, and 9 of the Act, 29 U.S.C. 151, representative) shall not issue until Rule (Rule) § 103.22. In addition, for the 157, 158, and 159, respectively, there is a final disposition of the charge reasons discussed in Section III.G. discussed in relevant part in Section and a determination of its effect, if any, below, we have decided upon I.A. above. The Board’s election policies 10 on the election petition. The final rule consideration of comments received to implicate each of these provisions of the also makes some minor, non-substantive adopt the proposed rule with one Act, and Section 6 grants the Board the changes to the title of the proposed rule. modification: This portion of the final authority to promulgate rules that carry In short, under the final rule, the rule shall apply only to voluntary out those provisions. filing of a blocking-charge request will recognition extended on or after the As discussed in Section I.B.2. above, not delay the conduct of an election but effective date of the rule and to any in the NPRM the Board expressed its may delay the vote count or certification collective-bargaining agreement entered preliminary belief that rulemaking in of results. The regional director shall into on or after the date of voluntary this area of the law is desirable for continue to process the petition and recognition extended on or after the several reasons. After carefully conduct the election. effective date of the rule. The final rule considering more than 80 comments, we B. Voluntary-Recognition Bar also makes some minor, non-substantive continue to believe that rulemaking, changes to the wording of the proposed rather than adjudication, is the better For the reasons discussed in Section rule.11 III.F. below, upon consideration of all of method to revise and clarify the matters the comments received, we have III. Summary of Comments and of broad application at issue in this rule. decided to adopt the proposed rule in Responses to Comments First, the Board has repeatedly engaged in rulemaking to amend its substantial part. However, in response The Board received more than 80 to certain comments, we have modified representation-case procedures over the comments from interested years as part of a continuing effort to the rule to clarify that it shall apply only organizations, labor unions, members of to an employer’s voluntary recognition improve the process and to eliminate Congress, academics, and other unnecessary delays. It has only rarely on or after the effective date of the rule, individuals. We have carefully reviewed and to the first collective-bargaining utilized the APA’s notice-and-comment and considered these comments, as rulemaking procedures when doing so. agreement reached after such voluntary discussed below. recognition. Additionally, the final rule Most often, the Board has simply clarifies that the employer ‘‘and/or’’ A. Propriety of Rulemaking implemented procedural changes in a final rule without prior notice or request (rather than ‘‘and’’) the labor One commenter contends that we for public comment. It did so most organization must notify the Regional have failed to adequately justify recently in December 2019. See Office that recognition has been granted. departing from the Board’s longstanding Representation-Case Procedures, 84 FR The final rule also specifies where the practice of proceeding by 69524 (Dec. 18, 2019) (2019 Election notice should be posted (‘‘in adjudication.12 However, Congress has Rule). However, a few years earlier, the delegated general rulemaking authority Board engaged in a notice-and-comment 10 As noted previously, nothing in the final rule to the Board. Specifically, Section 6 of rulemaking process that resulted in a alters the existing requirements that only a party to the NLRA, 29 U.S.C. 156, provides that the representation proceeding may file the request final rule making widespread revisions to block the election process; only unfair labor 11 In accordance with the discrete character of the in prior representation-case procedures. practice charges filed by that party may be the 13 subject of a request to block; that party must file a matters addressed by each of the amendments See 79 FR 74307 (December 15, 2014). written offer of proof as well as the names of listed, the Board hereby concludes that it would witnesses who will testify in support of the charge adopt each of these amendments individually, or in 13 See also comment of AFL–CIO in support of the and a summary of each witness’s anticipated any combination, regardless of whether any of the Board’s 2015 Election Rule. 79 FR at 74314 (‘‘[T]he testimony; and that party must promptly make other amendments were made. For this reason, the American Federation of Labor and Congress of available to the regional director the witnesses amendments are severable. Industrial Organizations (AFL–CIO) states that ‘[t]he identified in the offer of proof. 12 Comment of AFL–CIO. NLRB has specific and express statutory authority

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Further, as here, some of the procedures would not arise—in the adjudication of demonstrate that rulemaking is addressed in that rulemaking process a single case. inappropriate here. were originally established in Fourth, as discussed in the NPRM, In sum, we continue to believe that adjudication. establishing the new standards in the use of the rulemaking process here is an Second, the Board has been well Board’s Rules and Regulations will appropriate exercise of the Board’s served by public comment on the issues enable employers, unions, and discretion and will be beneficial in ways presented in response to the NPRM in employees to plan their affairs with that adjudication cannot be. this proceeding. The Board received greater certainty that significant changes numerous helpful comments from a to these areas of the law will not be B. Board Members’ Alleged Closed- wide variety of sources, many with made, and retroactively applied, in Mindedness and Motives considerable legal expertise and/or a adjudication of a case to which they are Some commenters allege that the great deal of relevant experience. not parties and about which they may current Board Members have not shown Having considered these comments, we be unaware. NLRB v. Wyman-Gordon an open mind and willingness to revise have refined the final rule in several Co., 394 U.S. 759, 777 (1969) (Douglas, the wording proposed in the NPRM in ways, outlined above in Sections II.A. J., dissenting) (‘‘The rule-making light of public input because each through II.C. and discussed more fully procedure performs important Member previously has expressed a below in Sections III.E. through III.G. It functions. It gives notice to an entire desire to revise the policies under is likely that we would not have segment of society of those controls or consideration.18 For the reasons that received as much input had we regimentation that is forthcoming.’’). follow, we reject these contentions. We addressed these issues through Specifically, rulemaking enables the assure the public that each participating adjudication rather than rulemaking. Board to provide the regulated Rulemaking has given interested community greater certainty 18 Comment of AFL–CIO (citing Pinnacle Foods persons a way to provide input through beforehand, as the Supreme Court has Group, LLC., Case 14–RD–226626, 2019 WL 656304, the convenient comment process, and at *1 fn. 1 (Feb. 4, 2019) (Chairman Ring and instructed that we should do. First Nat’l Member Kaplan); United Food & Commercial participation was not limited, as in the Maint. Corp. v. NLRB, 452 U.S. 666, 679 Workers, Local No. 951, Case 07–RD–228723, 2019 adjudicatory setting, to legal briefs filed (1981). WL 1879483, at *1 fn.1 (April 25, 2019) (Chairman by the parties and amici. The same commenter also claims that Ring and Member Emanuel); Heavy Materials, LLC., Third, as discussed in the NPRM, the Board’s recent increased use of Case 12–RM–231582, 2019 WL 2353690, at *1 fn.1 rulemaking has allowed us to address (May 30, 2019) (Members Kaplan and Emanuel); rulemaking rather than waiting for G.F. Paterson Foods, LLC, Case 22–RD–210352, these issues without depending on the actual controversies to arise threatens to 2018 WL 509465, at *1 fn.1 (Jan. 19, 2018) participation and argument of parties in open the floodgates of policy oscillation. (Members Kaplan and Emanuel); Leggett & Platt, a specific case, and without allowing The claim is purely speculative, and Inc., Case 09–RD–200329, 2018 WL 509463, at *1 the developments of a pending case to fn.1 (Jan. 19, 2018) (Member Kaplan); Calportland runs counter to the general perception Arizona Materials Division, Case 28–RD–206696, ‘‘moot’’ the issues. One commenter that rulemaking should diminish policy 2018 WL 571496, at *1 fn.1 (Jan. 24, 2018) challenges this notion, arguing that the oscillation because it is harder to change (Members Kaplan and Emanuel); Covanta Essex Co., Board can avoid mootness by refusing to policy through rulemaking than through Case 22–RD–199469, 2018 WL 654848, at *1 fn.1 (Jan. 30, 2018) (Members Kaplan and Emanuel); allow parties to withdraw cases or adjudication.16 The commenter also 14 Wismettac Asian Foods, Inc., Case 21–RC–204759, concede issues in adjudication. That contends that the Board fails to explain 2018 WL 774103, at *1 n.1 (Feb. 6, 2018) (Member commenter also contends that the why rulemaking is appropriate here Kaplan); Apple Bus Co., Case 19–RD–216636, 2018 existence of live controversies involving when the Board is not using it in WL 3703490, at *1 fn.1 (May 9, 2018) (Members particular parties demonstrates that an Kaplan and Emanuel); Kloeckner Metals Corp., Case numerous other areas, and that many of 15–RD–217981, 2018 WL 2287088, at *1 fn.1 (May issue is important to labor-management the stated reasons for proceeding 17, 2018) (Members Kaplan and Emanuel); Bemis relations and merits Board resolution through rulemaking in this context N.A., Case 18–RD–209021, 2018 WL 2440794, at *1 15 via adjudication. would apply in other contexts as well.17 fn.1 (May 29, 2018) (Member Emanuel); Janus Youth Programs, Inc., Case 19–RM–216426, 2018 As discussed in greater detail in the However, even if rulemaking is NPRM, developments in specific cases WL 2461411, at *1 fn.1 (May 31, 2018); Arh Mary appropriate in other areas, that does not Breckinridge Health Services, Inc., Case 09–RD– have mooted some of the very issues require us to use rulemaking in all areas 217672, 2018 WL 3238969, at *1 fn.1 (June 29, covered by this rulemaking. See 84 FR where it would be appropriate, let alone 2018) (Chairman Ring and Member Kaplan); American Medical Response, Case 10–RC–208221, at 39937 (citing Loshaw Thermal all at once. Cf. Mobil Oil Expl. & Technology, LLC, Case 05–CA–158650). 2018 WL 3456223, at *1 fn.1 (July 17, 2018) Producing Se. Inc. v. United Distrib. (Chairman Ring and Member Emanuel); Apple Bus As the commenter suggests, the Board Cos., 498 U.S. 211, 231 (1991) (‘‘[A]n Co., Case 19–RD–216636, 2018 WL 3703490, at *1 has the discretion to refuse to allow agency need not solve every problem fn.1 (Aug. 2, 2018) (Chairman Ring and Member parties to withdraw cases or to concede Kaplan); Columbia Sussex, Case 19–RD–223516, before it in the same proceeding.’’); issues in a particular case. However, the 2018 WL 4382911, at *1 fn.1 (Sept. 12, 2018) Advocates for Highway & Auto Safety v. (Chairman Ring and Member Kaplan); Westrock existence of live controversies in Fed. Motor Carrier Safety Admin., 429 Services, Inc., Case 10–RD–195447, 2017 WL adjudication of an issue does not mean F.3d 1136, 1147 (D.C. Cir. 2005) 4925475, at *1 fn.1 (Oct. 27, 2017) (Members that we lack the discretion to choose Kaplan and Emanuel); ADT Security Services, Case (‘‘Agencies surely may, in appropriate rulemaking as the means to address that 18–RD–206831, 2017 WL 6554381, at *1 fn.1 (Dec. circumstances, address problems 20, 2017) (Members Kaplan and Emanuel). See also issue. In addition, as discussed in the incrementally.’’). And, as stated above, Comment of United Food and Commercial Workers NPRM, this particular rulemaking has ‘‘the choice between rulemaking and International Union, AFL–CIO (UFCW) (citing L&L allowed us to address, in a single Fabrication, Case 16–RD–232491, 2019 WL proceeding, three related election-bar adjudication lies in the first instance 1800677, at *1 fn. 1 (April 22, 2019) (Chairman issues that have not arisen—and likely within the Board’s discretion.’’ NLRB v. Ring and Member Emanuel); Embassy Suites by Bell Aerospace Co., 416 U.S. at 294. Hilton, Seattle Downtown Pioneer Square, Case 19– Thus, this comment does not RD–223236, 2019 WL 656277, at *1 fn. 1 (Jan. 15, to engage in rule-making to regulate its election 2019) (Chairman Ring and Member Kaplan); Heavy process.’’’). Materials, LLC, supra; Pinnacle Foods Group, LLC, 14 Comment of AFL–CIO (citing, e.g., 800 River 16 See, e.g., Samuel Estreicher, Policy Oscillation supra; Loshaw Thermal Technology, LLC, Case 05– Road Operating Co. d/b/a Care One at New Milford, at the Labor Board: A Plea for Rulemaking, 37 CA–158650, 2018 WL 4357198 (soliciting briefs 368 NLRB No. 60 (2019)). Admin. L. Rev. 163 (1985). addressing proposed changes to the Sec. 8(f)–to– 15 Comment of AFL–CIO. 17 Comment of AFL–CIO. 9(a) conversion doctrine)).

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Board Member has approached this destabilize bargaining relationships and foundation of the proposed rule and the rulemaking with an open mind. to allow employers to undermine integrity of the rulemaking process.24 ‘‘[A]n individual should be unions, often under the guise of As an initial matter, we reject the 19 disqualified from rulemaking only when protecting employee choice. We do unsubstantiated claim of the dissenting there has been a clear and convincing not agree that either this rule or the Member that she lacked adequate time showing’’ that the official ‘‘has an cited, recent cases demonstrate an to prepare her dissent.25 Moreover, the unalterably closed mind on matters intention to destabilize bargaining Board has previously stated that it ‘‘does critical to the disposition of the relationships or to allow employers to not believe that it is required, either by proceeding.’’ Air Transp. Ass’n of undermine unions. Nor do we believe law or agency practice, to delay the America, Inc. v. NMB, 663 F.3d 476, 487 that either this rule or the cited cases are (D.C. Cir. 2011) (quoting C & W Fish Co. adoption and publication of a final rule likely to have those effects. Accordingly, in order to accommodate a dissenting v. Fox, 931 F.2d 1556, 1564 (D.C. Cir. we disagree with this comment. 1991)). Moreover, ‘‘[a]n administrative Member. Nothing in the APA compels Other commenters contend that here that course of action, nor does the official is presumed to be objective and and in other areas, the Board is using ‘capable of judging a particular National Labor Relations Act demand it. rulemaking simply to reverse precedent Neither do the Board’s rules, statements controversy fairly on the basis of its own that it does not like.20 However, like of procedure, internal operating circumstances.’ ’’ Steelworkers v. case adjudication, rulemaking involves procedures, or traditional practices, Marshall, 647 F.2d 1189, 1208 (D.C. Cir. reasoned decision-making, conducted which do not address the internal 1980) (quoting United States v. Morgan, within the constraints of the APA and process of rulemaking, compel such 313 U.S. 409, 421 (1941)). Further, subject to judicial review. As action.’’ Representation—Case ‘‘[w]hether the official is engaged in demonstrated here and below, we have Procedure, 76 FR 80138, 80146 (Dec. 22, adjudication or rulemaking,’’ the fact carefully considered all comments with 2011) (footnotes omitted). There is no that he or she ‘‘has taken a public an open mind, and we believe that the reason that this observation should not position, or has expressed strong views, final rule we have formulated represents apply with equal force to issuance of an or holds an underlying philosophy with our reasoned determination regarding NPRM. In any event, however, we respect to an issue in dispute cannot the appropriate standards for furthering overcome that presumption.’’ Id. That the various policies discussed herein, assure the public that Member McFerran presumption also is not overcome including—and especially—protecting was provided sufficient time to prepare ‘‘when the official’s alleged employee free choice. her dissent. predisposition derives from [his or] her Further, the evidence that Member participation in earlier proceedings on C. Alleged Procedural Errors McFerran stated she lacked sufficient the same issue.’’ Id. at 1209. Expanding One commenter claims that the Board time to address was the supplemental on the latter point, the D.C. Circuit has committed procedural errors in two Board data cited in reference to a prior explained that ‘‘[t]o disqualify ways. First, the commenter claims that non-Board study and expressions of administrators because of opinions they the Board majority did not provide the concern by two respected academics expressed or developed in earlier dissenting Member adequate time to about the adverse impact of the proceedings would mean that prepare her dissent, citing her statement blocking-charge policy. See 84 FR at ‘experience acquired from their work that she had not been given sufficient 39933, 39947. Some of the same data is . . . would be a handicap instead of an time to review all of the relevant data in at issue in the cited items sought in the advantage.’ ’’ Id. (quoting FTC v. Cement the appendices to the NPRM.21 Second, commenter’s FOIA request.26 As Inst., 333 U.S. 683, 702 (1948)). More the commenter claims that the Board discussed in Section III.E. below, even recently, the D.C. Circuit has similarly did not provide interested parties accepting that some of the data that the emphasized that it would ‘‘eviscerate adequate time to prepare their NPRM cited is flawed, we continue to the proper evolution of policymaking comments on the proposed rule.22 believe that the record supports finding were we to disqualify every Specifically, the commenter notes that a systemic problem of unacceptable administrator who has opinions on the the Board denied its third motion for an election delays resulting from the correct course of his agency’s future additional 30 days to file comments, actions.’’ Air Transp. Ass’n of America, despite the fact that the commenter still 24 Inc., 663 F.3d at 488 (quoting C & W Comment of AFL–CIO. had six Freedom of Information Act 25 Accord Air Trans. Ass’n of America, Inc. v. Fish Co., 931 F.2d at 1565). (FOIA) requests pending before the NMB, 663 F.3d at 487–488 (court denied challenge Accordingly, the fact that the Board Board.23 According to the commenter, to National Mediation Board’s rule based on Members previously have expressed majority’s action providing dissenter only 24 hours views on the subjects of this rulemaking the documents that it has sought are to consider and prepare dissent, which she did). is insufficient to demonstrate that they essential to evaluate both the empirical 26 The commenter’s Request #2 seeks ‘‘[a]ny document that contains or evidences any analysis have engaged in this rulemaking with of the impact of the adoption of 29 CFR 103.20 on 19 Comment of UFCW (citing Mike-Sell’s Potato unalterably closed minds. See Air the number of blocking charges, the time needed to Chip Co., 368 NLRB No. 145 (2019); Valley Hospital process blocking charges, the delay caused by Transp. Ass’n of America, Inc., 663 F.3d Medical Center, Inc. d/b/a Valley Hospital Medical blocking charges, or any other case processing at 487–488; Steelworkers, 647 F.2d at Center, 368 NLRB No. 139 (2019); MV outcomes.’’ AFL–CIO’s Aug. 29, 2019 FOIA Request Transportation, Inc., 368 NLRB No. 66 (2019); 1208–1209. Indeed, after considering all at 2. The commenter’s Request #5 seeks ‘‘[a]ny Johnson Controls, Inc., 368 NLRB No. 20 (2019); of the submitted comments, we have document containing or evidencing any explanation Metalcraft of Mayville, Inc., 367 NLRB No. 116 of any decision to aggregate multiple blocking revised the proposed rule in various (2019); Raytheon Network Centric Systems, Inc., periods (even when they ran or are running respects. This in itself demonstrates that 365 NLRB No. 161 (2017)). concurrently) in producing the table in Appendix 20 the Members did not engage in this Comments of AFL–CIO; UFCW. A [sic] to the NPRM.’’ Id. And the commenter’s endeavor with unalterably closed 21 Comment of AFL–CIO (citing 84 FR at 39947 Request #13 seeks ‘‘[a]ny documents containing or minds. fn. 74). See also Comment of Senator Patty Murray. evidencing a comparison of the disposition of One commenter contends that 22 Comment of AFL–CIO. unfair labor practice charges filed by unions 23 Comment of AFL–CIO. As the commenter accompanied by or followed by requests to block an although the Board’s stated goal is to acknowledges, the Board provided responsive election and the disposition of unfair labor practice protect employees’ rights, in many documents to its other FOIA requests before the charges filed by unions not accompanied or recent cases the Board has sought to extended comment period closed. followed by such a request.’’ Id. at 3.

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blocking-charge policy.27 We also note are relevant to the Board Members’ provided it to give itself the best that Member McFerran was able to alleged ‘‘predisposition and bias’’ and opportunity to gain all information prepare a comprehensive ‘‘preliminary’’ their ability ‘‘to fairly evaluate necessary to make an informed decision. review of blocking-charge information comments as required by the APA.’’ 30 Then, the Board extended the comment for Fiscal Years 2016 and 2017 As discussed in Section III.B. above, and reply periods twice, for 90 independent of the data relied on by the however, the mere fact that Board additional days. In sum, the Board has majority or provided to the public in the Members previously have expressed accepted comments on 3 proposed past. 84 FR at 39943–39944. Likewise, opinions regarding these matters does amendments to its representation-case during the comment period, Professor not provide a basis for concluding that procedures for a total of 164 days.31 We John-Paul Ferguson prepared an they have approached these issues with believe that the more than 80 comments extensive review of data provided to the closed minds. That would be the case submitted and the depth of analysis that AFL–CIO that was appended to its under applicable precedent even if we many of them provide, including the comment. Yet another review critical of were issuing a final rule identical to the comment and reply from the AFL–CIO, the Board majority’s analysis in the proposed rule, but it is even more are a testament to the adequacy of the NPRM was prepared by Bloomberg Law clearly the case given that we have comment period. As such, we do not and cited by commenters in opposition modified the proposed rule in response believe that this commenter was to the proposed blocking-charge rule.28 to comments. Therefore, there is no prejudiced by the fact that, at the Consequently, there is no basis for basis for finding that the commenter closing of the extended comment finding that the dissenting Board was prejudiced by not receiving this period, the Board had not yet provided Member was prejudiced by the alleged requested information before the end of all documents responsive to its broad lack of time to review the data originally the comment period. FOIA request. cited or that, with respect to its FOIA Finally, one of the commenter’s FOIA Accordingly, we reject the requests 2, 5, or 13, the commenter was requests was for ‘‘[a]ny document commenter’s claims regarding alleged prejudiced by the denial of its request containing or evidencing any limitations procedural errors. 29 of the time allowed Member McFerran for an extension of time. D. Matters Outside the Scope of This The commenter also requested ‘‘[a]ny to prepare her dissent to the NPRM, any Rulemaking analysis of the effect or impact of Dana limitations on the access allowed Corp., 351 NLRB 434 (2007), other than Member McFerran to case processing Several commenters propose that we those contained in the opinions in information or data she deemed take various other actions,32 but because Lamons Gasket, 357 NLRB 739 (2011).’’ necessary to prepare her dissent, or any those actions are outside the scope of AFL–CIO’s Aug. 29, 2019 FOIA Request limitations on access to NLRB or this rulemaking, we decline to take at 3 (Request #19). However, in issuing General Counsel staff she deemed them.33 the final-rule amendment regarding the necessary to prepare her dissent.’’ AFL– E. Final-Rule Amendment Regarding voluntary-recognition bar, we do not CIO’s Aug. 29, 2019 FOIA Request at 3 Blocking-Charge Policy rely on any data, or analysis of data, (Request #21). As discussed above, other than that discussed in Dana and however, we reject any suggestion that The Board received numerous in Lamons Gasket, which we have fully Member McFerran had inadequate time comments on the amendment considered. In these circumstances, we to prepare her dissent. We likewise concerning the blocking-charge policy. find no basis for concluding that the reject the unfounded suggestion that We have carefully reviewed and commenter was prejudiced by the there was any limitation on her ability considered these comments, as denial of its request for an extension of to access necessary resources to prepare discussed below. time with regard to this FOIA request. that dissent. 1. Comments in Favor of, and Further, the commenter requested Inasmuch as there is neither statutory Comments Opposed to, Changing the ‘‘[a]ny documents containing or authority nor binding Board practice Blocking-Charge Policy by Eliminating evidencing any statement by any Board requiring that a dissenting member has the Practice of Delaying Elections member concerning the validity, the right to any amount of time to wisdom or soundness of the Board’s prepare a dissent, the material question As stated above, the NPRM proposed blocking[-]charge policy; Lamons Gasket here is simply whether the commenters that the current blocking-charge policy Co., 357 NLRB 739 (2011); Dana Corp., have had sufficient time to provide their be revised to provide that a request to 351 NLRB 434 (2007); or conversion of comments. Preliminarily, the APA block would no longer delay the 8(f) to 9(a) relationships.’’ AFL–CIO’s provides no minimum comment period, processing of an otherwise valid Aug. 29, 2019 FOIA Request at 4 and many agencies, including the Board (Request #22). According to the in past rulemaking proceedings, have 31 We note that in a prior rulemaking of far greater scope, involving 25 proposed amendments to a commenter, the requested documents afforded comment periods of only 30 wide range of representation-case procedures, the days. Agencies have discretion to Board found that acceptance of comments on these 27 As the AFL–CIO concedes: ‘‘Blocking elections provide still shorter periods and are proposals for a total of 141 days, and 4 days of delays elections. That is undeniably true and simply ‘‘encouraged to provide an public hearings, was adequate. See 79 FR at 74311. requires no ‘statistical evidence’ to demonstrate.’’ 32 See Comments of Center on National Labor Comment of AFL–CIO at 5. appropriate explanation for doing so.’’ Policy, Inc. (CNLP) (suggesting raising the Board’s 28 See Alex Ebert and Hassan A. Kanu, Federal Admin. Conference of the U.S., jurisdictional standards); Anonymous (suggesting Labor Board Used Flawed Data to Back Union Recommendation 2011–2, Rulemaking that the Board address the unfair labor practice Election Rule, Bloomberg Law (Dec. 5, 2019), Comments, 76 FR 48791 (Aug. 9, 2011). investigation process); National Federation of https://news.bloomberglaw.com/daily-labor-report/ As noted previously, the NPRM, Independent Business (NFIB) (suggesting proposing federal-labor-board-used-flawed-data-to-back- particular legislation to Congress); Coalition for a union-election-rule-1. which issued on August 12, 2019, set an Democratic Workplace (CDW) (suggesting 29 We emphasize that our response to this initial comment period of 60 days, with rulemaking to rescind and revise the Board’s 2015 comment only addresses the argument that the 14 additional days allotted for reply Election Rule). failure to provide remaining requested documents comments. Although the APA does not 33 However, with regard to the recommendation was prejudicial to the commenter’s ability to to rescind and revise the Board’s 2015 Election evaluate the rulemaking process. We express no require a reply period, the Board Rule, we note that we already have revised that opinion concerning whether any of the requested Rule in certain respects. See 2019 Election Rule, 84 information is disclosable under FOIA. 30 Comment of AFL–CIO. FR 69524.

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petition and the timely conduct of an election’s delay denies employees the needlessly waste its resources in election. Under the proposed rule, if the opportunity to vote while the issues conducting a pointless investigation, blocking charge is still pending upon surrounding the petition effort for an and employers are forced to expend conclusion of the election, ballots election are fresh in their minds.41 limited funds in defending against such would be impounded and not counted Commenters also echo the concern allegations.48 until there is a final determination expressed in the NPRM about turnover Several commenters assert the current regarding the charge and its effect, if in the workforce during the delay blocking-charge policy is too often used any, on the election petition or fairness caused by a blocking charge, with the as an attempt to rig the rules.49 One of the election. result that employees who supported commenter notes that blocking charges Not surprisingly, the commenters on the petition may not be the ones who overwhelmingly affect decertification the blocking-charge policy tend to fall vote on the representation issue when elections, and that those elections are into two sharply divided groups. the election is finally held.42 One delayed the longest.50 Another Commenters in the first group support commenter notes the adverse effect of commenter compares the current policy the proposed modification and urge the blocking-charge delays on construction- to an incumbent U.S. officeholder being Board to require regions to process industry employees working under a able to decide when and under what representation petitions despite a Section 8(f) agreement—a majority of circumstances to submit to a future request to block based on a pending whom may never have supported the election.51 According to some unfair labor practice charge. One union representative—who seek to commenters, this is because a union, commenter cites the mandate in Section decertify the union through a Board aware of a lack of employee support, 9(c) of the Act that, ‘‘[i]f the Board finds election.43 One employee commenter may simply choose to file an unfair . . . that . . . a question of notes his own frustration that, for years, labor practice charge to forestall an representation exists, it shall direct an he was unable to vote in an election to election, potentially for as long as election by secret ballot and shall certify remove an incumbent union as his necessary until it believes it can 52 the results thereof.’’ 34 According to this bargaining representative because the prevail. In addition to receiving a commenter, the blocking-charge policy union filed unfair labor practice temporary delay, the union may hope is an administrative fiction that the charges.44 Meanwhile, a union local that, by chance, a regional director’s Board has used to evade its statutory commenter expresses support for investigation may discover evidence of responsibility.35 A second commenter modifying the blocking-charge policy other conduct that becomes the basis for suggests that the blocking-charge policy because of how important it is for issuing a complaint that delays the 53 is contrary to Section 8(a)(2) of the Act, employees to express their choice on election even longer. One commenter 29 U.S.C. 158(a)(2), because it permits union representation without delays to claims that the passage of time, unions to serve as employees’ create a more level playing field in the employee turnover, and other changed representative where a majority of the organizing process.45 circumstances may give the union the employees do not support union Some commenters argue that chance of hanging on as employees, representation.36 And another employers, too, are harmed when exasperated by their inability to obtain 54 commenter notes that, under the Act, meritless unfair labor practice charges an election, decide to leave. the Board may not defer representation block an election. One commenter notes Additionally, one commenter contends, proceedings to the General Counsel, that, as the Board acknowledged in the the union continues to represent the which is allegedly what occurs when NPRM, blocking charges can deprive employees indefinitely and may use that the processing of elections depends on employers of the supposed ‘‘safe time to pressure them into voting for it, 55 whether the General Counsel issues a harbor’’ in filing an RM election petition if an election ever does occur. complaint.37 that the Board majority referenced in According to one commenter, employee Several commenters cite the adverse Levitz Furniture Co. of the Pacific, 333 free choice eventually turns into impact on employees when they are NLRB at 726, as an alternative to the employees having no choice at all forced to wait indefinitely to vote in a option of withdrawing recognition because the union effectively gets to representation election.38 In this regard, (which the employer selects at its decide whether an election is held—and commenters assert that delaying the peril).46 Another commenter notes the the union will always pick its own election punishes employees for the adverse effect on an employer signatory survival over the preference of unit 56 misconduct alleged in an unfair labor to a construction-industry collective- employees. Thus, one commenter practice charge, even if they had no role bargaining agreement negotiated under notes, the current policy leads to an in that alleged misconduct.39 Section 8(f) by a union without majority undemocratic charade that forces Commenters also contend that an support. Although an election petition employees to endure a prolonged, if not indefinite delay in an election affects can be filed at any time during the futile, wait before being able to exercise employees’ vote when the election is contract term, a blocking charge can their right to express their free choice as 57 finally held. For instance, it causes indefinitely postpone an election that to whether to be represented. some employees to perceive the Board could result in decertification of the The group of commenters opposed to 40 change in the current blocking-charge and its processes as futile. Further, the union and voiding the contract.47 One

commenter also states that when 48 34 Comment of CNLP (quoting 29 U.S.C. 159(c)). Comment of NRWLDF. meritless unfair labor charges are filed 49 35 Id. Comments of GC Robb; NRWLDF; the Chamber. to delay an election, the Board must 50 36 Comment of CDW. Comment of CDW. 51 37 Comment of CNLP. Comment of COLLE. 41 Comment of GC Robb. 52 38 Comments of Council on Labor Law Equality Comments of COLLE; Representatives Foxx and 42 (COLLE); Representatives Virginia Foxx and Tim Comment of COLLE; CDW. Walberg; NRWLDF. Walberg; General Counsel Peter Robb (GC Robb); 43 Comment of CNLP. 53 Comment of NRWLDF. CNLP; CDW; Chamber of Commerce (the Chamber). 44 Comment of Donald Johnson. 54 Comment of CDW. 39 Comments of Associated Builders and 45 Comment of International Brotherhood of 55 Comment of the Chamber. Contractors (ABC); National Right to Work Legal Electrical Workers Local 304 (Local 304). 56 Comment of NRWLDF. Defense Foundation, Inc. (NRWLDF). 46 Comment of CDW. 57 Comment of Representatives Foxx and 40 Comments of CDW; COLLE. 47 Comment of CNLP. Walberg.

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policy focus on situations where an Several commenters assert various will have to be invalidated, such as allegedly meritorious unfair labor ways in which holding an election in where the employer indisputably practice charge taints a representation spite of a blocking-charge request would assisted with or actually solicited petition or otherwise spoils laboratory harm employees voting in the election. petition signatures.70 And other conditions for conducting an election, In this connection, commenters contend commenters argue that conducting an thereby preventing employees from that, after employees have been coerced election will not serve any purpose making a truly free choice as to union to vote against the union in an initial because a union would not be certified representation. Some of those election that has been set aside based on or decertified any sooner. Votes will commenters argue that it would be conduct subject to the blocking charge, remain impounded until resolution of inconsistent with Section 9(c) of the Act the union will be forced to convince the pending blocking-charge for a regional director to process a them to change their minds in a rerun allegations.71 representation petition in those election.63 One commenter states Several commenters also assert that circumstances because the regional generally that pollsters and statisticians the proposed modification of blocking- director would not have ‘‘reasonable who study cognitive biases have shown charge policy is not supported by cause to believe’’ that a question of the long-term effect of coercive empirical data under the current policy 64 representation exists—a prerequisite to behavior. Another commenter asserts that would be relevant to a 58 that it is unfair to hold an election while determination of how many blocking an election under Section 9(c). One 72 commenter claims that a meritorious employees do not know whether the charges were meritorious. 65 unfair labor practice charge alleging that unfair labor practice charge has merit. Commenters also criticize inaccuracies an employer unlawfully instigated or Additionally, several commenters in statistics cited by the Board majority in the NPRM with respect to the number supported a petition to displace an express concerns that having employees of cases where petitions have been incumbent union precludes a question vote in elections that are set aside will blocked and the length of time they of representation because, in those engender a belief that exercising rights under the Act is futile, or that Board were blocked under the current circumstances, the employer has elections are somehow fixed.66 Other policy.73 Some commenters state that improperly circumvented Congress’s commenters contend that holding an the Board has failed to consider intent—set forth in Section 9(c)(1)—to election while the unfair labor practice statistics showing that evidentiary allow employers to file only RM charge is pending creates an impression requirements implemented in the 2015 petitions.59 That same commenter also that the charge necessarily lacks merit, Election Rule have sufficiently states that a meritorious unfair labor based on the belief that the Board would addressed any concerns about the practice charge alleging that an not spend the time, money, and other current blocking-charge policy.74 employer violated Section 8(a)(5) by resources on an initial election if it Finally, some commenters contend that ceasing to recognize and bargain with believes that it might need to hold a the Board’s concern about election delay the incumbent union precludes a rerun election.67 Another commenter resulting from the blocking-charge question of representation because states that the Supreme Court policy is inconsistent with the election displacing the union through an recognized in NLRB v. Gissel Packing delays that will result when the 2019 election would be inconsistent with the Co., 395 U.S. at 575, that employees Election Rule takes effect.75 Board’s obligation to remediate the cannot ‘‘freely determine whether they Having thoroughly considered the Section 8(a)(5) violation with a desire a representative’’ where the foregoing comments, we agree with 60 bargaining order. Finally, the employer has committed unfair labor those who contend that the current commenter states that a meritorious practices that undermined the union’s blocking-charge policy must be unfair labor practice charge against an support and impeded the holding of a modified to provide for the timely employer that caused the union’s loss of free and fair election.68 Some processing of an otherwise valid majority support precludes a question of commenters complain that the proposed petition, at least to the point of representation because the required rule provides for holding an election conducting an election. We remain of showing of interest would be supported even if an employer has engaged in the view expressed in the NPRM that by coerced evidence.61 Relatedly, egregious misconduct, such as this approach ‘‘best satisfies the goal of another commenter states that, where threatening to shoot any employee protecting employee free choice . . . by certain unlawful conduct has been voting for union representation.69 assuring that petitions will be processed committed, conducting elections would Commenters also assert that it would to an election in the same timely be a betrayal of the Board’s statutory be an arbitrary waste of agency and manner as in unblocked[-]petition responsibility.62 party resources to conduct elections that cases.’’ 84 FR at 39938. Accordingly, the final-rule amendment provides that a 58 Comments of AFL–CIO; Workers United, SEIU; 63 Comments of SEIU; AFL–CIO; Kimberly blocking-charge request will no longer Communication Workers of America, AFL–CIO Holdiman; NNU; United Association of Journeymen delay the conduct of an election in any (CWA). and Apprentices of the Plumbing and Pipe Fitting case. As discussed in the following 59 Comment of Workers United. Industry of the United States and Canada, AFL–CIO 60 Id. (UA); American Federation of Teachers, AFL–CIO (AFT); CWA; Utility Workers of America, AFL–CIO 70 Comments of AFL–CIO; NNU; UFCW; UA; 61 Id. (UWUA). IBEW; AFT; Senator Murray; American Federation 62 Comment of Economic Policy Institute (EPI). 64 Comment of International Union of Operating of State, County and Municipal Employees Another commenter contends that processing a Engineers (IUOE). (AFSCME); EPI. representation petition where there is an unfair 65 71 Comments of AFL–CIO; Youngdahl; LIUNA labor practice allegation that previously would have Comment of Jay Youngdahl. 66 MAROC. blocked an election would violate the First and Comments of SEIU; UFCW; UA; LIUNA Mid- 72 Fourteenth Amendments to, and the Take Care Atlantic Regional Organizing Coalition (LIUNA Comments of AFL–CIO; IUOE; LIUNA MAROC; Clause of, the U.S. Constitution, and that it also MAROC). Senator Murray; SEIU; UA; UFCW. raises separation-of-powers concerns. See Comment 67 Comments of CWA; Senator Murray. 73 Comments of AFL–CIO; AFT; IBEW; MRCC; of National Nurses United (NNU) (citing Thomas v. 68 Comment of International Brotherhood of SEIU; UA; UFCW. Collins, 323 U.S. 516 (1945)). This commenter does Electrical Workers, AFL–CIO, CLC (IBEW). 74 Comments of AFSCME; AFL–CIO; CWA; IBEW; not explain its argument, and the cited decision 69 Comments of SEIU; IUOE; Michigan Regional Youngdahl; UFCW; Professor Alexia Kulwiec. does not support the commenter’s claim. Thus, we Council of Engineers and Millwrights (MRCC); 75 Comments of AFT; EPI; SEIU, Local 32BJ (Local reject this claim as unsupported. Senator Murray. 32BJ); UFCW; UWUA; Professor Kulwiec.

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section, however, we also agree with circumstances permit an election in charges were filed by the union, comments suggesting that the vote-and- spite of pending charges.78 adherence to the [blocking-charge] impound procedure proposed in the Turning to the fundamental issue policy in the present case would permit NPRM need only apply to a limited whether any of the unproven unfair the union, as the beneficiary of the class of charges and that in all other labor practice charges currently [e]mployer’s misconduct, merely by cases votes should be counted upon described as Type I and II charges in the filing charges to achieve an indefinite conclusion of the voting. Board’s Casehandling Manual (Part 2) stalemate designed to perpetuate the Representation Proceedings should be union in power. If, on the other hand, Initially, we disagree with the allowed to block the immediate the charges were filed by others contention, advanced by several processing of a petition and conduct of claiming improper conduct on the part commenters opposing the proposed an election, we agree with the of the [e]mployer, we believe that the rule, that the Board lacks the statutory commenters who contend that, in some risk of another election (which might be authority to direct elections in the face cases, meritless unfair labor practice required if the union prevailed but the of some, or even all, blocking charges. charges are filed to prevent employees charges against the [e]mployer were Section 9(c)(1) provides that the Board from exercising their right to vote. As later upheld) is preferable to a three- ‘‘shall direct an election’’ if it finds that some commenters note, ending the year delay.’’); NLRB v. Minute Maid ‘‘a question of representation exists.’’ It policy of blocking elections reduces the Corp., 283 F.2d at 710 (‘‘Nor is the makes no reference to the effect of a incentives for filing meritless unfair Board relieved of its duty to consider pending unfair labor practice charge on labor practice charges and the and act upon an application for an otherwise valid election petition. uncertainty as to whether employees decertification for the sole reason that Similarly, the Board’s current election would ever have the opportunity to an unproved charge of an unfair practice rules, implemented in 2015, state that vote.79 At the very least, as one has been made against the employer. To ‘‘[a] question of representation exists if commenter noted, it would prompt hold otherwise would put the union in a proper petition has been filed unions to think twice before filing a position where it could effectively concerning a unit in which an meritless unfair labor practice charges thwart the statutory provisions individual or labor organization has because they would not be able to permitting a decertification when a been certified or is being currently unnecessarily deprive employees of majority is no longer represented.’’); 80 recognized by the employer as the their right to express their free choice. Pacemaker Corp v. NLRB, 260 F.2d at Further, as discussed in the NPRM, bargaining representative.’’ 29 CFR 882 (‘‘The practice adopted by the Board several federal appellate courts have 102.64(a).76 Consistent with this is subject to abuse as is shown in the expressed concerns about the impact of instant case. After due notice both definition, the existence of a question meritless unfair labor practice charges parties proceeded with the concerning representation is not per se blocking elections. See NLRB v. Hart representation hearing. Possibly for affected by the pendency of a charge Beverage Co., 445 F.2d at 420 (‘‘[I]t some reasons of strategy near the close alleging conduct that, if proven, would appears clearly inferable to us that one of the hearing, the [u]nion asked for an interfere with employee free choice in of the purposes of the [u]nion in filing adjournment. Thereafter it filed a the election. If it were, then the Board the unfair practices charge was to abort second amended charge of unfair labor would lack the discretion to direct an [r]espondent’s petition for an election, if practice. By such strategy the [u]nion election if such charges were pending, indeed, that was not its only purpose.’’); was able to and did stall and postpone regardless of whether a request to block Templeton v. Dixie Color Printing Co., indefinitely the representation has been made—a position wholly at 444 F.2d at 1069 (‘‘The short of the hearing.’’). odds with the Board’s longstanding matter is that the Board has refused to We believe that it would be procedures, which allow elections to take any notice of the petition filed by inappropriate for the Board to continue take place despite the pendency of appellees and by interposing an to disregard these valid concerns that charges in certain circumstances, even arbitrary blocking[-]charge practice, the current blocking-charge policy Type II charges.77 Indeed, longstanding applicable generally to employers, has encourages such gamesmanship, Board procedures permit the processing held it in abeyance for over 3 years. As allowing unions to dictate the timing of of a petition and conduct of an election a consequence, the appellees have been an election for maximum advantage in at the discretion of the charging party deprived during all this time of their all elections presenting a test of who files an unfair labor practice charge statutory right to a representative ‘of representative status.81 The Board has or at the discretion of the regional their own choosing’ to bargain long been aware of the potential—and director upon consideration of whether collectively for them, 29 U.S.C. 157, actuality—of such gamesmanship and despite the fact that the employees have has taken certain measures to 76 The Board’s 2019 Election Rule revisions to its not been charged with any wrongdoing. discourage it. Section 11730 of the existing election rules relevantly state: ‘‘A question Such practice and result are intolerable Board’s current Casehandling Manual of representation exists if a proper petition has been under the Act and cannot be for representation proceedings states filed concerning a unit appropriate for the purpose countenanced.’’); NLRB v. Midtown that ‘‘it should be recognized that the of collective bargaining or concerning a unit in Service Co., 425 F.2d at 672 (‘‘If . . . the which an individual or labor organization has been policy is not intended to be misused by certified or is being currently recognized by the a party as a tactic to delay the resolution employer as the bargaining representative.’’ 84 FR 78 See NLRB Casehandling Manual (Part 2) of a question concerning representation 69524, at 69593 (December 18, 2019) (to be codified Representation Proceedings Sec. 11731.2, .5, and .6. raised by a petition.’’ Further, while at 29 CFR 102.64(a)). The minor differences We note that our final-rule amendment of blocking- between the 2015 and 2019 rules do not affect our charge policy does not alter current law requiring declining to modify the blocking-charge analysis of the issues presented here. that allegations that the individual filing a 77 Type II Blocking Charges are charges that affect decertification petition is a supervisor raise 81 As comments make clear, the discretionary the petition or showing of interest, that condition jurisdictional issues that must be resolved in the ability of a union to affect the timing of an election or preclude a question concerning representation, representation case before an election may be through a blocking charge exists not only for or that taint an incumbent union’s subsequent loss directed. See Modern Hard Chrome Service Co., 124 decertification election (RD) and deauthorization of majority support. NLRB Casehandling Manual NLRB 1235, 1236–1237 (1959). (UD) petitions filed by individual employees, but (Part 2) Representation Proceedings Sec. 11730.3 79 Comments of CDW; the Chamber. also for representation-election petitions filed by a (Jan. 2017). 80 Comment of the Chamber. union (RC) or employer (RM).

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policy in the 2015 Election Rule, the settlement agreement.84 In other words, petition because of a blocking charge— Board did state that it was ‘‘sensitive to they view any charge of conduct so long, in fact, that the employee who the allegation that at times, incumbent potentially affecting the validity of a filed the petition ultimately withdrew it unions may abuse the policy by filing petition or the outcome of an election as and the employees were denied the meritless charges in order to delay presumptively meritorious, for purposes right to vote. That case was by no means decertification elections,’’ 82 and it of blocking an election, until it is an anomaly. In ADT Security Services, sought to address that issue by dismissed or withdrawn. This view No. 18–RD–206831, 2017 WL 6554381 including a provision in § 103.20 of the stands in sharp contrast to the Board’s, (Dec. 20, 2017), the petitioner filed a Board’s Rules and Regulations requiring for which a charge is not meritorious decertification petition after personally that a charging party that files a unless admitted or so found in gathering the required showing of blocking request must simultaneously litigation. Thus, from the Board’s interest. The union filed a blocking provide an offer of proof with names of perspective, the current blocking-charge charge falsely alleging employer witnesses and a summary of their practice denies employees supporting a involvement. Although the union anticipated testimony. petition the right to have a timely eventually withdrew its frivolous We agree that this new evidentiary election based on charges the merits of charge, it succeeded in blocking an requirement would likely facilitate the which remain to be seen, and many of election for several months.87 Likewise, quick elimination of obviously meritless which will turn out to have been in Arizona Public Service Co., No. 28– charges and blocking requests based on meritless. Moreover, even assuming that RD–194724, 2017 WL 2794208 (June 27, them, and thereby permit processing of some commenters are correct that for 2017), the petitioner filed a some petitions with minimal delay. We every meritless charge there are two decertification petition with the also accept as plausible the contention ‘‘meritorious’’ charges that have required showing of interest. The union by some commenters that the appropriately blocked an election,85 this filed a blocking charge alleging requirement may be partly responsible does not justify the very real employer involvement. The union for a decline in blocked petitions since consequences that employees eventually withdrew the charge and lost implementation of the 2015 Election experience when unfair labor practice the subsequent election but was Rule.83 But even assuming the decline charges indefinitely delay their ability successful in delaying its ouster for is, to some extent, attributable to the to vote. nearly 3 months.88 Additionally, in offer-of-proof requirement, we We also acknowledge the claims in Pinnacle Foods Group, LLC, No. 14–RD– nevertheless find that this decline alone the dissent to the NPRM and by some 226626, 2019 WL 656304 (Feb. 2, 2019), does not justify adherence to the current commenters that there were errors in the petitioner filed a decertification blocking-charge policy. A regional some of the data that the NPRM majority petition supported by the requisite director typically acts on a blocking- cited to support the proposed rule and showing of interest. The union filed a charge request soon after the request is that these errors led to exaggeration both charge alleging employer involvement made, if not on the same day, and a of the number of cases delayed and the and the employer’s failure to meet its charge that appears facially sufficient length of delay involved.86 Even bargaining obligations. The region based on an offer of proof may yet be accepting those claims as accurate, the immediately blocked the petition dismissed as meritless after full remaining undisputed statistics without seeking any input from the investigation or may ultimately be substantiate the continuing existence of employer or the petitioner. Although the withdrawn. Meanwhile, under the a systemic delay that supports our region eventually issued a complaint on current policy, an election is delayed policy choice to modify the current relatively minor violations of the Act, it until that happens. blocking-charge procedure that does dismissed the allegations of employer Further, our concerns and those not, and need not, depend on statistical involvement in soliciting support for the expressed by commenters about the analysis. As the AFL–CIO candidly decertification petition. Under the current policy extend to meritorious acknowledges, ‘‘[b]locking elections blocking-charge policy, the regional charges as well. Proponents of the delays elections. That is undeniably true director declined to process the current policy take a broad view of what and requires no ‘statistical evidence’ to decertification petition, even though it constitutes a meritorious blocking demonstrate.’’ We agree. Furthermore, was filed 18 months after the union’s charge. They would include any charge anecdotal evidence of lengthy blocking- certification and 12 months after the under investigation by the regional charge delays in some cases, and parties began bargaining—but only days director that is not facially meritless and judicial expressions of concern about after the decertification petition was alleges conduct that could reasonably this, remain among the several filed, suggesting that its primary affect the election results or the validity persuasive reasons supporting a change purpose was merely to forestall the of the election petition. Necessarily, that will assure the timely conduct of decertification election.89 Then, one then, they would include any charge on elections without sacrificing protections commenter asserts, there is the case of which a regional director decides to against election interference. the employees at Apple Bus Co. in issue a complaint, regardless of whether For instance, in Cablevision Systems Soldotna, Alaska, who were forced to a violation of the Act would ultimately Corp., 367 NLRB No. 59, employees wait years for a decertification election be proven. Based on comments were forced to wait years for a regional because of blocking charges until the supportive of the dissent’s statistical director to process a decertification union ultimately disclaimed interest in survey in the NPRM, they would also continuing representation.90 define as meritorious any blocking 84 See List of FY 2016 and FY 2017 Petitions Cases such as these demonstrate how charge that resulted in a settlement, Blocked Pursuant to Blocking Charge Policy in a blocking charge can postpone an Dissent Appendix, https://www.nlrb.gov/sites/ election, even for years, seriously without inquiry into the terms of the default/files/attachments/basic-page/node-7583/ member-mcferran-dissent-appendix.pdf (last visited 82 79 FR at 74419. Mar. 23, 2020). 87 See Comment of NRWLDF. 83 The statistical summary from Professor John- 85 Comments of Workers United; AFL–CIO; IUOE; 88 See id. Paul Ferguson appended to the Comment of AFL– UFCW; Senator Murray. 89 Id. CIO shows a decline but proves no certain basis for 86 Comments of Workers United; AFL–CIO; IBEW; 90 Id. (citing Apple Bus Co., Case 19–RD–216636, inferring the cause of decline. AFT; UA; UFCW; MRCC. 2019 WL 7584368 (Nov. 18, 2019)).

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harming the interests of employees who that nothing in the Supreme Court’s concerned about preventing wanted it. Although some commenters Gissel decision suggests the inevitability unnecessary delays in the election assert that blocking charges are not to of lingering effects preventing a fair process because we provided in that blame for the unacceptably lengthy rerun election, much less that an rulemaking for pre-election review of delay of elections in certain cases,91 it election should be delayed or unit-scope and voter-eligibility issues. is undisputed that blocking charges preempted prior to any finding in Implicit in this argument is an delay elections. In this regard, it takes adjudication that unfair labor practices assumption that the changes made by time for the General Counsel to have actually been committed. To the that final rule institutionalized investigate a charge and, on occasion, to contrary, that decision makes clear the ‘‘unnecessary’’ delays. We could not litigate a complaint based on the Court’s implicit view that typically, fair disagree more. As stated in response to charge.92 We believe that it is our elections can be held after an employer the dissent to that rule, the amendments obligation to prevent this needless delay has undisputedly committed unfair made there were based on the belief that of employees’ exercise of their right to labor practices. A rerun election ‘‘the expedited processes implemented express their free choice regarding remains the norm after a first election in 2014 at every step of the election union representation in a timely held has been set aside based on such process . . . unnecessarily sacrificed election. misconduct. The extraordinary prior elements of Board election Additionally, we believe that the alternative of imposing an affirmative procedure that better assured a final concerns raised about the harm that bargaining order is warranted only electoral result that is fundamentally employees would suffer by voting in an when standard remedies stand no or fairer and still provides for the conduct election that is later set aside are only a slight chance of ameliorating the of an election within a reasonable overstated and can be addressed by the lingering effects of adjudicated serious period of time from the filing of a prophylactic post-election procedures of unfair labor practices.94 petition.’’ 84 FR at 69577. In contrast, certification stays and, in some cases, One commenter notes that, if an the changes that the final rule here impounding ballots, set forth in the final election is held but votes are makes in the blocking-charge policy do rule. We also note that from the Board’s impounded, the workforce may change address unnecessary delay in the earliest years, it has set aside the results by the time the election results are conduct of an election without 95 of elections based on meritorious certified. As discussed below, our sacrificing safeguards against unfair objections and has ordered second final-rule amendment retains the labor practice charges that might affect elections. See, e.g., Paragon Rubber Co., proposed vote-and-impound procedure the election results. Further, in at least 7 NLRB 965, 966 (1938). In many of for only a limited category of cases, but some cases, the delay involved in those cases, the objectionable conduct certification will in any event be blocking an election has been months or was an unfair labor practice. Based on postponed for some period of time if a years, far exceeding the additional days our extensive experience in handling blocking charge is still pending when an or weeks added to the election election objections, we reject the notion election concludes. In any event, the processing timeframe by the 2019 that employee free choice in a second commenter’s observation misses the Election Rule. critical point that our concern is with election will invariably be affected by a Some commenters assert that prior election loss set aside based on the harmful effects on employee free choice of election delay, rather than eliminating the policy of blocking unfair labor practices. That has not been elections based on pending charges may the case in many rerun elections where with any post-election delay until a certification of results or representative force the Board to expend additional employees vote for union representation resources in holding second elections in a second or even third election. In issues. For various reasons previously stated, blocking charges should neither that would not be necessary if initial fact, contrary to the suggestion of some elections are delayed. We do not commenters, we believe that when the prevent the timely processing of an otherwise valid petition nor preclude consider this to be a waste by any Board orders a second election based on means, and any consequential costs are unfair labor practices committed during those employees who support it from participating in a timely-conducted worth the benefits secured. the critical pre-election period, that Preliminarily, it is clearly not the case sends a positive signal to employees election. Considering these factors, we disagree with one commenter’s that unfair labor practices alleged in a that the Board will protect their free charge, even if meritorious, will choice when the results of an actual argument that we should maintain the status quo—and its attendant, invariably result in a vote against union election require doing so. In addition, unnecessary delay in employees’ representation. If the union prevails the Board holds rerun elections only at exercise of free choice—because that despite those unfair labor practices, an appropriate time after the original delay ‘‘is a small price to pay.’’ 96 We there will be no second election. In any election is set aside—i.e., after the find instead that it is far too great a price event, one of the principal duties of the effects of the unlawful or objectionable Board is to resolve questions of 93 for employees to pay. conduct have dissipated. We also note As stated above, several commenters representation by holding elections, and allege that our expressed concern about that duty is not discharged where the 91 Comments of AFL–CIO; UA. election delay resulting from the current Board does not process a representation 92 Comment of CDW. 93 One commenter’s claim that a federal district blocking-charge policy is inconsistent petition, especially where there is no court in Amirault v. Shaughnessy, No. H–84–113, with the 2019 Election Rule.97 They legitimate basis for delaying an 1984 WL 49161, at *4 (D. Conn. Feb. 8, 1984), claim that we cannot seriously be election.98 As the General Counsel has issued a temporary restraining order to halt a union- stated, ‘‘any burden on the Regions in affiliation election under the Labor Management vote—but it also was reversed by the court of Reporting and Disclosure Act (LMRDA) because of conducting elections where the ballots appeals, reported at 794 F.2d 676 (2d Cir. 1984) what it speculated would be the harmful effect of may never be counted is outweighed by (table). See Reply Comment of AFL–CIO. that election on any subsequent election has no the critical benefit of ensuring employee 94 See NLRB v. Gissel Packing Co., supra, 395 U.S. bearing on the issue here. That case not only is free choice.’’99 inapposite based on its facts—which involved the at 610–616. effect of union-affiliation opponents being denied 95 Comment of AFSCME. the opportunity under the LMRDA to present their 96 Comment of Youngdahl. 98 Comment of CDW. views before the holding of a special convention 97 Comments of SEIU; EPI; Local 32BJ. 99 Comment of GC Robb.

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For the foregoing reasons (and those should not depend on employees’ be delayed while the unfair labor discussed in the NPRM), we continue to geographic locations.105 practice charge is resolved. believe that revising the blocking-charge As reflected in these comments, and Other commenters suggest that the policy to end the practice of delaying an as discussed in the NPRM, concerns expedited evidentiary requirement for election represents a more appropriately have been raised about regional blocking charge requests adopted in the balanced approach to the issue of how directors not applying the current 2015 Election Rule is a sufficient alternative to the proposed change. In to treat election petitions when relevant blocking-charge policy consistently, this connection, some commenters unfair labor practice charges are thereby creating uncertainty and claim that the Board has not fully pending. It ensures that employees are confusion about when, if ever, parties studied the effects of that Rule, or that able to express their preference for or can expect an election to occur. See Zev we should maintain the status quo for against union representation in a timely J. Eigen & Sandro Garofalo, Less Is More: an indefinite length of time because of held Board election, while maintaining A Case for Structural Reform of the that Rule.109 We reject those claims. As effective means for addressing election National Labor Relations Board, 98 one commenter suggests, at least some interference. This is an outcome that we Minn. L. Rev. 1879 at 1896–1897 meritless unfair labor practice charges believe we can, and should, guarantee (‘‘Regional directors have wide for every employee covered under the are still being filed, notwithstanding the discretion in allowing elections to be Act, while at the same time imposing 2015 Election Rule’s requirement of a blocked, and this sometimes results in minimal burden on the parties to an submission of a perfunctory offer of the delay of an election for months and election and, just as importantly, the proof.110 In any event, as previously in some cases for years—especially employees who vote in those elections. discussed, the offer-of-proof when the union resorts to the tactic of requirement is likely to result in prompt 2. Comments Regarding Other filing consecutive unmeritorious dismissal or withdrawal of only the Alternatives charges over a long period of time. This most obviously meritless charges. is contrary to the central policy of the Several commenters contend that Beyond that, as also discussed, we find Act, which is to allow employees to that the better policy protective of there are adequate existing alternatives freely choose their bargaining that make it unnecessary to abolish the employee free choice is to eliminate representative, or to choose not to be blocking-charge policy. blocking elections based on any pending represented at all.’’). Some commenters observe that unfair labor practice charges, even those regional directors already have We do not believe that granting that may ultimately be found to have discretion to decide to process a petition broader discretion to regional directors merit. However, the final rule preserves despite a pending unfair labor practice is a preferable alternative to eliminating the evidentiary requirements created by charge.100 One commenter states that altogether the policy of blocking an the 2015 Election Rule. Finally, to the extent that the Board’s variation in the exercise of such election based on an unfair labor recent decision in Johnson Controls, discretion is to be expected as a practice charge. As one commenter Inc., 368 NLRB No. 20 (2019), addresses consequence of what the commenter notes, the Board is entrusted with our concern about the post-contract characterizes as a law-enforcement setting national labor policy, and it presumption of union majority support context of a prosecutorial determination would better fulfill that duty by creating in the face of contrary evidence, as one of merit in the blocking charge.101 a uniform election schedule, commenter suggests,111 that decision is Commenters suggest that, as an notwithstanding any pending unfair not a sufficient alternative to ending the alternative to proceeding to an election labor practice charges, than by giving blocking-charge policy. Even under but impounding the ballots (or delaying regional directors even more discretion Johnson Controls, anticipatory the certification), the Board could grant to decide whether employees should withdrawals based upon evidence of greater discretion to regional have a timely opportunity to vote in an 106 employee disaffection could still be as directors.102 election. As another commenter states, the more that employees are left ineffective as the RM-petition ‘‘safe However, one commenter contends harbor’’ because a union could still file that currently, some regional directors in the dark as to when—much less whether—they will be able to vote, the a charge blocking employees from reflexively block elections in cases getting to vote in an election, while the where unfair labor practice charges are further deprived they are of laboratory conditions.107 employer may feel compelled to retain filed, even when the underlying offer of the employees’ existing terms and proof is weak and the charges are It is because of this need for conditions of employment out of patently frivolous, minor, and/or uniformity that we also decline to create concern that it may otherwise be 103 false. And one commenter asserts an exception, as proposed by one of the engaging in objectionable conduct. that regional directors act arbitrarily in commenters, to continue to allow an determining which types of charges election to be blocked when it is the 3. Modifications to the Proposed Rule should block an election by, for petitioner who files the unfair labor and Arguments Regarding Settlements instance, largely ignoring the election- practice charge.108 Doing so would Some commenters argue that a vote- related effects of unfair labor practices preserve the opportunity for a petitioner and-impound procedure for all unfair committed by unions.104 Further, one to manipulate the timing of the election labor practice charges, as proposed in commenter notes the substantial for maximum advantage. If a petition is the NPRM, would not provide the inconsistency that already exists across filed presenting a question of expected salutary effect that would regions, and argues that the opportunity representation, we believe the election come from a charging party—fully to vote in a timely-conducted election should proceed regardless of who files aware of the results of the election— the petition, although certification may knowing that it was acting either with 100 Comments of SEIU; Professor Kulwiec. 101 Comment of IUOE. 105 Comment of CDW. 109 Comments of SEIU; Professor Kulwiec; AFL– 102 See, e.g., Comments of IUOE; CWA. 106 Comment of the Chamber. CIO; CWA; AFSCME; IBEW. 103 Comment of NRWLDF. 107 Comment of COLLE. 110 Comment of CDW. 104 Id. 108 Comment of AFL–CIO. 111 Comment of UFCW.

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the support of or in the teeth of 60-day period will reasonably provide that the Board does not intend this employees’ wishes.112 In particular, as sufficient time for the General Counsel rulemaking to address other election-bar one commenter notes, impoundment of to investigate the charge and assess its policies, including the settlement bar. ballots does not fully ameliorate the merits without substantially affecting 84 FR at 39931 fn. 3. Thus, the rule, by problems with the current blocking- employees’ interests in knowing the its terms, applies to requests to block an charge policy because impoundment electoral outcome.116 Additionally, the election with an unfair labor practice fails to decrease a union’s incentive to final rule specifies that, if a complaint charge, and it does not apply where a delay its decertification by filing issues with respect to the charge during party seeks to interpose a settlement meritless blocking charges; makes it the 60-day period, then the ballots shall agreement as a bar to an election. more difficult for parties to settle continue to be impounded until there is Further, the types of settlements, and blocking charges, as they would not a final determination regarding the the circumstances in which they can be know the results of the election during charge and its effects, if any, on the reached, are myriad. For all of these their settlement discussions; and further election petition. If the charge is found reasons, this rule does not address the frustrates and confuses employees to have merit in a final Board effect of settlements or disturb the waiting, possibly for an extended post- determination, we will set aside the Board’s case law addressing the effects election period, to learn the results of election and either order a second of various types of settlements. Any 113 the election. election or issue an affirmative possible changes in the law on those After considering those arguments, we bargaining order, depending on the issues are left for other proceedings. Cf. agree with commenters who state that it nature of the violation or violations Mobil Oil Expl. & Producing Se. Inc., would be preferable for ballots to be found to have been committed. If the 498 U.S. at 231 (‘‘[A]n agency need not counted immediately after the charge is withdrawn or dismissed at any solve every problem before it in the conclusion of the election, but holding time during the 60-day impoundment same proceeding.’’); Advocates for the certification of the election results in period, or if the 60-day period ends Highway & Auto Safety, 429 F.3d at abeyance pending the resolution of the without a complaint issuing, then the unfair labor practice charge.114 1147 (‘‘Agencies surely may, in ballots shall be promptly opened and appropriate circumstances, address Accordingly, the final rule makes that counted. The final rule also specifies change with regard to most categories of problems incrementally.’’). We note that, if unfair labor practice charges are that, under existing procedures that this unfair labor practice charges. filed serially, the 60-day period will not At the same time, however, some rule does not disturb, a party that files be extended. a request for review of a decision and types of unfair labor practice charges In our view, these two different direction of election prior to the election speak to the very legitimacy of the procedures—a vote-and-count may request extraordinary relief in the election process in such a way that procedure for most categories of form of, among other things, warrants different treatment— charges, and a vote-and-impound impoundment of some or all of the specifically, those that allege violations procedure for some limited categories of ballots. See 29 CFR 102.67(j). Thus, of Section 8(a)(1) and 8(a)(2) or Section charges—best accommodate the various there is an existing mechanism that 8(b)(1)(A) of the Act and that challenge concerns that the commenters have allows a request to keep the ballots the circumstances surrounding the raised while protecting the rights that petition or the showing of interest we are obligated to safeguard. For that impounded in appropriate submitted in support of the petition, reason, we reject the assertion of some circumstances. and those that allege that an employer commenters that we have not attempted F. Final-Rule Amendment Regarding has dominated a union in violation of to balance, or even quantify, the burden Voluntary-Recognition Election Bar Section 8(a)(2) and that seek to and the benefit in adopting these disestablish a bargaining relationship. revised procedures.117 The Board also received numerous We believe that in cases involving those Finally, we note that we received comments on the proposed amendment types of charges, it is more appropriate some comments regarding the proposed concerning the current immediate to impound the ballots than to promptly rule’s effects on settlements.118 voluntary-recognition bar. We have count them. Nevertheless, in order to However, the NPRM expressly stated carefully reviewed and considered these avoid a situation where employees are comments, as discussed below. unaware of the election results determine the timing of a representation election indefinitely, we believe it is appropriate and disclosure of the results of that election during 1. Comments About Voluntary to set an outer limit on how long ballots the investigation of an unfair labor practice charge, Recognition Relative to Board Elections will be impounded. Accordingly, the but the General Counsel has independent authority under Sec. 3(d) of the Act to investigate the charge, final rule provides that the Two commenters state that voluntary without any limitation on the length of that recognition is ‘‘favored,’’ quoting NLRB impoundment will last for only up to 60 investigation. See Comments of AFL–CIO; CWA. days from the conclusion of the election 116 We note that the NLRB’s 2019 Performance v. Broadmoor Lumber Co., 578 F.2d 238, 119 if the charge has not been withdrawn or and Accountability Report states that in fiscal year 241 (9th Cir. 1978). In addition, one dismissed prior to the conclusion of the 2019, the Agency’s regional offices processed unfair commenter asserts that the Act does not labor practice charges from filing to disposition in create separate bargaining obligations or election, in order to give the General a median of 74 days. NLRB, FY 2019 Performance Counsel time to make a merit and Accountability Report 7, https://www.nlrb.gov/ ‘‘different systems of private ordering’’ determination regarding the unfair labor sites/default/files/attachments/basic-page/node- for unions based on whether they practice charge.115 We believe that this 1674/nlrb-par-2019-design-508.pdf (last visited achieved their status through voluntary Mar. 23, 2020). Moreover, we would expect that recognition or certification.120 Further, investigations of charges triggering the vote-and- 112 Comments of ABC; NRWLDF. impound procedure could be given priority and several commenters note that voluntary 113 Comment of NRWLDF. conducted expeditiously. These considerations recognition predated the Act, and that 114 Comment of the Chamber. further support our conclusion that a 60-day limit the Act created the election process only 115 To the extent that some commenters suggest on the duration of ballot impoundment represents as a means of resolving questions of that we could impose an outer limit on the duration a reasonable limitation on employees’ interest in of the General Counsel’s unfair labor practice learning the outcome of the vote. investigation, we reject those suggestions as beyond 117 Comments of AFL–CIO; UFCW. 119 Comments of Local 32BJ; AFSCME. our authority. The Board retains the authority to 118 Comments of SEIU; AFL–CIO; Local 32BJ. 120 Comment of UFCW.

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representation when the parties could Packing Co., 395 U.S. at 602. Although consequences of unionization.129 not resolve them privately.121 voluntary recognition is a valid method Moreover, as one commenter notes, a It is well established that voluntary of obtaining recognition, authorization card check often is accompanied by recognition and voluntary-recognition cards used in a card-check recognition formal or informal employer neutrality, agreements are lawful. NLRB v. Gissel process are ‘‘admittedly inferior to the which may effectively deprive Packing Co., 395 U.S. at 595–600; election process.’’ Id. at 603. employees of any exposure to United Mine Workers of America v. As several commenters note, the information or argument that might Arkansas Oak Flooring Co., 351 U.S. at Board takes prophylactic measures to cause them to decline representation.130 72 fn. 8. However, as several ensure a free and fair ballot in elections Some commenters claim that there is commenters note,122 it also is well that it conducts (e.g., requiring posting no evidence to support these established that Board elections are the election notices at least 3 days contentions.131 Relatedly, one Act’s preferred method for resolving beforehand).125 Further, as some commenter claims that workers do not questions of representation. commenters note, because the Board obtain more accurate information during As an initial matter, the Act itself does not supervise voluntary Board election campaigns than they do implicitly supports this principle. As recognitions, it generally cannot know during voluntary-recognition efforts.132 some commenters note, unlike the whether an employer-recognized union However, the ‘‘uninhibited, robust, and election bar, the voluntary-recognition has the uncoerced support of a majority wide-open debate’’ characteristic of a bar is not in the Act; it is a Board- of employees.126 Unlike votes cast in Board-conducted election better fulfills 123 created doctrine. Further, the 1947 private during Board-conducted secret- the national labor policy that Congress Taft-Hartley amendments to Section 9 of ballot elections, card signings are public has established. See Chamber of the Act limited Board certification of actions, susceptible to group pressure Commerce of U.S. v. Brown, 554 U.S. exclusive collective-bargaining exerted at the moment of choice. Even 60, 68 (2008) (NLRA preempted state representatives—and the benefits that if such pressure is not unlawfully law restricting use of state funds to 124 result from certification —to unions coercive, it warrants consideration in assist, promote, or deter union that prevail in a Board election. While determining the reliability of an organizing). the Act’s text does not state an explicit employee’s choice. As several Another advantage of a Board election preference for Board elections, the commenters note, employees may sign is that it presents a clear picture of election-year bar and the greater cards because they are susceptible to employee voter preference at a single statutory protections accorded to a peer pressure or do not want to appear moment. As some commenters note,133 Board-certified bargaining nonconformist or antagonistic.127 See, elections provide a ‘‘snapshot in time’’ representative implicitly reflect e.g., NLRB v. Village IX, Inc., 723 F.2d while card signings may take place over congressional intent to encourage the 1360, 1371 (7th Cir. 1983) (‘‘Workers a period of time, during which use of Board elections as the preferred sometimes sign union authorization employee sentiment can change. See, means for resolving questions cards not because they intend to vote for e.g., Johnson Controls, Inc., 368 NLRB concerning representation. the union in the election but to avoid No. 20 (six employees signed union Additionally, both the Board and the offending the person who asks them to authorization cards shortly after signing courts have long recognized that secret- sign, often a fellow worker, or simply to decertification petition); Alliant Food ballot elections are better than voluntary get the person off their back, since Service, 335 NLRB 695 (2001) (16 recognition at protecting employees’ signing commits the worker to nothing employees who signed cards for 1 union Section 7 freedom to choose, or not (except that if enough workers sign, the subsequently signed cards for another choose, a bargaining representative. See, employer may decide to recognize the union). e.g., Linden Lumber Div. v. NLRB, 419 union without an election).’’). Of course, According to one commenter, the fact U.S. 301, 304 (1974); NLRB v. Gissel as several commenters also note, that an election takes place at a single Packing Co., 395 U.S. at 602; Transp. signatures on authorization cards may moment disenfranchises employees who Mgmt. Servs. v. NLRB, 275 F.3d 112, 114 134 be the result not merely of peer are absent on the day of an election. (D.C. Cir. 2002); NLRB v. Cayuga pressure, but of threats, intimidation, But, as the General Counsel notes, some Crushed Stone, Inc., 474 F.2d 1380, coercion, harassment, or other conduct employees may be completely unaware 1383 (2d Cir. 1973); Levitz Furniture Co. that falls far short of the ‘‘laboratory of an organizing effort prior to a of the Pacific, 333 NLRB at 727; conditions’’ the Board seeks to ensure voluntary recognition because a union Underground Service Alert, 315 NLRB during elections.128 Absent an electoral needs signatures from only a majority of 958, 960 (1994). As the United States 135 option, the only way for an employee to the unit. It is not unreasonable to Supreme Court has stated, ‘‘secret address this conduct would be to file an conclude that if a union knows or elections are generally the most unfair labor practice charge, with the suspects which employees may be satisfactory—indeed the preferred— prospect of an extended investigation inclined to support it, the union may method of ascertaining whether a union and litigation period to follow, during target those employees to sign cards has majority support.’’ NLRB v. Gissel which the challenged bargaining while avoiding employees perceived to relationship would continue. be less sympathetic to the union’s 121 Comments of IUOE; AFL–CIO; EPI; IBEW; St. efforts. In contrast, all unit employees Louis-Kansas City Carpenters Regional Council. Further, as some commenters note, 122 Comments of GC Robb; CDW; Representatives employees often sign cards due to receive advance notice of the Foxx and Walberg; NRWLDF; CNLP. misunderstandings, misrepresentations, opportunity to vote in a Board- 123 Comments of NRWLDF; COLLE; CDW. or lack of information about the conducted representation election. In 124 Those benefits include a 12-month bar to election petitions under Sec. 9(c)(3) as well as to 129 125 E.g., Comment of COLLE. Comments of NRWLDF; the Chamber. withdrawal of recognition; protection against 130 Comment of CDW. recognitional picketing by rival unions under Sec. 126 E.g., Comments of NRWLDF; CDW. 131 Comments of IUOE; Local 32BJ. 8(b)(4)(C); the right to engage in certain secondary 127 Comments of COLLE; CDW; GC Robb; the 132 and recognitional activity under Sec. 8(b)(4)(B) and Chamber. Comment of Local 32BJ. 7(A); and, in certain circumstances, a defense to 128 Comments of NRWLDF; GC Robb; 133 Comments of CDW; GC Robb. allegations of unlawful jurisdictional picketing Representatives Foxx and Walberg; the Chamber. 134 Comment of Local 32BJ. under Sec. 8(b)(4)(D). See also Reply Comment of CNLP. 135 Comment of GC Robb.

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agreement with the General Counsel, we amendments precludes the filing of a employees to vote in a ‘‘timelier believe that employees who would blocking charge with respect to an manner.142 We disagree with this otherwise be left in the dark regarding election petition filed after voluntary comment. Nothing in the RFI, which a voluntary-recognition drive should recognition. The same ‘‘laboratory had no effect on the validity of have the opportunity to campaign and conditions’’ standard will apply to the procedures established by the 2015 vote against representation or in favor of conduct of that election, and the same Election Rule, or in the amendments to a different union 136—even if that means consequences will ensue if the blocking those procedures set forth in the Board’s that employees who are absent on the charge is ultimately found to have merit. 2019 Election Rule, which were day of the election (for which they Relatedly, some commenters argue founded on independent reasons stated receive advance notice) are unable to that Johnson Controls, supra, undercuts therein, undercut the statutory, judicial, vote.137 the rationale that a Board election is the and agency preference for Board Some commenters contend that preferred means of determining majority elections. laboratory conditions are sometimes support, insofar as ‘‘the non-electoral Additionally, some commenters destroyed during election campaigns 138 showing of lack of majority support contend that the rule discriminates and that pressure from employers or there is no more reliable than the non- against voluntary recognition, contrary other employees can occur during such electoral showing of majority support to various provisions of Section 1 of the campaigns.139 We agree. However, the addressed in’’ the rule here.141 We Act (‘‘encouraging practices Board’s election process provides for disagree. In Johnson Controls, the Board fundamental to the friendly adjustment post-election review of unlawful and held that proof of an incumbent union’s of industrial disputes’’; protecting other objectionable conduct, and such actual loss of majority support, if ‘‘exercise by workers of full freedom of review may result in the invalidation of received by an employer within 90 days association, self-organization, and the election results and the conduct of prior to contract expiration, designation of representatives of their a rerun election. There are no conclusively rebuts the union’s own choosing, for the purpose of guarantees of comparable safeguards in presumptive continuing majority status negotiating the terms and conditions of the voluntary-recognition process. This when the contract expires. 368 NLRB their employment or other mutual aid or is a meaningful distinction that supports No. 20, slip op. at 2. However, the Board protection’’; preventing ‘‘industrial previous court and Board decisions that also held that, in those circumstances, strife or unrest’’; and ‘‘encouraging the Board-conducted elections are the union may attempt to reestablish practice and procedure of collective preferable to voluntary recognition. that status by filing a Board election bargaining’’).143 One commenter also One commenter states that the petition within 45 days from the date asserts that the rule is contrary to proposed changes to the blocking-charge the employer gives notice of an Section 8(a)(5) and Section 9(a) of the policy are inconsistent with the anticipatory withdrawal of recognition. Act insofar as it ‘‘would place rationale stated here—i.e., that Id. Consequently, Johnson Controls bargaining relationships formed by conditions attendant to Board elections established a process parallel to the one voluntary recognition at a disadvantage make such elections preferable to we adopt here in the final-rule from their inception.’’ 144 voluntary recognition.140 We disagree. amendment. That is, after a bargaining On the contrary, the final-rule As previously stated, our revision of the relationship has been established or amendment here does not discriminate blocking-charge policy is intended to repudiated on the basis of a non-Board against or in any way restrict the lawful protect the right of employees to a showing of majority-employee support voluntary establishment of majority- timely election. The outcome of that for this action, employees will still have supported bargaining relationships, nor election may still be invalidated by the an immediate limited opportunity for a does it limit the immediate statutory ultimate resolution of the merits of the referendum on that action in a Board- rights and responsibilities that ensue blocking charge and its effects on supervised private-ballot election. For upon commencement of those employee free choice, but the timely that matter, our final amendment of the relationships. The amendment simply conduct of the election is entirely voluntary-recognition bar provides provides for a limited post-recognition consistent with the concept that a greater protection to a continuing opportunity for employees to exercise secret-ballot Board election is the bargaining relationship than Johnson their statutory right of free choice preferred method for determining Controls does for majority-based through the preferred means of a Board whether a union has majority support. withdrawal of recognition. If no petition election as to whether that relationship Further, nothing in our final-rule is filed within the post-recognition should continue without the possibility period permitted under the rule, the of further challenge for a substantial 136 Id. recognition and contract-bar rules will period of time. In this regard, several 137 Moreover, as noted in NLRB Casehandling take effect, potentially postponing any commenters correctly note that, Manual (Part 2) Representation Proceedings Sec. 11302 (Jan. 2017), election-scheduling details ‘‘are electoral challenge for years. In contrast, currently, the immediate voluntary- ordinarily based upon the parties’ voluntary even if no petition is filed during the recognition bar and the contract bar, meeting of the minds (with the regional director’s Johnson Controls open period following together, can block employees’ right to approval), as reflected in an election agreement.’’ In anticipatory repudiation, a petition can the event the regional director has to determine this an election for 4 years (assuming a 3- matter, the manual provides that ‘‘[w]here there is be filed at any time after expiration of year contract)—or even longer if the a choice, the regional director should avoid the parties’ final contract. parties do not begin bargaining right scheduling the election on dates on which all or One commenter contends that the away, as the voluntary-recognition bar part of the facility will be closed, on which past purported preference for Board elections experience indicates that the rate of absenteeism period begins not at recognition, but will be high, or on days that many persons will be conflicts with the Board’s December 14, when the parties start bargaining.145 away from the facility on company business or on 2017 Request for Information (RFI) on Given this fact, we believe that the vacation.’’ In either event, the procedures aim to the 2015 Election Rule, 82 FR 58783, immediate post-recognition imposition minimize as much as possible the inasmuch as the RFI was allegedly an disenfranchisement of employees because they are absent on election day. attempt to weaken the 2015 Election 142 Comment of EPI. 138 Reply Comment of IBEW. Rule, which made it possible for 143 Comments of AFL–CIO; EPI; UFCW. 139 Comments of Local 32BJ; UA. 144 Comment of UFCW. 140 Comment of SEIU. 141 Comments of SEIU; NNU. 145 Comments of NRWLDF; CDW; GC Robb.

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of an election bar does not sufficiently incrementally.’’). And we decline to recognized union in only 1.2 percent of protect affected employees’ statutory decide, in the context of this the total cases in which Dana notices right to exercise their choice on rulemaking, that postings should be were requested. collective-bargaining representation required in contexts outside the scope of On the other hand, in the elections through the preferred method of a this rule. Accordingly, we reject these that were held under Dana, employees Board-conducted election. This comments. voted against continued representation consideration provides considerable Relatedly, one commenter states that by the voluntarily recognized union support for the proposed rule. there is no window period for approximately 25 percent of the time. Further, several commenters contend reconsideration and an election petition Id. at 751 (Member Hayes, dissenting). that voluntary recognition is arguably when an employer lawfully withdraws According to one commenter, this more democratic than a Board election recognition based on a showing of reversal rate shows that voluntary because it requires a majority of all actual loss of majority support, or after recognition is not a reliable indicator of eligible employees, not just a majority of a union loses an election and wants a re- majority-employee support.150 those who vote in an election.146 We do vote just in case employees have In our view, the fact that only a small not dispute that voluntary recognition changed their minds.148 We disagree. As percentage of all Dana notices resulted must always be based on an absolute stated above, when an employer in ending continued representation by majority of bargaining-unit employees, lawfully withdraws recognition based the voluntarily recognized union does while the result of a Board election will on a petition or cards showing an actual not mean that the post-recognition open be based on the choice of a majority of lack of majority support, employees do period procedure was unnecessary and unit employees who actually vote. We have an opportunity for reconsideration should not be restored. The fact that in disagree, however, that this makes and an election: They can immediately about 1 out of every 4 Dana elections a voluntary recognition more democratic file an election petition if they can majority of employees voted to reject than a Board election. The conditions garner the supporting 30 percent continued representation by a under which a choice is expressed, and showing of interest for one. And after a voluntarily recognized union is far from the safeguards surrounding it, are as union loses an election, the Act itself meaningless. Neither is the fact that much as part of the democratic process bars another election for 1 year precisely Dana elections were held in only a as the number of those who register a because employees have already voted small percentage of cases where the choice. A secret-ballot election, in a Board election. This does not mean required notice of voluntary recognition overseen by a neutral federal agency that the Board should decline to allow and the right to petition for an election with the power to prevent or remedy employees, in a voluntary-recognition was given. In our view, Dana served its any objectionable conduct affecting the situation where employees have not intended purpose of assuring employee election, provides a far greater assurance voted in a Board election, to have a free choice in all of those cases at the of a truly democratic outcome than does limited period of time to petition for an outset of a bargaining relationship based the voluntary-recognition process. election where they can express their on voluntary recognition, rather than 1 views by secret ballot. to 4 years or more later. Some 2. Comments Alleging That the Rule is commenters speculate that we could Arbitrary 3. Comments Regarding Post-Dana expect to see the same percentage of Experience Some commenters assert that reversed outcomes after Board- requiring notices only in the context of Several commenters assert that data conducted elections if the statutory voluntary recognition is arbitrary: from the post-Dana period do not election bar did not exist to temporarily Notices are not required when an support the proposed rule because they bar second elections,151 or that the employer withdraws recognition from a show that workers requested an election reversal rate could represent something certified union, or when a one-year in only a small percentage of cases, and like ‘‘buyer’s remorse’’ rather than the election bar expires; non-union workers voted against the incumbent unreliability of authorization cards.152 employers are not required to post union in only a fraction of those Even were there evidence to support notices to employees about how to cases.149 As discussed in Lamons such speculation, we nonetheless obtain Board recognition of a union; and Gasket, as of May 13, 2011, the Board believe that giving employees an in no other context does the Board had received 1,333 requests for Dana opportunity to exercise free choice in a require that employees be given notice notices. 357 NLRB at 742. In those Board-supervised election without of their right to change their minds cases, 102 election petitions were having to wait years to do so is still about a recent exercise of statutory subsequently filed, and 62 elections solidly based on and justified by the rights.147 were held. Id. In 17 of those elections, policy grounds already stated. It may or may not be true that notices the employees voted against continued Further, as for the 1231 cases in should be required in some of these representation by the voluntarily which Dana notices were requested but other contexts. But the rule is not recognized union, including 2 instances no petitions were filed, we know arbitrary merely because it does not in which a petitioning union was nothing about the reasons for that address those other contexts. Cf. Mobil selected over the recognized union and outcome. Specifically, we know nothing Oil Expl. & Producing Se. Inc., 498 U.S. 1 instance in which the petition was about the reliability of the proof of at 231 (‘‘[A]n agency need not solve withdrawn after objections were filed. majority support that underlay every problem before it in the same Id. Thus, only 7.65 percent of Dana recognition in each of these cases, nor proceeding.’’); Advocates for Highway & notice requests resulted in election do we know why no petition was filed. Auto Safety, 429 F.3d at 1147 petitions, only 4.65 percent of Dana What we do know is that the employers (‘‘Agencies surely may, in appropriate notices resulted in actual elections, and and unions who voluntarily entered into circumstances, address problems employees decertified the voluntarily bargaining relationships during Dana’s effective period complied with the 146 Comments of AFT; SEIU; UFCW; St. Louis- 148 Comment of AFSCME. Kansas City Carpenters Regional Council; Professor 149 Comments of Workers United; IUOE; AFL– 150 Kulwiec. CIO; NNU; EPI; UFCW; UA; IBEW; Local 32BJ; Comment of NRWLDF. 147 Comments of UA; IBEW; AFSCME; SEIU; AFSCME; St. Louis-Kansas City Carpenters 151 Comments of Local 32BJ; AFL–CIO. AFL–CIO; NNU. Regional Council. 152 Comment of Local 32BJ.

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notice requirement in impressive agreements). Further, there is no their grievances, and bargaining on their numbers and, as a consequence, we can evidence that, under Dana, voluntary behalf for a first contract. Even if a be confident that affected employees recognition was less frequent. In fact, as decertification or rival union petition is were adequately informed of their discussed above, only 7.65 percent of filed during the 45-day window period, opportunity to file for an election. In Dana notice requests resulted in that will not require or permit the sum, Dana imposed no apparent election petitions—and approximately employer to withdraw from bargaining material hardship and provided the three-quarters of those resulted in a or to refrain from executing a contract intended benefits of notice and continuation of the bargaining with the incumbent union. See Dresser opportunity to exercise important relationship, with the additional Industries, Inc., 264 NLRB 1088, 1089 statutory rights. benefits of Board certification. As one (1982); RCA del Caribe, Inc., 262 NLRB One commenter asserts that between commenter notes,156 this includes a 963, 965 (1982). If the union is Fiscal Year 2012 and Fiscal Year 2019, protected 1-year period for negotiation decertified after a contract has been unlawful-recognition charges made up of a collective-bargaining agreement,157 signed, the contract would lose effect. only about 1.6 percent of total unfair as opposed to the reasonable period of Wayne County Neighborhood Legal labor practice charges, and the time for bargaining after voluntary Services, 333 NLRB 146, 148 fn.10 commenter claims that the percentage recognition, a period that could be as (2001); RCA del Caribe, 262 NLRB at should have been higher if the Board’s little as 6 months. 966; Consolidated Fiberglass Products, animating concerns were founded.153 Other commenters argue that the rule 242 NLRB 10 (1979). On the other hand, Relatedly, another commenter asserts will discourage or delay collective as noted above, if the union prevails in that post–Lamons Gasket, only a small bargaining. In this regard, one a post-recognition election, it will have percentage of unlawful-recognition commenter asserts that the rule the benefit of an extended one-year charges resulted in a Board order, and ‘‘invites’’ employees to file election period for contract negotiations, during that, if the overruling of Dana had truly petitions and that this will delay which, absent unusual circumstances, undermined free choice, there should collective bargaining and its majority status cannot be challenged. have been an increase in such representation.158 Other commenters We also do not agree that the rule charges.154 However, the breakdown of assert that parties, especially smaller ‘‘invites’’ employees to file petitions for unfair labor practice charges and the entities, will be less likely to waste elections. The rule does not encourage, reasons for not issuing a Board order limited resources engaging in bargaining much less guarantee, the filing of a can reflect any number of factors, and that could be for naught.159 Further, petition. An employer and a union are they do not necessarily indicate that a according to several commenters, both free during the window period to majority of employees actually support because a collective-bargaining express their views about the perceived voluntary recognition. These comments agreement reached within 45 days benefits of a collective-bargaining are founded on the mistaken premise would not bar a petition, parties will be relationship. If an employer believes that the Dana procedure and its more likely to delay bargaining, or at that voluntary recognition is proposed reinstatement in this least ‘‘serious’’ bargaining—thereby advantageous, it would not necessarily rulemaking are primarily intended to undermining the policies behind both decline to recognize a union simply address unlawful voluntary recognition. the voluntary-recognition bar (enabling because there is some risk that a petition To the contrary, the provision for notice parties to begin bargaining without will be filed. Similarly, if a union has and limited opportunity to petition for interruption) and the contract bar obtained a solid card majority and has a Board election are intended to protect (achieving a reasonable balance between been voluntarily recognized on that the preferred electoral mechanism from industrial stability and employee choice basis, it should not be deterred from immediate and prolonged foreclosure by of representative).160 Moreover, several promptly engaging in meaningful any voluntary recognition, lawful or commenters argue that the delay in full bargaining simply because of the risk of otherwise. Ensuring employee free representation will frustrate the exercise losing that majority in an election. For choice is a central purpose of the Act, of Section 7 rights and send employees that matter, in many voluntary- and that purpose is furthered by the a message of futility or cause them to be recognition situations, recognition and Dana procedure regardless of whether disillusioned with the union’s the execution of a first collective- employees ultimately choose to representation, particularly given that bargaining agreement occur continue their existing representation. the delay would occur when employees simultaneously. Although some have not yet realized the benefits of commenters cite anecdotal evidence 4. Comments Predicting That the Rule collective bargaining.161 that Dana procedures occasionally Will Have Negative Effects As an initial matter, the final rule delayed bargaining,162 there is no Some commenters claim that the rule does not affect established precedent evidence in the record for this will discourage voluntary holding that an employer’s obligation to rulemaking that Dana had any recognition.155 However, employers and bargain with the union attaches meaningful impact on the negotiation of unions agree to voluntary recognition immediately upon voluntary bargaining agreements during the open for any number of reasons, economic recognition. During the 45-day notice- period or on the rate at which and otherwise, that the rule will not posting period, the union can begin agreements were reached after voluntary affect. See James J. Brudney, Neutrality representing employees, processing recognition. Agreements and Card Check Some commenters claim that the Recognition: Prospects for Changing 156 Comment of COLLE. existence of a pending election petition Paradigms, 90 Iowa L. Rev. 819, 832– 157 See Brooks v. NLRB, 348 U.S. 96 (1954). will cause unions to spend more time 841 (2005) (setting forth various reasons 158 Comment of IBEW. campaigning or working on election- 159 for neutrality and card-check Comments of IBEW; SEIU. related matters rather than doing 160 Comments of AFSCME; Local 32BJ; UWUA; substantive work on behalf of Senator Murray; IUOE; AFL–CIO; UFCW. 163 153 employees. This may be true in some Comment of UFCW. 161 Comments of IBEW; Local 32BJ; SEIU; 154 Comment of SEIU. Professor Kulwiec; AFL–CIO; NNU; UFCW; CWA; 155 Comments of LIUNA MAROC; Local 304; AFSCME; St. Louis-Kansas City Carpenters 162 Comments of AFL–CIO; Local 32BJ. SEIU. Regional Council. 163 Comments of Local 32BJ; CWA.

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situations. However, we believe that this collective-bargaining relationships. At settled understandings of their rights is a reasonable trade-off for protecting most, in the absence of compliance with and invalidate the private bargaining employees’ ability to express their views notice requirements after initial process that the Act is intended to in a secret-ballot election. Moreover, we voluntary recognition, it applies to a promote.172 We believe that the fail to see the bargaining disadvantage to post-recognition period extending no modification is a necessary part of the a recognized union that can solidify, longer than the first collective- voluntary-recognition-bar modification, and perhaps expand, its base of support bargaining agreement. Second, we think with both modifications striking a more during the post-recognition open period. it is unlikely that parties who have appropriate balance between labor- One commenter notes that the rule voluntarily entered into a mutually relations stability and employee free does not contain any mechanism that advantageous collective-bargaining choice. Further, the contract-bar requires employers to post the notice, relationship will engage in heated modification should incentivize parties raising the possibility that an employer rhetoric in an ensuing election to post a notice in order to avoid having will willfully fail to post the notice and campaign, but if that does happen it is the results of their negotiations that an agreement reached could later be part of the free exchange of views that subsequently invalidated. 164 the Act protects. Third, data from the upended. According to this 5. Comments Regarding Availability of post-Dana period indicates that commenter, this may cause employers, Other Alternatives in negotiations, to leverage their recognized unions will not often have to compliance with the notice-posting jump through the procedural ‘‘hoop’’ of Several commenters argue that there requirement against the union in an an election, and those that do will far are other alternatives and that their attempt to extract more generous more often emerge with a reaffirmation availability undercuts the need for the substantive contract terms.165 While this of their majority support and the greater proposed rule, or that other alternatives scenario is possible, we have no basis to protection of a Board certification. The are superior to the proposed rule. In believe that it will occur, or if it does, benefit to employees, as frequently particular, some commenters assert that that it would not be subject to a unfair stated here, is the assurance of their employees may file unfair labor practice labor practice allegation. statutory right of free choice by charges if they believe that voluntary One commenter contends that the rule providing them the limited opportunity recognition is not based on majority would interfere in collective bargaining to test a recognized union’s majority support or is based on coerced support, in another way. Specifically, this support through the preferred means of while non-petitioner employees may not commenter claims, management often a Board election. file election-related challenges and asks unions to agree not to discuss the One commenter asserts that, when a objections to Board elections.173 details of ongoing negotiations or share company acquires another business, Further, several commenters note that drafts of either party’s proposals with voluntary-recognition agreements help employees have 6 months to file unfair workers who are not involved in employers and workers by not creating labor practice charges, while parties negotiations.166 According to this extra concerns during this period of have only 7 days to file objections after 174 commenter, unions will therefore often transition; in essence, these agreements an election. We do not believe that face a dilemma if decertification efforts help ensure workplace stability at a the availability of unfair labor practice gain support based upon rumors about critical time.170 But, as discussed above, proceedings to challenge the validity of the negotiating process—specifically, we do not believe that the rule will voluntary recognition undercuts the should they allow the rumors to go materially discourage voluntary- rule. As one commenter notes, unfair unchallenged, or respond to them and recognition agreements. The final rule labor practice proceedings generally 167 also does not disturb existing legal take longer than representation risk compromising the negotiations? 175 Whatever the likelihood that this would principles governing the obligations of a proceedings, and the General Counsel occur, we do not see why a lawfully successor employer. has unlimited discretion to decline to recognized union would be bound to In addition, one commenter contends issue a complaint—and can settle the comply with any nondisclosure request that the rule will invite local managers matter with the parties, without Board that would interfere with its obligations to reverse a national decision to grant or court review—thus making it possible that the Board would never adjudicate to represent the unit employees during voluntary recognition by unlawfully assisting a Dana petition, and further employees’ claims.176 In any event, the a post-recognition election campaign. 171 Several commenters argue that the contends that this did happen once. commenters’ entire premise is rule will undercut industrial stability. There is no basis in the record for misguided. The Board’s unfair labor For example, some commenters assert finding that this would occur on more practice processes are not an alternative that the rule will disrupt longstanding than rare occasions, let alone for to the final-rule amendment. The and/or stable collective-bargaining believing that it would escape detection former, as relevant here, provide a relationships by encouraging election through the Board’s unfair labor practice means to challenge the legal validity of a voluntary recognition. As previously campaigns, which can involve heated processes if and when it does occur. It indicated, the purpose of the final-rule rhetoric.168 Another commenter states is always the case that bad actors may amendment is not to provide a means to that the rule will require unions to jump seek to subvert the Board’s challenge the legal validity of voluntary through procedural hoops before they representation procedures through recognition. It is to provide a limited can achieve industrial stability, unlawful or otherwise objectionable window of time for a referendum on ‘‘without basically any concomitant conduct. Remedies exist to address such that recognition through the preferred benefit to employees.’’ 169 First, the final misconduct, and the bad acts of a few rule here does not apply to longstanding are no reason not to make those procedures more widely available. 172 Comment of UFCW. One commenter claims that the 173 Comments of AFL–CIO; IBEW; Local 32BJ; 164 Comment of Senator Murray. SEIU; IUOE; St. Louis-Kansas City Carpenters 165 Id. concomitant change to the immediate Regional Council. 166 Comment of Local 32BJ. contract-bar rule will disturb parties’ 174 Comments of AFL–CIO; Local 32BJ; St. Louis- 167 Id. Kansas City Carpenters Regional Council. 168 Comments of IBEW; AFSCME. 170 Comment of CWA. 175 Comment of CNLP. 169 Comment of Plumbers and Pipe Fitters. 171 Comment of Local 32BJ. 176 Id.

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means and with the numerous purpose of the card are invalid for employees are needed to support a advantages of a Board-supervised purposes of proving the union’s showing of interest, the rule gives private-ballot election. Thus, the majority status.182 But the possibility of employers and a minority of employees existing availability of the unfair labor cards being invalidated would the chance to marshal support for practice process is not a substitute for necessarily involve unfair labor practice ousting the union.186 According to some the rule. litigation challenging majority status. commenters, the many (albeit ultimately Further, one commenter asserts that This does not constitute a sufficient unsuccessful) petitions filed under the rule is overbroad because it alternative to a secret-ballot election. Dana show that even in cases where a encompasses voluntary recognition Moreover, one commenter contends majority of voting employees ultimately based on non-Board secret-ballot that the NPRM failed to explain why the favor representation, an anti-union elections.177 According to that benefits of certification are insufficient minority is encouraged to keep resisting commenter, private agencies such as the to satisfy the Board’s expressed the majority’s will.187 According to one American Arbitration Association can preference for elections.183 This commenter, just as the Act does not ensure the integrity of elections, and comment assumes that employees are contemplate an election rerun absent private election agreements often aware of the electoral option and that objectionable conduct, it also does not provide for post-election procedures their vote for union representation contemplate a ‘‘do-over’’ organizing that parallel the Board’s.178 Another would confer certain additional benefits period simply because a minority of commenter contends that for successful on the representative and the bargaining employees are unhappy.188 voluntary recognitions, employers and relationship thus established, but they However, as discussed previously, unions have agreed to a process and a nevertheless consent to the alternative under Dana the Board received only 102 set of rules, and have met the voluntary- establishment of a bargaining election petitions relative to 1,333 recognition requirements in a format relationship based on voluntary requests for notices over a period of that a third party or neutral can confirm recognition. We question whether several years. We do not believe that and verify—and that it would be employees are aware of the benefits of this indicates that a minority of federal-government overreach for the certification and have consciously employees repeatedly resist the Board to interfere with these elected to forego them in favor of the majority’s will by filing petitions. And arrangements.179 voluntary-recognition process. Even if in any event, we believe that it is However, another commenter this is so, it does not persuade us that important to give all employees an contends that arbitrators merely count this majority choice should immediately opportunity—a narrow and limited cards against a list of employees and do foreclose the possibility of a limited opportunity—to express their free not know how the cards were post-recognition opportunity for choice by petitioning for an election. obtained.180 In any event, regardless of employees to test or confirm the Further, some commenters contend what agreements employers and unions recognized union’s majority status by that the rule will waste government and reach on these types of matters, we the preferred means of a Board election. party resources by requiring believe that there is significant value in unnecessary elections.189 As an initial allowing employees an opportunity to 6. Comments Providing General matter, as noted previously, the data petition for a Board-conducted election. Critiques of the Proposed Rule under Dana show that, over a period of If they do not choose that option or do Some commenters assert that the several years, only 62 elections were not garner sufficient support for an proposed notice-posting policy is held—not a tremendously high number. election petition, then nothing in this contrary to the Board’s role as a In any event, we do not consider the rule would interfere with the parties’ neutral.184 We disagree. The rule is elections ‘‘unnecessary,’’ regardless of alternative arrangements. Alternatively, merely an attempt to provide for greater whether they confirm continued if their petition does achieve the protection of employee free choice in representation. We believe that securing necessary support, the resulting Board selection of a representative; it has no employee free choice is worth the election is at worst merely duplicative effect on what that choice will be. commitment of resources. And we note of the parties’ private arrangements, and Moreover, as discussed further in again that in approximately 25 percent it offers a prevailing union all the Section III.F.7. below, we have modified of those elections, employees voted to advantages of Board certification. the text of the proposed rule, to provide oust the recognized union. Another commenter notes that that the Dana notice will more neutrally One commenter contends that the employees have the option to petition reflect the different options that are NPRM failed to comply with the APA for an election during an open period available to employees. because it did not contain the text of the between contracts.181 However, as Another commenter contends that the contemplated notice to employees—and discussed previously, the recognition rule presumes that freely entered, arms- that, without that text, it is impossible bar and the contract bar, together, can length contracts are innately suspect, to provide meaningful comments.190 last up to 4 years—longer, if there is a contrary to longstanding However, in the NPRM, the Board gap between recognition and bargaining. jurisprudence.185 The rule does not rest explicitly proposed ‘‘to reinstate the In our view, that is an unacceptable on this presumption; it merely gives Dana notice.’’ 84 FR at 39938. The key burden on employees’ ability to file an employees a chance, for a limited contents of the Dana notice were well election petition following voluntary period, to file a petition for an election established in that decision,191 and recognition. to confirm whether such contracts were One commenter notes that cards validly entered. 186 Comments of SEIU; EPI; IUOE; UFCW; signed as a result of deliberate AFSCME. Additionally, several commenters 187 misrepresentations regarding the Comment of Local 32BJ. assert that, because only 30 percent of 188 Comment of IUOE. 189 Comments of AFSCME; NNU; UFCW; CWA. 177 Comment of AFL–CIO. 182 Comment of Local 32BJ. 190 Comment of IBEW. 178 Id. 183 Comment of AFL–CIO. 191 Specifically, in Dana, the Board held that the 179 Comment of James T. Springfield. 184 Comments of IBEW; Senator Murray; NNU; St. notice should clearly state that (1) the employer (on 180 Comment of NRWLDF. Louis-Kansas City Carpenters Regional Council. a specified date) recognized the union as the 181 Comment of IBEW. 185 Comment of Joel Dillard. employees’ exclusive bargaining representative

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there is no basis for finding that the through rulemaking or adjudication, so elections be conducted only where commenter was precluded from the mere mention of possible future employers refuse to voluntarily providing meaningful comments merely changes does not create additional recognize the union; and would thwart because the NPRM did not quote the uncertainty that undermines the the expressed desire of a majority of Dana notice in its entirety.192 bargaining process. As the Board itself workers.198 In addition, one commenter argues stated in defense of what it described as Consistent with certain commenters’ that the Board has failed to consider ‘‘targeted’’ amendments to comments, we believe that the 45-day alternatives like shortening the length of representation procedures in the 2015 193 notice period strikes a reasonable the recognition-bar period. However, Election Rule: ‘‘Of course, an balance between employee free choice we do not believe that this alternative administrative agency, like a legislative and other interests—such as labor- would be sufficient to achieve the goals body, is not required to address all relations stability and preserving lawful, that we have discussed herein and in procedural or substantive problems at voluntary recognitions—and ensures the NPRM. Further, it arguably would the same time. It need not ‘choose that both employers and unions have detract from the labor-relations stability between attacking every aspect of a the benefit of the recognition bar for a that so many commenters discuss and problem or not attacking the problem at reasonable period of time following the that we seek to balance with employee all.’ Dandridge v. Williams, 397 U.S. close of the window period when no free choice. Accordingly, we reject that 471, 487 (1970). Rather, the Board ‘may petition is filed.199 Additionally, a 45- proffered alternative. select one phase of one field and apply day period is consistent with the period Further, one commenter contends that a remedy there, neglecting the others.’ established in Johnson Controls for the NPRM leaves open the possibility of FCC v. Beach Commc’ns, 508 U.S. 307, union petitions following notice of further changes in the law with respect 316 (1993) (quoting Williamson v. Lee anticipatory withdrawal of recognition. to other discretionary election-bar Optical of Okla., Inc., 348 U.S. 483, 489 See 368 NLRB No. 20. Further, as one policies; this highlights both the (1955)). ‘[T]he reform may take one step commenter states, because employers arbitrary character of the items chosen at a time.’ Id.’’ 79 FR at 74318 (footnote would be responsible for posting and for resolution here and the Board’s omitted). failure to achieve its stated goal of For the above reasons, we find that maintaining the Board-provided notice ensuring predictability; and, by creating these comments do not support ‘‘throughout this period,’’ extending the uncertainty about the status of these abandoning the proposed rule.195 notice period to 1 year would make related doctrines, the Board undermines additional challenges to compliance 200 the bargaining process in other 7. Comments Suggesting Changes to the more likely. Accordingly, we decline contexts.194 However, for the reasons Proposed Rule to adopt the recommended change. stated in Sections III.A. and III.F.2. The General Counsel recommends The General Counsel also above, we are not required to make that we extend the notice period from recommends that, at the end of his changes to all related doctrines in this 45 days to 1 year.196 Another proposed 1-year period of notice current rulemaking. Further, all legal commenter supports this posting, the Board should have doctrines are subject to change, whether recommendation, stating that it would discretion to continue to dismiss better protect employee free choice petitions ‘‘based on the facts and based on evidence indicating that a majority of because employees, especially those in circumstances of the case,’’ or to impose employees in a described bargaining unit desire its larger units or units that span multiple a recognition bar ‘‘if circumstances so representation; (2) all employees, including those locations, need more time to organize to 201 who previously signed cards in support of the warrant.’’ Other commenters disagree 202 recognized union, have the Sec. 7 right to be collect a decertification petition; and with this recommendation. As one represented by a union of their choice or by no individual employees often need longer commenter notes, the General Counsel union at all; (3) within 45 days from the date of the because they do not have ready access provides no insight into what notice, a decertification petition supported by 30 to paid organizers or to counsel who can percent or more of the unit employees may be filed ‘‘circumstances [would] warrant with the NLRB for a secret-ballot election to guide them through the Board’s election insulating the collective-bargaining determine whether or not the unit employees wish process and the legal rules for collecting relationship for a limited period of to be represented by the union, or 30 percent or petition signatures.197 In contrast, a time.’’ 203 We agree. In addition to the more of the unit employees can support another different commenter opposes such an union’s filing of a petition to represent them; (4) fact that we have rejected the proposal any properly supported petition filed within the 45- extension, claiming that it is draconian; to extend the posting period to 1 year, day period will be processed according to the would threaten lawful, voluntary, we also do not believe that there is Board’s normal procedures; and (5) if no petition is nascent collective-bargaining sufficient clarity as to how this filed within the 45 days from the date of this notice, relationships by permitting either a then the recognized union’s status as the unit proposed change would apply. employees’ exclusive majority bargaining minority of employees or a rival union Accordingly, we decline to adopt this representative will not be subject to challenge for to file a petition during that period; suggested alternative. a reasonable period of time following the expiration would not promote collective bargaining Additionally, the General Counsel of the 45-day window period, to permit the union and industrial peace; would run and the employer an opportunity to negotiate a recommends that we modify the collective-bargaining agreement. 351 NLRB at 443. contrary to congressional intent that proposed amendment so that 192 We note that, as discussed further below— agreements entered into after the consistent with recommendations from two 195 In its voluntary-recognition arguments, one commenters—the final rule makes some commenter refers back to one of its blocking-charge parties’ first collective-bargaining modifications with respect to required elements in arguments, specifically, that the rule would violate agreement would enjoy bar status, tbe new post-recognition notice that differ from the the First and Fourteenth Amendments to, and the regardless of whether the suggested 1- requirements for a Dana notice. There also is no Take Care Clause of, the U.S. Constitution, and that basis for finding that commenters reasonably could it also raises separation-of-powers concerns. See 198 not have known to submit comments regarding Comment of NNU (citing Thomas v. Collins, 323 Reply Comment of IBEW. what the notices should, or should not, include. In U.S. 516). Once again, this commenter does not 199 Comments of COLLE; the Chamber; CDW. fact, some commenters did exactly that, and we explain its argument, and the cited decision does 200 Reply Comment of AFL–CIO. have responded positively to those comments, as not support the commenter’s claim. Thus, we reject 201 Comment of GC Robb. discussed below. this claim as unsupported. 202 Reply Comment of NRWLDF; Reply Comment 193 Comment of UFCW. 196 Comment of GC Robb. of AFL–CIO. 194 Id. 197 Reply Comment of NRWLDF. 203 Reply Comment of AFL–CIO.

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year notice was posted.204 We agree. the Dana notice has been criticized as employers to post a notice informing Even if there is no election bar for the being too one-sided in its description of employees of their right to file ‘‘a first contract executed in the absence of employee rights, and therefore petition’’—not ‘‘a decertification or rival compliance with the notice susceptible to the impression that the union petition.’’ requirements of the amendment, we do Board is urging employees to reconsider The General Counsel also argues that, not see the need to continue an their selection of the new union. To give in addition to notice-posting, the Board unrestricted open period for filing a more complete explanation of should require employers to distribute petitions during the term of any employee rights and to reinforce the individual notices to employees via a successor agreement. In this connection, Board’s neutrality, the General Counsel second method of the employers’ we note that current contract-bar rules suggests that the notice should be choosing,207 and another commenter created in adjudication permit the filing updated to include the following supports this recommendation.208 We of petitions during established periods language: believe that it is appropriate for the final rule to mirror the requirements that prior to the end of any contract with a Federal law gives employees the right to term of 3 years or less. See, e.g., Johnson form, join, or assist a union and to choose not apply to petitions for elections. Controls, Inc., 368 NLRB No. 20, slip op. to engage in these protected activities. Accordingly, consistent with the 2019 at 8 fn. 45 (discussing open periods for An employer may lawfully recognize a Election Rule that is scheduled to take filing petitions in healthcare and union based on evidence indicating that a effect in Spring of 2020,209 the instant nonhealthcare industries). In addition, majority of employees in an appropriate final rule specifies that the employer there is no election bar after the third bargaining unit desire its representation. shall post the notice ‘‘in conspicuous year of a contract with a longer effective Once an employer recognizes a union as places, including all places where the employees’ exclusive bargaining notices to employees are customarily term, nor is there any bar following representative, the employer has an contract expiration and prior to the obligation to bargain with the union in good posted,’’ and shall also distribute it effective date of a successor agreement. faith in an attempt to reach a collective- ‘‘electronically to employees in the Under these circumstances, we believe bargaining agreement. That obligation is not petitioned-for unit, if the employer that extant open-period rules provide a delayed or otherwise impacted by this notice. customarily communicates with its sufficient opportunity for employees The National Labor Relations Board is an employees electronically.’’ and rival unions to file petitions and, agency of the United States Government and does not endorse any choice about whether G. Final-Rule Amendment Regarding thus, that it is unnecessary to require a Proof of Majority-Based Recognition in notice posting and another open period employees should keep the current union, file a decertification petition, or support or the Construction Industry upon execution of any successor oppose a representation petition filed by The Board received numerous collective-bargaining agreement. another union.205 Accordingly, we clarify the rule to comments on the proposal to redefine specify that a voluntary recognition The AFL–CIO proposes further the evidence required to prove that a entered into on or after the effective date revisions, specifically, that the construction-industry employer and of this rule, and ‘‘the first’’ collective- following, italicized words be added to labor organization have established a bargaining agreement entered into on or the General Counsel’s proposed majority-based collective-bargaining after the date of such voluntary revisions: relationship under Section 9(a) of the recognition, will not bar the processing An employer may lawfully recognize a Act. We have carefully reviewed and of an election petition if the union based on evidence (such as signed considered these comments, as requirements of the rule are not met. authorization cards) indicating that a discussed below. majority of employees in an appropriate unit The General Counsel also 1. Comments Regarding Board and recommends that the final rule specify desire its representation, even absent an election supervised by the National Labor Court Precedent the content of the notice and that the Relations Board. text of the notice should include several Many commenters support the The National Labor Relations Board is an requirement that positive evidence is items. First, the General Counsel asserts agency of the United States Government and that the rule should include all of the does not endorse any choice about whether needed to prove that a union demanded applicable items from the Dana notice. employees should keep the current union, recognition as the exclusive bargaining Second, the General Counsel contends file a petition to certify the current union, file representative and that the employer that the rule should include information a decertification petition, or support or granted it based on a demonstration of regarding how the contract bar operates oppose a representation petition filed by majority support. More specifically, the 206 during and after the window period another union. commenters contend that the rule will and, in particular, should notify We agree that the notice should contain restore the protection of employee free employees that they may file a petition the additions suggested by both the choice that Congress intended to ensure within the window period even if the General Counsel and the AFL–CIO. As when it enacted Section 8(f).210 We employer and union have already the General Counsel notes, such agree. reached a collective-bargaining wording gives employees a more The Deklewa Board properly struck a agreement, and that if they do not complete picture of their rights and balance between employee free choice challenge the union’s status by filing a emphasizes the Board’s neutrality in and stability in bargaining relationships, petition and the parties subsequently these matters. We also agree that the text consistent with the congressional intent reach a collective-bargaining agreement, of the final rule should include the expressed in Section 8(f). As discussed an election cannot be held for the wording of the notice. We have in Section I.B.5. above, Section 8(f) duration of the collective-bargaining modified the text of the final rule, permits construction-industry unions agreement, up to 3 years. Third, the § 103.21 accordingly. In addition, General Counsel argues that the notice consistent with the additions to the 207 Comment of GC Robb. should include a more balanced notice set forth above, we modify the 208 Reply Comment of NRWLDF. 209 description of employee rights and an text of the final rule, § 103.21 to require See 84 FR at 69591. 210 Comments of COLLE; Associated General affirmation of the Board’s neutrality, as Contractors of America (AGC); GC Robb; NRWLDF; 205 Comment of GC Robb. Miller & Long Company, Inc. (M&L); the Chamber; 204 Comment of GC Robb. 206 Reply Comment of AFL–CIO. ABC; NFIB.

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and employers to enter collective- by providing proof of majority support,’’ foreclosed requiring positive evidence bargaining relationships absent and finding a 9(a) relationship based on demonstrating majority support in all employee majority support, but such signed authorization cards). cases. And as we have explained, relationships do not bar election As the court explained, ‘‘while an requiring such evidence would petitions. The Deklewa Board adopted a employer and a union can get together effectuate the Act’s purposes by presumption that bargaining to create a Section 8(f) pre-hire protecting employee free choice, relationships in the construction agreement, only the employees, through accomplish the congressional intent industry are governed by Section 8(f), majority choice, can confer Section 9(a) expressed in Section 8(f), and conform and it made 8(f) agreements enforceable status on a union.’’ Colorado Fire to the majoritarian principles set forth for their term. Moreover, the Board Sprinkler, 891 F.3d at 1040 (emphasis in by the Supreme Court in Garment abolished the flawed conversion original). Thus, in order ‘‘to rebut the Workers. In addition, Allied Mechanical doctrine and held that 8(f) relationships presumption of Section 8(f) status, does not support the commenters’ could develop into 9(a) relationships actual evidence that a majority of position. In Allied Mechanical, the court only through Board election or employees have thrown their support to found that a construction-industry voluntary recognition—and, in the latter the union must exist and, in Board union established 9(a) status by case, only ‘‘where that recognition is proceedings, that evidence must be requesting recognition based on signed based on a clear showing of majority reflected in the administrative record.’’ authorization cards and by entering a support among the unit employees.’’ Id. As some commenters note, the 282 NLRB at 1387 fn. 53. court’s rejection of the Board’s reliance settlement agreement that contained an The Board’s current Staunton Fuel solely on contract language is a strong affirmative bargaining order predicated standard, which requires only contract reason to support the instant rule, as on its previous majority support. 668 language to establish a 9(a) relationship, every Board decision can be reviewed F.3d at 768–769. Thus, the union did is contrary to these fundamental by the D.C. Circuit. 29 U.S.C. 160(f). not solely rely on contract language to principles. See King’s Fire Protection, On the other hand, other commenters demonstrate its 9(a) status. Inc., 362 NLRB 1056, 1063 fn. 24 (2015) argue that the proposed rule is not Moreover, we also note that, in pre– (Member Miscimarra, dissenting in part) appropriate because the NPRM Staunton Fuel cases, the United States (observing that the Staunton Fuel incorrectly interpreted Staunton Fuel Courts of Appeals for the First and standard ‘‘is even more troubling than and the D.C. Circuit’s decisions.212 Fourth Circuits also required a the conversion doctrine that the Board Specifically, they argue that the court contemporaneous showing of majority abandoned in Deklewa’’ because, stated that contract language and intent support to establish a 9(a) relationship. ‘‘[u]nder [Staunton Fuel], mere words are relevant factors, so those factors American Automatic Sprinkler Sys., Inc. are sufficient to cause ‘pre-hire’ should be determinative where recognition to convert to Sec[tion] 9(a) v. NLRB, 163 F.3d 209, 221–222 (4th countervailing evidence is weak or Cir. 1998) (‘‘The Board’s willingness to status, even where . . . there has been nonexistent. Some commenters also rely no showing of actual employee majority credit the employer’s voluntary on the D.C. Circuit’s decision in Allied recognition absent any support’’). By requiring positive Mechanical Services, Inc. v. NLRB, 668 evidence of employee majority support contemporaneous showing of majority F.3d 758 (DC Cir. 2012). support would reduce this time-honored to establish a 9(a) relationship, the Contrary to the commenters, the court alternative to Board-certified election to instant rule will restore the proper has ‘‘held that ‘contract language’ and a hollow form which, though providing balance of interests—employee free ‘intent’ of the union and company alone the contracting parties stability and choice on one hand, labor-relations generally cannot overcome the Section repose, would offer scant protection of stability on the other—intended by 8(f) presumption’’ because allowing the employee free choice that is a Congress and safeguarded in Deklewa. them to do so ‘‘runs roughshod over the In addition, many commenters note principles of employee choice central aim of the Act.’’), cert. denied that the D.C. Circuit repeatedly has established in Supreme Court 528 U.S. 821 (1999); NLRB v. Goodless rejected the Staunton Fuel test, and they precedent.’’ Colorado Fire Sprinkler, Elec. Co., 124 F.3d 322, 324, 330 (1st urge the Board to adopt the court’s 891 F.3d at 1039 (internal quotations Cir. 1997) (‘‘Voluntary recognition position that contract language alone omitted). Further, although the court requires the union’s unequivocal cannot create a 9(a) bargaining demand for, and the employer’s 211 has indicated that contract language and relationship. As discussed in Section intent ‘‘certainly’’ are not determinative unequivocal grant of, voluntary I.B.5. above, in Nova Plumbing and factors when ‘‘the record contains strong recognition as the employees’ Colorado Fire Sprinkler, the D.C. Circuit indications that the parties had only a collective[-]bargaining representative criticized the Board’s reliance solely on section 8(f) relationship,’’ id., its based on the union’s contemporaneous contract language, finding it decisions do not compel the inverse showing of majority[-]employee inconsistent with the majoritarian proposition—i.e., that contract language support.’’). Further, the United States principles set forth by the Supreme and intent are determinative where Court of Appeals for the Eighth Circuit Court in Garment Workers. Colorado record evidence of 8(f) status is weak. relied on both contract language and Fire Sprinkler, 891 F.3d at 1038–1039; Such a proposition disregards that additional evidence in finding that a Nova Plumbing, 330 F.3d at 536–537. under Deklewa, bargaining relationships construction-industry union established See also M & M Backhoe Serv., Inc. v. in the construction industry are 9(a) status in NLRB v. American NLRB, 469 F.3d 1047, 1050 (D.C. Cir. presumed to be governed by Section Firestop Solutions, Inc., 673 F.3d 766, 2006) (explaining that ‘‘a union seeking 8(f), and therefore no evidence is 770–771 (8th Cir. 2012). to convert its section 8(f) relationship to required to establish 8(f) status. In any In sum, we find that Board and court a section 9(a) relationship may either event, the court clearly has not petition for a representation election or precedent fully support requiring demand recognition from the employer positive evidence demonstrating 212 Comments of AFL–CIO; Road Sprinkler Fitters majority-employee union support to Local Union No. 669 (Local 669); IBEW; IUOE; 211 Comments of COLLE; AGC; GC Robb; the North America’s Building Trades Unions (NABTU); establish a 9(a) relationship in the Chamber; ABC; CDW. UA. construction industry.

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2. Comments Regarding Employee Free 741, 741–742, 745 (1998) (same), enf. construction-industry bargaining Choice denied 219 F.3d 1160 (10th Cir. 2000). relationships. It is well established that Thus, Staunton Fuel has effectively signed authorization cards or petitions As many commenters contend, permitted construction-industry unions from a majority of bargaining-unit requiring positive evidence of majority- and employers to collude at the expense employees is adequate proof, as is the employee union support will also better of employees. For these reasons, we result of a private election conducted effectuate the purposes of the Act.213 disagree with other commenters’ under the auspices of a neutral party The current Staunton Fuel standard contention that there is little evidence pursuant to a voluntary pre-recognition undermines employees’ Section 7 rights that the 9(a) process is being abused or or neutrality agreement. There is less by effectively reintroducing the that Staunton Fuel has negatively certainty in Board precedent whether conversion doctrine that the Deklewa affected employee free choice.217 other extrinsic evidence, such as that Board repudiated and by subjecting 4. Comments Regarding Definition of mentioned by Local 669, would be employees to the contract bar 221 Positive Evidence sufficient to prove majority support. precluding elections for several years, Accordingly, we leave any further even where there has never been any Some commenters request that we development of these evidentiary extrinsic proof that a majority of the define what ‘‘positive evidence’’ is standards to future proceedings. Cf. employees support the union.214 As the sufficient to demonstrate majority- Mobil Oil Expl. & Producing Se. Inc., commenters point out, the protection of employee union support.218 One 498 U.S. at 231 (‘‘[A]n agency need not employees’ Section 7 free-choice rights commenter contends that the Board solve every problem before it in the is a central purpose of the Act, and the should permit authorization cards, same proceeding.’’); Advocates for rule would protect those rights. Further, dues-checkoff cards, membership Highway & Auto Safety, 429 F.3d at as another commenter notes, the rule applications, or any other evidentiary 1147 (‘‘Agencies surely may, in will also provide greater stability in the means to establish majority status, appropriate circumstances, address construction industry by clarifying the consistent with 9(a) recognition in other problems incrementally.’’). industries.219 Another commenter notes requirements to create 9(a) 5. Comments Regarding Prospective relationships.215 that the preamble to the NPRM referred to extrinsic evidence in the form of Application 3. Comments Regarding Collusion employee signatures on authorization Some commenters argue that the cards or a petition, but the text of the Board should apply the rule only to Several commenters contend that the proposed rule did not.220 construction-industry bargaining Board’s current standard turns a blind Although we find it unnecessary to relationships entered into on or after the eye to union and employer collusion in modify the proposed rule’s wording in date the rule goes into effect.222 We the construction industry, trampling this regard, we clarify that this rule is agree, and we have modified the 216 employee free choice. We agree. By not intended to change the current regulatory text to specify that the rule allowing unions and employers to enter standards regarding the forms of applies only prospectively to a into 9(a) relationships based on contract evidence that are acceptable to voluntary recognition extended on or language alone, employees’ rights can be demonstrate majority support. In after the effective date of the rule and to usurped with a stroke of a pen. Further, Deklewa, the Board stated that it did any collective-bargaining agreement as the commenters point out, this is not ‘‘not mean to suggest that the normal entered into on or after the date of mere speculation but has been presumptions would not flow from voluntary recognition extended on or demonstrated in several Board decisions voluntary recognition accorded to a after the effective date of the rule. in which parties falsified majority union by the employer of a stable work Relatedly, two commenters question support. See, e.g., Colorado Fire force where that recognition is based on how the rule will affect successor Sprinkler, Inc., 364 NLRB No. 55, slip a clear showing of majority support agreements.223 We clarify that, if the op. at 5 (Member Miscimarra, among the unit employees, e g., a valid successor agreement is reached by dissenting) (noting that parties signed card majority.’’ 282 NLRB at 1387 fn. 53 parties that entered into a voluntary 9(a) agreement recognizing 9(a) status before (citing Island Construction Co., 135 recognition agreement before the single employee hired); King’s Fire NLRB 13 (1962)). ‘‘That is,’’ the Board effective date of the rule, then the rule Protection, Inc., 362 NLRB at 1059 continued, Deklewa was not ‘‘meant to will not apply to that agreement. (Member Miscimarra, dissenting in part) suggest that unions have less favored Further, once parties prove a 9(a) (same); Triple C Maintenance, 327 status with respect to construction[- relationship under the rule, they will NLRB 42, 42 fn. 1 (1998) (pre–Staunton ]industry employers than they possess not be required to reestablish their 9(a) Fuel, finding 9(a) relationship based on with respect to those outside the status for successor agreements. recognition clause even though no construction industry.’’ Id. The instant employees when relationship began), 6. Comments Regarding Section 10(b) of rule is not intended to change that the Act enfd. 219 F.3d 1147 (10th Cir. 2000); principle. Accordingly, the same Oklahoma Installation Co., 325 NLRB contemporaneous showing of majority Some commenters urge the Board to incorporate a Section 10(b) 6-month support that would suffice to establish 213 limitation for challenging a Comments of Representatives Foxx and that employees wish to be represented Walberg; CNLP; COLLE; AGC; NRWLDF; the construction-industry union’s majority by a labor organization in collective Chamber; ABC; NFIB; CDW. See also Reply status.224 In Casale Industries, the Board bargaining with their employer under Comment of CNLP. held that it would ‘‘not entertain a claim 214 We also note that the Staunton Fuel standard Section 9(a) in non-construction that majority status was lacking at the gives rise to a post-contract presumption of industries will also suffice to establish continuing majority support absent positive recognition under Section 9(a) in evidence that the union has ever enjoyed such 221 See discussion of evidentiary factors in support. Deklewa, 282 NLRB at 1383–1384. 215 Comment of Mechanical Contractors 217 Comments of LIUNA MAROC; IUOE; UA. 222 Comments of IUOE; LlUNA MAROC. Association of America (MCAA). 218 See, e.g., Comment of Local 669. 223 Comments of MCAA; LIUNA MAROC. 216 Comments of M&L; GC Robb; NRWLDF; the 219 Id. 224 Comments of NABTU; Local 669. See also Chamber. 220 Comment of AGC. Reply Comment of Local 669.

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time of recognition’’ where ‘‘a union to establish an 8(f) relationship 9(a) recognition at any time that an construction[-]industry employer without majority-employee union election petition is filed. extends 9(a) recognition to a union, and support. Thus, the issue is whether the 7. Comments Regarding Filing Unfair 6 months elapse without a charge or parties formed an 8(f) or a 9(a) Labor Practice Charges petition.’’ 311 NLRB 951, 953 (1993). relationship, and only if the parties The D.C. and Fourth Circuits have formed a 9(a) relationship could there Some commenters argue that the rule expressed doubts regarding that aspect be an unfair labor practice that would is unnecessary because it is already of Casale, while the Tenth and Eleventh trigger Section 10(b)’s 6-month unlawful for any labor organization to Circuits have upheld the Board’s limitation. See also Brannan Sand & enter into a 9(a) collective-bargaining position. Compare Nova Plumbing, 330 Gravel Co., 289 NLRB at 982 (predating agreement with any employer absent F.3d at 539, and American Automatic Casale; nothing ‘‘precludes inquiry into majority support.225 They correctly Sprinkler Systems, 163 F.3d 209, 218 fn. the establishment of construction[- point out that an employer violates the 6 (4th Cir. 1998), with Triple C ]industry bargaining relationships Act by granting Section 9(a) recognition Maintenance, 219 F.3d 1147, 1156–1159 outside the 10(b) period’’ because to a union that does not enjoy majority (10th Cir. 2000), and NLRB v. Triple A ‘‘[g]oing back to the beginning of the status, and that a union similarly Fire Protection, 136 F.3d 727, 736–737 parties’ relationship . . . simply seeks to violates the Act by accepting such (11th Cir. 1998). Some former Board determine the majority or nonmajority[- recognition when it does not represent Members also have disagreed with that ]based nature of the current relationship a majority of employees. The remedy in aspect of Casale. See King’s Fire and does not involve a determination such situations is to order the parties to Protection, Inc., 362 NLRB at 1062 that any conduct was unlawful’’). In cease recognition of the union as (Member Miscimarra, dissenting in other words, Casale begs the question employees’ collective-bargaining part); Saylor’s Inc., 338 NLRB 330, 332– by assuming the very 9(a) status that representative and to cease maintaining 333 fn. 9 (2002) (Member Cowen, ought to be the object of inquiry. or giving effect to the collective- dissenting); Triple A Fire Protection, In addition, we find that the Board’s bargaining agreement. 312 NLRB 1088, 1089 fn. 3 (1993) pertinent reasoning in Casale was The commenters fail to recognize that, (Member Devaney, concurring). Cf. flawed. See King’s Fire Protection, Inc., until there is a Board decision finding Painters (Northern California Drywall 362 NLRB at 1062–1063 (Member merit to such unfair labor practice Assn.), 326 NLRB 1074, 1074 fn. 1 Miscimarra, dissenting in part). For allegations, any election petition (1998) (Member Brame finding it decades, the Board had held that in remains barred. Moreover, when a unnecessary to pass on validity of other industries, Section 10(b) barred decision issues finding merit in such Casale). untimely allegations that an employer allegations, the remedy does not include For several reasons, we decline to unlawfully extended 9(a) recognition to an election. There is no remedy of a adopt a Section 10(b) 6-month a minority union. North Bros. Ford, Inc., Board election in an unfair labor limitation on challenging a 220 NLRB 1021, 1021–1022 (1975) practice case finding that an employer construction-industry union’s majority (citing Machinists Local 1424 (Bryan and union entered into a Section 9(a) status by filing a petition for a Board Mfg.) v. NLRB, 362 U.S. 411 (1960)). In collective-bargaining agreement when election, and we overrule Casale to the Casale, the Board stated that ‘‘[p]arties the union did not enjoy majority extent that it is inconsistent with the in the construction industry are entitled support. By requiring positive evidence instant rule. Specifically, we overrule to no less protection.’’ 311 NLRB at 953. that a construction-industry union Casale’s holding that the Board will not However, the Casale Board failed to demanded 9(a) recognition and that the entertain a claim that majority status recognize that employees and rival employer granted such recognition was lacking at the time of recognition unions will likely presume that a based on a contemporaneous showing of where a construction-industry employer construction-industry employer and majority-employee support, the rule extends 9(a) recognition to a union and union entered an 8(f) collective- better protects employee free choice in 6 months elapse without a petition. bargaining agreement, which is virtually a representation proceeding.226 As an initial matter, we note that certain to have a term longer than 6 8. Comments Regarding Effects on Section 10(b) applies only to unfair months. Thus, it is highly unlikely that Certain Bargaining Relationships labor practices and that this aspect of they will file a petition challenging the the rule addresses only representation union’s status within 6 months of Some commenters argue that the rule proceedings—i.e., whether an election recognition. will adversely affect older bargaining petition is barred because a Finally, and most significantly, we relationships in the construction construction-industry employer and find that Casale’s requirement that an industry and/or small construction- union formed a 9(a) rather than an 8(f) election petition be filed within 6 industry unions.227 They argue that the collective-bargaining relationship. months to challenge a purported 9(a) longer a bargaining relationship lasts, Further, we agree with the doubts recognition in the construction industry the more difficult it will be for a union expressed by the D.C. and Fourth improperly discounts the importance of to produce positive evidence of majority Circuits, and by some former Board protecting employee free choice as support when the demand for Members, regarding Section 10(b)’s recognized by Congress in enacting recognition could have occurred years applicability to challenges to a Section 8(f) and by the Board and the or even decades prior. Therefore, those construction-industry union’s purported Supreme Court in deciding Deklewa and bargaining relationships would become 9(a) status. Nova Plumbing, 330 F.3d at Garment Workers, respectively. 539; American Automatic Sprinkler Garment Workers, 366 U.S. at 737–741; 225 Comments of NABTU; Professor Kulwiec; Senator Murray; Local 669; Springfield. See also Sys., 163 F.3d at 218 fn. 6; King’s Fire King’s Fire Protection, Inc., 362 NLRB at Reply Comments of NABTU; Local 669. Protection, Inc., 362 NLRB at 1062 1062 (Member Miscimarra, dissenting in 226 We note that the rule applies to the question (Member Miscimarra, dissenting in part); John Deklewa & Sons, 282 NLRB of whether an election petition is barred in a part); Saylor’s, 338 NLRB at 332–333 fn. at 1378. representation proceeding and does not directly 9; Triple A Fire Protection, 312 NLRB at Therefore, we overrule Casale in implicate unfair labor practice rules. 227 Comments of NABTU; AFL–CIO; IUOE; CWA; 1089 fn. 3. It is not unlawful for a relevant part and will evaluate a Professor Kulwiec; Local 304; MRCC; AFT. See also construction-industry employer and construction-industry union’s purported Reply Comment of Local 669.

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less stable due to the passage of time. the union at the time of recognition. established that an 8(f) relationship will Relatedly, these commenters contend Thus, these concerns are unwarranted. not bar an RM petition. See John that the rule imposes an onerous new Deklewa & Sons, 282 NLRB at 1385 fn. 11. Comments Regarding Contract Law recordkeeping requirement and that 42. Thus, it is appropriate to require the small local unions would lack the One commenter asserts that contract party seeking to establish 9(a) status to resources to retain records of employee language alone should be sufficient to present positive evidence of a support. demonstrate majority status because contemporaneous showing of majority As explained above, the rule will principles of contract construction hold support, and we reject the commenters’ apply only prospectively to an parties to their obligations, including proposal. employer’s voluntary recognition contract wording stating that a union Second, some commenters contend extended on or after the effective date of has majority support.231 Relatedly, other that the issue of whether contract the rule and to any collective-bargaining commenters argue that the instant rule language alone can establish 9(a) status agreement entered into on or after the is contrary to the rules of contract law has implications beyond elections—i.e., date of voluntary recognition extended because it would require extrinsic to unfair labor practice proceedings— on or after the effective date of the rule. evidence regardless of how clear the and that the Board should address those Thus, the rule will not affect or contract language is.232 However, contexts.235 However, this request is destabilize longstanding bargaining construction-industry employers and beyond the scope of the rule, which relationships in the construction unions may enter a 9(a) relationship only addresses representation industry. Further, although we only where a majority of employees proceedings. Thus, we deny the request. acknowledge that the rule will support the union. Thus, contract We will address any unfair labor incentivize unions to keep a record of language alone is insufficient where a practice issues as they arise in future, majority-employee union support majority of employees never supported appropriate proceedings. Cf. Mobil Oil moving forward, we do not consider the union. Further, requiring positive Expl. & Producing Se. Inc., 498 U.S. at such a minor administrative evidence of majority support, even 231 (‘‘[A]n agency need not solve every inconvenience a sufficient reason to where contract language initially problem before it in the same permit employers and unions to appears clear, is necessary to ensure that proceeding.’’); Advocates for Highway & circumvent employees’ rights. unions and employers do not collude, Auto Safety, 429 F.3d at 1147 thereby protecting employee free choice (‘‘Agencies surely may, in appropriate 9. Comments Regarding Frequency of consistent with the congressional intent circumstances, address problems Section 9(a) Agreements in the expressed in Section 8(f) and with the incrementally.’’). Construction Industry majoritarian principles discussed by the Third, one commenter proposes to Some commenters argue that the rule Supreme Court in Garment Workers, prohibit automatic renewal of 8(f) is not appropriate because the issue of 366 U.S. at 737. agreements.236 But our concern here is whether a construction-industry to remove obstructions to Section 8(f)’s 12. Comments Regarding Adequacy of employer recognized or entered into a second proviso, and automatic renewal Justification for Rule petition-barring agreement with a union of 8(f) agreements does not obstruct that as the 9(a) representative of its Several commenters argue that the proviso because employees and rival employees occurs very infrequently.228 Board failed to adequately justify the unions are free to file election petitions However, what matters here is the proposed rule, asserting that the Board at any time an 8(f) agreement is in effect, statutory right, not how often it is failed to offer evidence in support, as the Board made clear in Deklewa. implicated. The Act protects employees’ analyze relevant data, or consider Accordingly, we reject this proposal. free choice to select their 9(a) bargaining contrary arguments.233 We disagree. The Fourth, one commenter proposes that representative. As one commenter notes, Board has fully justified the rule based we require a contemporaneous showing even though the rule may affect a small on available evidence and relevant data, of majority support in all industries number of cases, that does not mean including prior Board precedent in because collective-bargaining that there are not good reasons to adopt Deklewa and its progeny, negative relationships in other industries are also it.229 reception by the D.C. Circuit in Nova lawful only if the union had majority Plumbing and Colorado Fire Sprinkler, 10. Comments Regarding Issues in support at the time of recognition or and the rights protected by the Act, 237 Representation Proceedings Board election. However, the particularly employees’ right of free construction industry is unique in Other commenters raise concerns choice in selecting (or refraining from allowing voluntary recognition of regarding the Board’s ability to rule on selecting) a 9(a) representative. Further, unions that are supported by a minority parol evidence in representation-case we have fully considered and addressed of employees or by no employees at proceedings, which are non-adversarial all contrary arguments, as demonstrated all,238 and this rule is intended to and do not allow credibility by our responses in this rulemaking. address issues, unique to that industry, 230 determinations. However, in cases that arise when assessing whether a where there are authentication issues, 13. Comments Suggesting Modifications to the Rule relationship is properly treated as a 9(a), the Board expects that the process will rather than 8(f), relationship. Thus, we be similar to that followed in an Some commenters suggest reject the commenter’s proposal. administrative investigation of a modifications to the rule. Relatedly, the same commenter requests showing of interest: the Region will First, some commenters propose that that we specify that 9(a) recognition can examine the signatures and handwriting the rule should not apply to RM 234 comparators to determine whether a petitions. However, it is well 235 Comments of AGC; Senator Murray; IUOE. majority of unit employees supported 236 Comment of M&L. 231 Comment of Professor Kulwiec. 237 Comment of CNLP. 228 Comments of Professor Kulwiec; EPI; IUOE; 232 Comment of Senator Murray; CWA. 238 An employer in the construction industry may MRCC; LIUNA MAROC. 233 Comments of AFL–CIO; NABTU; EPI; United recognize a union as the 8(f) bargaining 229 Comment of NRWLDF. Brotherhood of Carpenters and Joiners of America; representative of employees it has yet to hire. 230 Comments of NABTU; IUOE. See also Reply UA. See also Reply Comment of NABTU. Indeed, an 8(f) agreement is often referred to as a Comment of NABTU. 234 Comments of LIUNA MAROC; NABTU. ‘‘pre-hire’’ agreement.

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only occur if an employer employs a Finally, one commenter questions position to gauge the small entity substantial and representative how the rule will affect multi-employer impacts of its regulations.’’ 245 complement of employees. We note that bargaining units, me-too agreements, We anticipate that the rule will the final rule does not disturb jobsite-only agreements, and voter impose low costs of compliance on established precedent on this point. eligibility.243 These questions are fact small entities, related to reviewing and Finally, we reject one commenter’s dependent, and we believe that they are understanding the substantive changes argument that a 9(a) relationship should more properly addressed as they arise in to the blocking-charge policy, voluntary- be created only through a Board future, appropriate proceedings. recognition-bar doctrine, and modified election.239 This argument is contrary to requirements for proof of majority-based IV. Justification for the Final Rule well-established precedent permitting voluntary recognition under Section 9(a) voluntary recognition. It is also at odds For all of the reasons set forth above in the construction industry. There may with language in the Act itself. See and in the NPRM, we believe that all of also be a low cost for a small entity to Section 9(a), 29 U.S.C. 159(a) (referring the aspects of the final rule further the prepare, post, and distribute a notice of to representatives ‘‘designated or Act’s overarching goals of protecting voluntary recognition under the selected’’ for the purposes of collective employees’ free, informed choice in modified voluntary-recognition bar. In bargaining); Section 9(c), 29 U.S.C. designating or selecting their addition, there may be an unknown cost 159(c) (providing for a Board-conducted representatives, while also promoting for small entities to participate in election based on a petition stating, in industrial stability and collective elections that might not have occurred relevant part, that the employer bargaining and ensuring that unions but for the final rule and a de minimis ‘‘declines to recognize’’ a labor claiming Section 9(a) representative cost for small labor unions representing organization as employees’ 9(a) status have the requisite majority- employees in the building and representative). employee support. Accordingly, we find construction trades to retain proof of their majority support. 14. Comments Requesting Clarifications it appropriate to issue this final rule. 1. Statement of the Need for, and Some commenters seek clarifications V. Other Statutory Requirements Objectives of, the Rule regarding the rule. A. The Regulatory Flexibility Act Two commenters question whether Detailed descriptions of this final employers must review evidence of Final Regulatory Flexibility Analysis rule, its purpose, objectives, and the majority-employee union support at the legal basis are contained earlier in the time of recognition.240 This rule only The Regulatory Flexibility Act of SUMMARY and SUPPLEMENTARY requires the party seeking to establish 1980, as amended by the Small Business INFORMATION sections. In brief, the final 9(a) status to provide evidence Regulatory Enforcement Fairness Act of rule includes three provisions that are demonstrating that a majority of unit 1996 (RFA), 5 U.S.C. 601–612, requires necessary to accomplish the objective of employees supported the union at the an agency promulgating a final rule to better protecting the statutory rights of time of recognition; the rule does not prepare a final regulatory flexibility employees to express their views also require parties to show that the analysis when the regulation will have regarding representation. First, the final employer reviewed the evidence at that a significant impact on a substantial rule modifies the current blocking- time. number of small entities. An agency is charge policy and implements two new Another commenter seeks not required to prepare a final procedures to process representation clarification regarding whether 9(a) regulatory flexibility analysis if the petitions where a party files or has filed relationships created before the effective agency head certifies that the rule will an unfair labor practice charge—a vote- date of the rule will automatically revert not have a significant economic impact and-impound procedure or a vote-and- to 8(f) relationships.241 As explained, on a substantial number of small count procedure. Next, the final rule the rule will apply only prospectively to entities. 5 U.S.C. 605(b). In the NPRM, modifies the voluntary-recognition-bar an employer’s voluntary recognition although the Board believed that this doctrine by providing employees and extended on or after the effective date of rule would not have a significant rival unions with a 45-day window the rule and to any collective-bargaining economic impact on a substantial period in which to file an election agreement entered into on or after the number of small entities, the Board petition after an employer voluntarily date of voluntary recognition extended issued its Initial Regulatory Flexibility recognizes a union based on on or after the effective date of the rule. Analysis (IRFA) to provide the public demonstrated majority support. Lastly, Thus, the rule will not disrupt the fullest opportunity to comment on the final rule modifies the requirements longstanding 9(a) relationships. the proposed rule. See 84 FR at 39953. for proof of majority-based voluntary The Board solicited comments from the Two commenters ask whether the recognition under Section 9(a) in the public that would shed light on new voluntary-recognition window building and construction industry by potential compliance costs that may period, discussed in § 103.21(a) of the eliminating the possibility of result from the rule and that the Board final rule, will apply to 9(a) bargaining establishing Section 9(a) status based had not identified or anticipated. relationships in the construction solely on contract language drafted by industry.242 Although we do not believe The RFA does not define either the employer and/or union. Thus, the it is necessary to modify the wording of ‘‘significant economic impact’’ or final rule assists the Board in its the final rule in this regard, the answer ‘‘substantial number of small fundamental obligation to protect is yes—the window period applies, entities.’’ 244 Additionally, ‘‘[i]n the employee free choice and Section 7 along with the other requirements of absence of statutory specificity, what is rights. § 103.21(a). ‘significant’ will vary depending on the economics of the industry or sector to be 245 Small Business Administration Office of Advocacy, A Guide for Government Agencies: How 239 regulated. The agency is in the best Comment of NFIB. to Comply with the Regulatory Flexibility Act 18 240 Comments of NABTU; UA. (Aug. 2018), https://www.sba.gov/sites/default/files/ 241 Comment of AGC. 243 Comment of MCAA. advocacy/How-to-Comply-with-the-RFA-WEB.pdf 242 Comments of the Chamber; Senator Murray. 244 5 U.S.C. 601. (last visited Mar. 23, 2020).

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2. Statement of the Significant Issues regulatory agency to consider reviewing and understanding the Raised by the Public Comments in speculative and wholly discretionary substantive changes and the minimal Response to the Initial Regulatory responses to the rule, or the indirect cost associated with the posting of a Flexibility Analysis, a Statement of the impact on every stratum of the notice of voluntary recognition. 84 FR at Assessment of the Agency of Such economy. What the statute requires is 39956. Otherwise, there will be no Issues, and a Statement of any Changes that the agency consider the direct ‘‘reporting, recordkeeping and other Made in the Proposed Rule as a Result burden that compliance with a new compliance requirements’’ for small of Such Comments regulation will likely impose on small entities. See 5 U.S.C. 603(b)(4) & a. Response to Comments Concerning entities. See Mid-Tex Elec. Coop., Inc. v. 604(b)(4). The same is true of the final Estimated Compliance Costs of the Rule FERC, 773 F.2d 327, 342 (DC Cir. 1985) rule, except to the extent that the final (‘‘[I]t is clear that Congress envisioned rule requires electronic distribution of Several commenters criticized the that the relevant ‘economic impact’ was notices to employees where an Board’s quantification of costs the impact of compliance with the employer customarily communicates associated with each of the three proposed rule on regulated small with employees electronically—at most, changes. Generally, the AFL–CIO asserts entities’’); accord White Eagle Coop. a minimal additional cost. that the Board’s definition of an Ass’n v. Conner, 553 F.3d 467, 478 (7th Consistent with these principles, the economic impact is underinclusive, its Cir. 2009); Colorado State Banking Bd. Board rejects the view that it must analysis was limited to easily v. Resolution Trust Corp., 926 F.2d 931, analyze the indirect and speculative quantifiable costs, and it failed to 948 (10th Cir. 1991). costs of delayed bargaining or the attempt to quantify other costs by This construction of the RFA, assessing Board data. disruption of bargaining relationships. requiring agencies to consider only The D.C. Circuit has firmly rejected the Regarding the blocking-charge policy- direct compliance costs, finds support modification, the AFL–CIO accuses the notion that a regulating agency must in the text of that Act. Section 603(a) of analyze every indirect and remote Board of incorrectly professing an the RFA states that if an IRFA is inability to quantify the cost of economic impact. See Mid-Tex Elec. required, the IRFA ‘‘shall describe the Coop., Inc., 773 F.2d at 343 (‘‘Congress participating in additional elections. It impact of the proposed rule on small asserts that the Board has awarded such did not intend to require that every entities.’’ 5 U.S.C. 603(a). Although the agency consider every indirect effect costs as a remedy in unfair labor term ‘‘impact’’ is undefined, its meaning practice cases and, therefore, could that any regulation might have on small can be gleaned from Section 603(b), businesses in any stratum of the quantify such costs in the IRFA. which recites the required elements of national economy.’’). ‘‘[R]equir[ing] an Further, it claims that the Board could an IRFA. One such element is ‘‘a agency to assess the impact on all of the have used the same method used to description of the projected reporting, nation’s small businesses possibly quantify the cost of learning about the recordkeeping and other compliance affected by a rule would be to convert rule to quantify the cost of holding an requirements of the proposed rule, every rulemaking process into a massive election, i.e., specifying the personnel including an estimate of the classes of exercise in economic modeling, an that would participate in an election, small entities which will be subject to approach we have already rejected.’’ their wage rate, and a projection of the requirement and the type of Cement Kiln Recycling Coal. v. EPA, 255 hours spent on an election, or could professional skills necessary for F.3d 855, 869 (D.C. Cir. 2001) (citing have used election costs awarded in preparation of the report or record.’’ 5 past arbitrations. U.S.C. 603(b)(4). Section 604 further Mid-Tex Elec. Coop., Inc., 773 F.2d at Regarding the modification to the corroborates the Board’s conclusion, as 343). voluntary-recognition bar, the it contains an identical list of Notwithstanding the indirect nature International Brotherhood of Electrical requirements for a final regulatory of the potential impacts raised by these Workers asserts that the Board failed to flexibility analysis (if one is required). 5 comments, we also disagree with the assess the cost of ‘‘delayed bargaining U.S.C. 604(b)(4). Additional support for notion that the rule will upset existing and disruption of bargaining confining the regulatory analysis to collective-bargaining relationships. We relationships that would be caused by direct compliance costs is found in an specifically note that the final rule the proposed notice posting authoritative guide published by the regarding the requirement of proof to requirement.’’ However, no data or Office of Advocacy of the United States demonstrate majority-based 9(a) status further information was provided. Small Business Administration (SBA). in the construction industry has been Both the AFL–CIO and the In that guide—A Guide for Government clarified to reflect that it will apply only International Brotherhood of Electrical Agencies: How to Comply with the to voluntary recognitions extended on Workers generally fault the Board for Regulatory Flexibility Act (SBA Guide) or after the effective date of this rule and failing to analyze certain costs (Aug. 2018), https://www.sba.gov/sites/ to any collective-bargaining agreement associated with the change in the default/files/advocacy/How-to-Comply- entered into on or after the date of evidence necessary to prove a majority- with-the-RFA-WEB.pdf-the SBA voluntary recognition extended on or based bargaining relationship in the explains that ‘‘other compliance after the effective date of this rule. Thus, construction industry and to thus block requirements’’ under section 603 established bargaining relationships will an election petition. According to the include things such as capital costs for not be disrupted. Further, we believe International Brotherhood of Electrical equipment, costs of modifying existing that the rule will promote employees’ Workers, the Board further failed to processes and procedures, lost sales and statutory right of free choice on analyze the cost of the disruption to profits, changes in market competition, questions concerning representation by established collective-bargaining extra costs associated with the payment removing unnecessary barriers to the relationships in the construction of taxes or fees, and hiring employees. fair and expeditious resolution of such industry that would occur because of SBA Guide at 37. These are all direct, questions through the preferred means the rule. compliance-based costs. of a Board-conducted secret-ballot Respectfully, those commenters do In the IRFA, we noted that the only election. Labor-management stability not raise direct economic impacts under identifiable compliance costs imposed will be promoted when employees’ the RFA. The RFA does not require a by the proposed rule related to rights are respected.

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Furthermore, while the Board unions, other than the very low cost unions, that will be impacted by the recognized the possibility that small relating to reviewing and understanding rule. Most of the issues addressed by employers and unions may have to the rule (and, in some cases, a de this rule have been the subject of a prepare for and participate in elections minimis cost to retain records relating to robust public debate for several years. that may not have occurred but for the proof of majority status), and no And in conjunction with the official rule, such a cost is also speculative. evidence presented shows that any publication of the NPRM, the Board Even if such a cost could be quantified, additional indirect cost to small labor worked to widely publicize the given how relatively infrequently the unions would constitute a significant proposed rule. Upon issuance, the issues in this rule arise in Board impact. Board published the NPRM and facts proceedings, the cost would not affect a sheets on its website. See NLRB, c. Response to Comments Concerning substantial number of small entities. As Election Protection Rule, https:// Recordkeeping Requirements we explain below, the rule would www.nlrb.gov/about-nlrb/what-we-do/ annually impact only 744 out of The Board’s IRFA stated that there national-labor-relations-board- approximately 6 million small entities. may be a recordkeeping cost imposed on rulemaking/election-protection-rule (last See Section V.A.4. The Board has small construction-industry labor visited Mar. 23, 2020). On August 9, neither a method to accurately unions, relating to the retention of 2019, the Board issued a press release, determine the number of elections that positive evidence that they demanded which was published on its website and may occur as a result of the rule nor a recognition as the majority-supported distributed by email to subscribers, method to quantify the cost of collective-bargaining representative of notifying the public of the proposed participating in an election. In the cases employees in the building and rule. See NLRB Office of Public Affairs, cited by the AFL–CIO where the Board construction industries and that the NLRB Proposes Rulemaking to Protect has awarded elections costs as an employer granted such recognition. See Employee Free Choice (Aug. 9, 2019) extraordinary remedy, the aggrieved 84 FR at 39956. One commenter https://www.nlrb.gov/news-outreach/ party requested costs associated with an speculates that the rule will create an news-story/nlrb-proposes-rulemaking- election that had already occurred, onerous new recordkeeping requirement protect-employee-free-choice (last Texas Super Foods, 303 NLRB 209 under which a union is required to visited Mar. 23, 2020). The press release (1991), or costs associated with ‘‘a maintain records indicating its majority was also shared on social media through prolonged attempt at organization, support in perpetuity.247 Another the Board’s official Twitter and requiring extraordinary expenditures,’’ commenter further speculates that small Facebook accounts. The Board Members J. P. Stevens & Co., 244 NLRB 407, 458 local labor unions lack the sophisticated themselves have also discussed the (1979), but neither decision stated the record-retention systems that would be proposed rule at various public amount awarded.246 The unknown cost necessary under the rule.248 And still speaking engagements, including the of each of those elections was unique to another commenter asserts that the rule annual meeting of the Labor and those particular elections, as are the will require unions to expend funds to Employment Law Section of the costs associated with all elections. The retain the evidence of majority American Bar Association. Given the commenters do not appear to appreciate support.249 No commenter has foregoing efforts and the many the number of variables that may come identified any such complex or comments the Board received in into play when attempting to quantify sophisticated recordkeeping response to the NPRM, we believe the the cost of an election, such as the size requirement. public has been well informed, the pros of the petitioned-for unit, number of The RFA defines a ‘‘recordkeeping and cons of the rule have been facilities, geographic location, or requirement’’ as ‘‘a requirement thoroughly examined, and the impact of strength of opposition or favorability to imposed by an agency on persons to the rule on the full range of small union organization. Simply put, any maintain specified records,’’ 5 U.S.C. business entities governed by it have attempt to quantify this cost would be 601(8), and the rule directly imposes no been brought into sharp focus by incredibly speculative. such requirement but we acknowledge individuals, businesses, labor unions, the very high likelihood that small and industry trade groups. b. Response to Comments Concerning construction industry labor unions will 3. Response of the Agency to Any Economic Impact on Small Labor choose to do so. Under this rule, Unions Comments Filed by the Chief Counsel however, there is no reason for a small for Advocacy of the Small Business The International Brotherhood of labor organization to implement a Administration in Response to the Electrical Workers and the AFL–CIO record-retention system that is more Proposed Rule, and a Detailed criticize the Board’s IRFA analysis for sophisticated than their normal-course- Statement of any Change Made to the failing to adequately acknowledge and of-business records retention. In any Proposed Rule in the Final Rule as a assess the potential impact of the rule event, beyond familiarization costs, the Result of the Comments on small labor unions, particularly local Board finds that the rule imposes only labor unions. Neither commenter has a de minimis additional cost for The Chief Counsel of Advocacy of the identified a specific ‘‘impact’’ that the recordkeeping, and no comment Small Business Administration did not IRFA did not address or that is not presents empirical evidence to the file any comments in response to the addressed in this Section. In reviewing contrary. proposed rule. the comments on the IRFA, we find no d. Response to Comment Concerning 4. Description of and an Estimate of the other compliance costs to small labor Public Outreach Number of Small Entities to Which the Rule Will Apply 246 The arbitration decision cited by the AFL– The AFL–CIO argues that the Board CIO, Yale-New Haven Hospital, Arbitration failed to conduct sufficient outreach to To evaluate the impact of the final Proceedings Before Margaret M. Kern (Oct. 23, small businesses, including small local rule, the Board first identified the 2007), includes an award of organizing expenses for universe of small entities that could be the union, but there, too, the union calculated and submitted the expenses. Moreover, neither the 247 Comment of LIUNA MAROC. impacted by changes to the blocking- employer nor the union are within the SBA’s small 248 Comment of Professor Kulwiec. charge and voluntary-recognition-bar entity size standard. See fns. 250 & 254. 249 Comment of AFL–CIO. policies, as well as by elimination of the

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contract language basis for 8(f) to 9(a) employees participate and which exist notices, which is an average of 372 conversion in the construction industry. for the purpose . . . of dealing with requests per year.256 Assuming each employers concerning grievances, labor request was made by a distinct a. Blocking-Charge and Voluntary- disputes, wages, rates of pay, hours of employer and involved at least one Recognition-Bar Changes employment, or conditions of work.’’ 253 distinct labor organization, The changes to the blocking-charge The SBA’s ‘‘small business’’ standard approximately 744 entities of various and voluntary-recognition-bar policies for ‘‘Labor Unions and Similar Labor sizes were impacted each year that the will apply to all entities covered by the Organizations’’ is $8 million in annual modified voluntary-recognition bar was National Labor Relations Act (‘‘NLRA’’ receipts.254 In 2012, there were 13,740 in effect.257 Thus, given our historic or ‘‘the Act’’). According to the United labor unions in the U.S.255 Of these filing data, these numbers are very small States Census Bureau, there were labor unions, 11,245 had receipts of less relative to the number of small 5,954,684 businesses with employees in than $1,000,000; 2,022 labor unions had employers and unions subject to the 2016.250 Of those, 5,934,985 were small receipts between $1,000,000 and NLRA and generally impacted by this businesses with fewer than 500 $4,999,999; and 141 had receipts change. employees.251 Although this final rule between $5,000,000 and $7,499,999. In Throughout the IRFA, the Board would apply only to employers who aggregate, 13,408 labor unions (97.6% of requested comments or data that might meet the Board’s jurisdictional total) are small businesses according to improve its analysis, 84 FR at 39954, requirements, the Board does not have SBA standards. 39957, but no additional data was the means to calculate the number of The blocking-charge policy change received regarding the number of small excluded entities (nor was data received will be applied as a matter of law only entities and unions to which this change on this particular issue).252 Accordingly, under certain circumstances in a Board will apply. the Board assumes for purposes of this proceeding, namely, when a party to a b. Elimination of Contract Language analysis that the rule could impact the representation proceeding files an unfair Basis for Proving Majority-Based great majority of the 5,934,985 small labor practice charge and requests a Recognition in the Construction businesses. delay in the count of ballots or the Industry These two changes will also impact certification of results after an election. all labor unions, as organizations Therefore, the frequency with which the The Board believes that the proposed representing or seeking to represent prior blocking-charge policy arose is elimination of the contract-language employees. Labor unions, as defined by indicative of the number of small basis for proving majority-supported the NLRA, are entities ‘‘in which entities most directly impacted by the voluntary recognition is relevant only to final rule. For example, in Fiscal Year construction-industry small employers 250 See U.S. Department of Commerce, Bureau of 2018, 1,408 petitions were filed and and labor unions because Section 8(f) of Census, 2016 Statistics of U.S. Businesses (SUSB) the Act applies solely to such entities Annual Data Tables by Establishment Industry (Dec. proceeded to an election, and only 4 of 2018), https://www.census.gov/data/tables/2016/ those petitions were subject to a engaged in the building and econ/susb/2016-susb-annual.html (from blocking charge. Thus, the current construction industries. These downloaded Excel Table titled ‘‘U.S., 6-digit blocking-charge policy directly construction-industry employers are NAICS’’). classified under the NAICS Sector 23 251 impacted 3.125% of petitions filed in Id. The Census Bureau does not specifically 258 define ‘‘small business’’ but does break down its Fiscal Year 2018, parties to which Construction. Of the 640,951 data into firms with fewer than 500 employees and would only constitute a de minimis those with 500 or more employees. Consequently, number of all small entities under the 256 Lamons Gasket, 357 NLRB at 742. the 500-employee threshold is commonly used to Board’s jurisdiction. 257 Dana Corp., 351 NLRB at 441–442 describe the universe of small employers. For (establishing a 45-day ‘‘window period’’ after defining small businesses among specific Similarly, the number of small voluntary recognition during which employees industries, the standards are defined by the North entities expected to be most directly could file an election petition supported by a 30- American Industry Classification System (NAICS). impacted by the modified voluntary percent showing of interest seeking decertification 252 Pursuant to 29 U.S.C. 152(6) and (7), the Board recognition bar doctrine is also low. or representation by an alternative union). 258 has statutory jurisdiction over private-sector When the modified voluntary These NAICS construction-industry employers whose activity in interstate commerce classifications include the following codes: 236115: exceeds a minimal level. NLRB v. Fainblatt, 306 recognition bar was previously in effect, New Single-Family Housing Construction (except U.S. 601, 606–607 (1939). To this end, the Board the Board tracked the number of For-Sale Builders); 236116: New Multifamily has adopted monetary standards for the assertion of requests for Dana notices, which were Housing Construction (except For-Sale Builders); jurisdiction that are based on the volume and 236117: New Housing For-Sale Builders; 236118: character of the business of the employer. In used to inform employees that a Residential Remodelers; 236210: Industrial general, the Board asserts jurisdiction over voluntary recognition had taken place Building Construction; 236220: Commercial and employers in the retail business industry if they and of their right to file a petition for an Institutional Building Construction; 237110: Water have a gross annual volume of business of $500,000 election. Those notices are similar to the and Sewer Line and Related Structures or more. Carolina Supplies & Cement Co., 122 Construction; 237120: Oil and Gas Pipeline and NLRB 88 (1959). But shopping-center and office- notices that would be required under Related Structures Construction; 237130: Power and building retailers have a lower threshold of this final rule. From September 29, Communication Line and Related Structures $100,000 per year. Carol Management Corp., 133 2007, to May 13, 2011, the Board Construction; 237210: Land Subdivision; 237310: NLRB 1126 (1961). The Board asserts jurisdiction received 1,333 requests for Dana Highway, Street, and Bridge Construction; 237990: over non-retailers generally where the value of Other Heavy and Civil Engineering Construction; goods and services purchased from entities in other 238110: Poured Concrete Foundation and Structure states is at least $50,000. Siemons Mailing Service, 253 29 U.S.C. 152(5). Contractors; 238120: Structural Steel and Precast 122 NLRB 81 (1959). The following employers are 254 See 13 CFR 121.201. Concrete Contractors; 238130: Framing Contractors; excluded from the NLRB’s jurisdiction by statute: 255 The Census Bureau only provides data about 238140: Masonry Contractors; 238150: Glass and Federal, state and local governments, including receipts in years ending in 2 or 7. The 2017 data Glazing Contractors; 238160: Roofing Contractors; public schools, libraries, and parks, Federal Reserve have not been published, so the 2012 data are the 238170: Siding Contractors; 238190: Other banks, and wholly-owned government corporations. most recent available information regarding Foundation, Structure, and Building Exterior 29 U.S.C. 152(2). receipts. See U.S. Department of Commerce, Bureau Contractors; 238210: Electrical Contractors and Employers that employ only agricultural laborers, of Census, 2012 SUSB Annual Data Tables by Other Wiring Installation Contractors; 238220: those engaged in farming operations that cultivate Establishment Industry, https://www2.census.gov/ Plumbing, Heating, and Air-Conditioning or harvest agricultural commodities or prepare programs-surveys/susb/tables/2012/us_6digitnaics_ Contractors; 238290: Other Building Equipment commodities for delivery. 29 U.S.C. 152 (3). r_2012.xlsx (Classification #813930—Labor Unions Contractors; 238310: Drywall and Insulation Employers subject to the Railway Labor Act, such and Similar Labor Organizations) (last visited Mar. Contractors; 238320: Painting and Wall Covering as interstate railroads and airlines. 29 U.S.C. 152(2). 23, 2020). Contractors; 238330: Flooring Contractors; 238340:

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employers included in those NAICS instances relative to the number of those associated with the portion of the rule definitions, 633,135 are small employers types of small entities identified above. that eliminates the contract-language that fall under the SBA ‘‘small basis for establishing voluntary 5. Description of the Projected business’’ standard for classifications in recognition under Section 9(a) are Reporting, Recordkeeping, and other the NAICS Construction sector.259 In the limited to small employers and unions NPRM, the Board identified 3,929 small Compliance Requirements of the Rule, in the construction industry. To become labor unions primarily operating in the Including an Estimate of the Classes of generally familiar with that change, in building and construction trades that Small Entities Which will be Subject to addition to the first two changes, we fall under the SBA ‘‘small business’’ the Requirement and the Type of estimate that a human-resources standard for the NAICS classification Professional Skills Necessary for specialist at a small employer or union ‘‘Labor Unions and Similar Labor Preparation of the Report or Record in the construction industry may take at Organizations’’ of annual receipts of less The RFA requires agencies to consider most 2 hours to read the entire rule. than $7.5 million.260 In the IRFA, the the direct burden that compliance with Consultation with an attorney may take Board requested comments or data that a new regulation will likely impose on an additional 15 minutes, or 75 minutes might improve its analysis regarding the small entities.263 Thus, the RFA requires to consult with an attorney regarding number of construction-industry labor the Board to determine the amount of the entire rule. Thus, the Board has unions affected by the proposed rule, ‘‘reporting, recordkeeping and other assessed labor costs for small employers see 84 FR at 39955, but we did not compliance requirements’’ imposed on and unions in the construction industry receive any additional data regarding small entities. In providing its final to be $211.25. the number of small labor unions to regulatory flexibility analysis, an agency a. Costs Associated With Establishment which the rule will apply. may provide either a quantifiable or It is unknown how many of those of Vote and Impound or Vote-and-Count numerical description of the effects of a Procedures small construction-industry employers rule or alternatives to the rule, or ‘‘more elect to enter into a 9(a) bargaining general descriptive statements if Although we do not foresee any relationship with a small labor union quantification is not practicable or additional compliance costs related to based on language in a collective- reliable.’’ 264 eliminating the blocking-charge policy, bargaining agreement. However, again, We conclude that the final rule this policy change would cause some the number of cases that involve a imposes no capital costs for equipment elections to occur sooner, and in some question of whether a relationship is needed to meet the regulatory cases would lead to elections that governed by Section 8(f) or 9(a) is very requirements; no lost sales and profits previously would not have occurred. small relative to the total number of resulting from the proposed rule; no Arguably, the time compression of construction-industry employers and changes in market competition as a holding an election under the Board’s unions. For example, only one case was result of the proposed rule and its typical election timeline may create filed in Fiscal Year 2017 where the impact on small entities or specific additional costs for small businesses Board ultimately had to determine submarkets of small entities; and no that do not have in-house legal whether a collective-bargaining costs of hiring employees dedicated to departments or ready access to outside agreement was governed by Section 8(f) compliance with regulatory labor attorneys or consultants, and that 261 or 9(a). In Fiscal Year 2016, no cases requirements. consequently need to pay to obtain such required the Board to determine Small entities may incur some costs assistance. Conversely, because the whether a collective-bargaining from reviewing the rule in order to Board’s current blocking-charge policy agreement was governed by 8(f) or 9(a). understand the substantive changes. To appears susceptible to manipulation and One case was filed in Fiscal Year 2015 become generally familiar with the new abuse, the elimination of that policy that came before the Board with the 8(f) vote-and-impound or vote-and-count may result in fewer unfair labor practice or 9(a) collective-bargaining agreement charges filed with the intent to forestall 262 procedures and the modified voluntary- issue. recognition bar, we estimate that a employees from exercising their right to The historic filing data thus suggests human-resources specialist at a small vote. This would reduce some costs for that construction-industry employers employer or labor union may take at small employers by eliminating the and labor unions will only be most most 90 minutes to read the rule. It is need to hire a labor attorney to defend directly impacted in a small number of also possible that a small employer or against such charges. It could also create labor union may wish to consult with an additional costs for small labor unions Tile and Terrazzo Contractors; 238350: Finish attorney, which we estimate will require that have to prepare for an election that Carpentry Contractors; 238390: Other Building may have otherwise been postponed or Finishing Contractors; 238910: Site Preparation 1 hour. Using the Bureau of Labor Contractors; 238990: All Other Specialty Trade Statistics’ estimated wage and benefit that may subsequently be set aside. In Contractors. See U.S. Department of Commerce, costs, the Board has assessed these labor the IRFA, the Board requested Bureau of Census, 2012 SUSB Annual Data Tables comments or data that might improve its costs to be $164.51.265 The costs by Establishment Industry, https:// analysis regarding the estimated cost for www2.census.gov/programs-surveys/susb/tables/ 2012/us_6digitnaics_r_2012.xlsx (last visited Mar. 263 See Mid-Tex Elec. Coop., Inc. v. FERC, 773 preparing and participating in elections, 23, 2020). F.2d at 342 (‘‘[I]t is clear that Congress envisioned see 84 FR at 39956, but—other than the 259 NAICS codes 236115–237130 and 237310– that the relevant ‘economic impact’ was the impact AFL–CIO’s comment referenced above— 237990 have a small-business threshold of $39.5 of compliance with the proposed rule on regulated we received no additional data million in annual receipts; NAICS code 237210 has small entities.’’). regarding the average cost for preparing a threshold of $30 million in annual receipts; and 264 See 5 U.S.C. 603(b)(4), 604(a)(4). NAICS codes 238110–238990 have a threshold of 265 For wage figures, see May 2018 National for or participating in a Board election. $16.5 million in annual receipts. See 13 CFR Occupancy Employment and Wage Estimates, 121.201. found at https://www.bls.gov/oes/current/oes_ wages for a Human Resources Specialist (BLS #13– 260 See 84 FR at 39955. nat.htm (last visited Mar. 23, 2020). The Board has 1071) were $32.11. The same figure for a lawyer 261 See AFP Specialties, Inc., Case 07–RD– been administratively informed that BLS estimates (BLS #23–1011) was $69.34. Accordingly, the Board 187706, 2017 WL 2212112, at *1 fn.1 (May 18, that fringe benefits are approximately equal to 40 multiplied each of those wage figures by 1.4 and 2017). percent of hourly wages. Thus, to calculate total added them to arrive at its estimate. In the IRFA, 262 See Loshaw Thermal Technology, LLC, Case average hourly earnings, BLS multiplies average we estimated these costs using May 2017 National 05–CA–158650, 2018 WL 4357198. hourly wages by 1.4. In May 2018, average hourly Occupancy Employment and Wage Estimates.

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The Board believes that any costs have the bargaining relationship be than 10 percent of the businesses’ from participating in quicker elections governed under Section 9(a) as opposed profits; (b) exceed one percent of the or elections that would have not to a presumed 8(f) bargaining gross revenues of the entities in a otherwise occurred are limited to very relationship. As described above, the particular sector, or (c) exceed five few employers, comparing the limited final rule eliminates the contract- percent of the labor costs of the number of Board proceedings where an language basis for establishing a 9(a) entities in the sector. unfair labor practice charge has been bargaining relationship and thereby The minimal cost to read and filed contemporaneously with an barring a petition in a representation understand the rule, $164.51 or $211.25, election petition with the high number proceeding. However, the rule continues will not generate any such significant of employers that are subject to the to allow two other methods to establish economic impacts, nor will the minimal Board’s jurisdiction. a 9(a) bargaining relationship: a Board- cost, $289.91 for employers to comply certified election and voluntary b. Costs Associated With Modification with the modified recognition-bar notice recognition based on demonstrated of the Voluntary-Recognition Bar posting. majority support. In the handful of cases In a case in which an employer where an election petition is filed 6. Description of the Steps the Agency voluntarily recognizes a union, we involving one of the approximately 6 Has Taken To Minimize the Significant estimate that the employer will spend million small entities in the United Economic Impact on Small Entities an estimated 1 hour and 45 minutes to States, both the construction industry Consistent With the Stated Objectives of comply with the rule. This includes: 30 employer and labor union would incur Applicable Statutes, Including a minutes for the employer (or union) to the cost of participating in an election. Statement of the Factual, Policy, and notify the local regional office of the As noted above, we are unable to Legal Reasons for Selecting the Board in writing of the grant of quantify the cost of preparing for or Alternative Adopted in the Final Rule voluntary recognition by submitting a participating in a Board election. In and Why Each one of the Other copy of the recognition agreement; 60 cases where a construction-industry Significant Alternatives to the Rule minutes to open the notice sent from the employer voluntarily recognizes a union Considered by the Agency Which Affect Board, insert certain information based on demonstrated majority the Impact on Small Entities was specific to the parties to the voluntary support, the union may incur an Rejected recognition, post the notice physically additional de minimis cost related to the Pursuant to 5 U.S.C. 604(a)(6), and electronically (depending on where retention of the evidence of majority agencies are directed to examine ‘‘why and how the employer customarily support, e.g., signed union authorization each one of the other significant posts notices to employees), and cards, for a longer period of time if it alternatives to the rule considered by distribute it electronically (if the can no longer rely on contractual the agency which affect the impact on employer customarily communicates language. No data or comments were small entities was rejected.’’ In the with employees electronically); and 15 received relating to such costs, other IRFA, the Board requested comments minutes to complete the certification-of- than those comments described above. identifying any other issues and posting form to be returned to the d. Overall Costs alternatives that it had not considered. Region at the close of the notice-posting See 84 FR at 39957. period. We assume that these activities We do not find the estimated $164.51 Many comments suggested that the will be performed by a human-resources cost to small employers and unions in Board withdraw the proposed rule and order to review and understand the specialist for a total cost of about leave in place the current blocking- petition-processing procedures and the $78.66. charge policy, voluntary-recognition The Board’s modified voluntary- modified voluntary recognition bar, or bar, and requirement of proof to show recognition bar will cause elections to the estimated $78.66 cost for an majority-based recognition in the be held in a small number of cases in employer to comply with the notice construction industry. We considered which the election petition previously requirements of the modified and rejected these alternatives for the would have been dismissed, increasing recognition bar, to be significant within reasons stated above. Consequently, we costs for both employers and unions. As the meaning of the RFA. We find the reject maintaining the status quo. stated previously, in the IRFA, the same with regard to the estimated cost The AFL–CIO suggests several Board requested comments or data that of $211.25 for small employers and alternatives to the proposed might improve its analysis regarding the unions in the construction industry to modification to the blocking-charge estimated cost for preparing for and review and understand the elimination policy, including expedited participating in elections, including of the contract-language basis for investigation of possible blocking those after a grant of voluntary establishing voluntary recognition charges, periodic review of charges that recognition, see 84 FR at 39956, but we under Section 9(a), in addition to the are blocking an election, instructing received no additional data, other than first two changes. In making these regional directors to make fuller use of the AFL–CIO’s comment referenced findings, one important indicator is the their existing discretion to not block above. cost of compliance in relation to the elections, expanding exceptions in the revenue of the entity or the percentage c. Costs Associated With Elimination of blocking-charge policy, or limiting the of profits affected. Other criteria to be Contract-Language Basis for Proving application of the new rule to charges considered are the following: 266 Majority-Based Recognition in the —Whether the rule will cause long-term not filed by the petitioner. We have Construction Industry insolvency, i.e., regulatory costs that discussed, and rejected, these Under current Board law, a may reduce the ability of the firm to alternatives for the reasons discussed in construction-industry employer and make future capital investment, Section III.E. above. union can write into their collective- thereby severely harming its bargaining agreement that the union competitive ability, particularly 266 CWA similarly stresses the existing discretion afforded to regional directors as to whether to showed or offered to show evidence of against larger firms; process a petition and conduct an election if a majority support and, in combination —Whether the cost of the proposed charge and request to block an election has been with certain other contractual language, regulation will (a) eliminate more filed.

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In the NPRM, the Board considered VI. Final Rule its effect, if any, on the election petition. exempting certain small entities. See 84 For the reasons set forth in the If the charge is withdrawn or dismissed FR at 39957. We received no comments preamble, the National Labor Relations at any time during that 60-day period, on this potential alternative and again Board amends part 103 of title 29 of the or if the 60-day period ends without a reject this exemption as impractical Code of Federal Regulations as follows. complaint issuing, then the ballots shall because such a large percentage of be promptly opened and counted. The employers and unions would be exempt List of Subjects in 29 CFR Part 103 60-day period will not be extended, under the SBA definitions, thereby Jurisdictional standards, Election even if more than one unfair labor substantially undermining the purpose procedures, Appropriate bargaining practice charge is filed serially. of the final rule. Additionally, given the units, Joint Employers, Remedial (d) For all charges described in very small quantifiable cost of Orders. paragraphs (b) or (c) of this section, the compliance, it is possible that the certification of results (including, where burden on a small business of PART 103—OTHER RULES appropriate, a certification of representative) shall not issue until determining whether it fell within a ■ 1. The authority citation for part 103 there is a final disposition of the charge particular exempt category might exceed continues to read: and a determination of its effect, if any, the burden of compliance. Congress on the election petition. gave the Board very broad jurisdiction, Authority: 29 U.S.C. 156, in accordance ■ with no suggestion that it wanted to with the procedure set forth in 5 U.S.C. 553. 3. Add § 103.21 to read as follows: limit coverage of any part of the Act to ■ 2. Revise § 103.20 to read as follows: § 103.21 Processing of petitions filed after only larger employers. As the Supreme voluntary recognition. Court has noted, ‘‘[t]he [NLRA] is § 103.20 Election procedures and blocking charges. (a) An employer’s voluntary federal legislation, administered by a recognition of a labor organization as national agency, intended to solve a (a) Whenever any party to a exclusive bargaining representative of national problem on a national scale.’’ representation proceeding files an unfair an appropriate unit of the employer’s NLRB v. Hearst Publ’ns, 322 U.S. 111, labor practice charge together with a employees under section 9(a) of the Act, 123 (1944). As such, this alternative is request that the charge block the and the first collective-bargaining contrary to the objectives of this election process, or whenever any party agreement executed by the parties on or to a representation proceeding requests rulemaking and of the NLRA. after the date of such voluntary that its previously filed unfair labor None of the alternatives considered recognition, will not bar the processing practice charge block the election of an election petition unless: would adequately accomplish the process, the party shall simultaneously primary objective of issuing this rule— (1) The employer and/or the labor file, but not serve on any other party, a organization notifies the Regional Office protection of employee free choice— written offer of proof in support of the that recognition has been granted; while minimizing costs on small charge. The offer of proof shall provide (2) The employer posts, in businesses. Accordingly, we believe that the names of the witnesses who will conspicuous places, including all places promulgating this final rule is the best testify in support of the charge and a where notices to employees are regulatory course of action. summary of each witness’s anticipated customarily posted, a notice of testimony. The party seeking to block B. Paperwork Reduction Act recognition (provided by the Regional the election process shall also promptly Office) informing employees that In the NPRM, the Board explained make available to the regional director recognition has been granted and that that the proposed rule would not the witnesses identified in its offer of they have a right to file a petition during impose any information-collection proof. a 45-day ‘‘window period’’ beginning on requirements and accordingly, the (b) If charges are filed alleging the date the notice is posted; proposed rule is not subject to the violations other than those described in (3) The employer distributes the Paperwork Reduction Act (PRA), 44 paragraph (c) of this section, the ballots notice described in paragraph (a)(2) of U.S.C. 3501 et seq. See 84 FR at 39957. will be promptly opened and counted at this section electronically to employees We have not received any substantive the conclusion of the election. in the petitioned-for unit, if the comments relevant to the Board’s (c) If charges are filed that allege employer customarily communicates analysis of its obligations under the violations of section 8(a)(1) and 8(a)(2) with its employees electronically; and PRA. or section 8(b)(1)(A) of the Act and that (4) 45 days from the posting date pass challenge the circumstances without a properly supported petition C. Congressional Review Act surrounding the petition or the showing being filed. of interest submitted in support of the (5) The notice described in paragraph The three provisions of the final rule petition, or a charge is filed that alleges (a)(2) of this section shall state as are substantive, and the Board will an employer has dominated a union in follows: submit this rule and required violation of section 8(a)(2) and seeks to accompanying information to the Federal law gives employees the right to disestablish a bargaining relationship, form, join, or assist a union and to choose not Senate, the House of Representatives, the regional director shall impound the to engage in these protected activities. and the Comptroller General as required ballots for up to 60 days from the An employer may lawfully recognize a by the Small Business Regulatory conclusion of the election if the charge union based on evidence (such as signed Enforcement Fairness Act, Subtitle E has not been withdrawn or dismissed authorization cards) indicating that a (the Congressional Review Act or CRA), prior to the conclusion of the election. majority of employees in an appropriate 5 U.S.C. 801–808. Pursuant to the If a complaint issues with respect to the bargaining unit desire its representation, Congressional Review Act, the Office of without an election supervised by the charge at any point prior to expiration National Labor Relations Board. Information and Regulatory Affairs of that 60-day post-election period, then Once an employer recognizes a union as designated this rule as a major rule. the ballots shall continue to be the employees’ exclusive bargaining Accordingly, the rule will become impounded until there is a final representative, the employer has an effective June 1, 2020. determination regarding the charge and obligation to bargain with the union in good

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faith in an attempt to reach a collective- processed according to the National Labor pursuant to section 9(c) or 9(e) of the bargaining agreement, and that obligation is Relations Board’s normal procedures. Act absent positive evidence that the not delayed or otherwise impacted by this A petition may be filed within the 45-day union unequivocally demanded notice. window period even if [Employer] and The National Labor Relations Board is an [Union] have already reached a collective- recognition as the section 9(a) exclusive agency of the United States Government and bargaining agreement. bargaining representative of employees does not endorse any choice about whether If no petition is filed within the 45-day in an appropriate bargaining unit, and employees should keep the recognized window period, the Union’s status as the unit that the employer unequivocally union, file a petition to certify the recognized employees’ exclusive bargaining accepted it as such, based on a union, file a petition to decertify the representative will be insulated from contemporaneous showing of support recognized union, or support or oppose a challenge for a reasonable period of time, and representation petition filed by another if [Employer] and [Union] reach a collective- from a majority of employees in an union. bargaining agreement during that insulated appropriate unit. Collective-bargaining [Employer] on [date] recognized [Union] as reasonable period, an election cannot be held agreement language, standing alone, the employees’ exclusive bargaining for the duration of that collective-bargaining will not be sufficient to provide the representative based on evidence indicating agreement, up to 3 years. showing of majority support. that a majority of employees in [described bargaining unit] desire its representation. (b) This section shall be applicable to (b) This section shall be applicable to All employees, including those who an employer’s voluntary recognition on an employer’s voluntary recognition previously signed cards in support of or after the effective date of this rule. extended on or after the effective date of [Union], have the right to be represented by ■ 4. Add § 103.22 to read as follows: a union of their choice or by no union at all. this rule and to any collective- Within 45 days from the date of this notice, § 103.22 Proof of majority-based bargaining agreement entered into on or a petition supported by 30 percent or more bargaining relationship between employer after the date of voluntary recognition of the unit employees may be filed with the and labor organization in the construction extended on or after the effective date of National Labor Relations Board for a secret- industry. this rule. ballot election to determine whether or not (a) A voluntary recognition or Dated: March 24, 2020. the unit employees wish to be represented by collective-bargaining agreement [Union], or 30 percent or more of the unit between an employer primarily engaged Roxanne L. Rothschild, employees can support another union’s filing Executive Secretary. of a petition to represent them. in the building and construction Any properly supported petition filed industry and a labor organization will [FR Doc. 2020–06470 Filed 3–31–20; 8:45 am] within the 45-day window period will be not bar any election petition filed BILLING CODE 7545–01–P

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Part IV

The President

Executive Order 13911—Delegating Additional Authority Under the Defense Production Act With Respect to Health and Medical Resources To Respond to the Spread of COVID–19 Executive Order 13912—National Emergency Authority To Order the Selected Reserve and Certain Members of the Individual Ready Reserve of the Armed Forces to Active Duty Memorandum of March 28, 2020—Providing Federal Support for Governors’ Use of the National Guard To Respond to COVID–19 Memorandum of March 30, 2020—Providing Federal Support for Governors’ Use of the National Guard To Respond to COVID–19

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Federal Register Presidential Documents Vol. 85, No. 63

Wednesday, April 1, 2020

Title 3— Executive Order 13911 of March 27, 2020

The President Delegating Additional Authority Under the Defense Produc- tion Act With Respect to Health and Medical Resources To Respond to the Spread of COVID–19

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Defense Production Act of 1950, as amended (50 U.S.C. 4501 et seq.) (the ‘‘Act’’), the National Emergencies Act (50 U.S.C. 1601 et seq.), and section 301 of title 3, United States Code, it is hereby ordered as follows: Section 1. Policy. In Proclamation 9994 of March 13, 2020 (Declaring a National Emergency Concerning the Novel Coronavirus Disease (COVID– 19) Outbreak), I declared a national emergency recognizing the threat that the novel (new) coronavirus known as SARS–CoV–2 poses to our Nation’s healthcare systems. In recognizing the public health risk, I noted that on March 11, 2020, the World Health Organization announced that the outbreak of COVID–19 (the disease caused by SARS–CoV–2) can be characterized as a pandemic. I also noted that while the Federal Government, along with State and local governments, have taken preventive and proactive meas- ures to slow the spread of the virus and to treat those affected, the spread of COVID–19 within our Nation’s communities threatens to strain our Na- tion’s healthcare systems. To deal with this threat, on March 18, 2020, I issued Executive Order 13909 (Prioritizing and Allocating Health and Medical Resources to Respond to the Spread of COVID–19), in which I delegated to the Secretary of Health and Human Services the prioritization and allocation authority under section 101 of the Act with respect to health and medical resources needed to respond to the spread of COVID–19. And on March 23, 2020, I issued Executive Order 13910 (Preventing Hoarding of Health and Medical Resources to Respond to the Spread of COVID–19), in which I delegated to the Secretary of Health and Human Services the authority under section 102 of the Act to combat hoarding and price gouging with respect to such resources. To ensure that our healthcare systems are able to surge capacity and capability to respond to the spread of COVID–19, it is the policy of the United States to expand domestic production of health and medical resources needed to respond to the spread of COVID–19, including personal protective equip- ment and ventilators. Accordingly, I am delegating authority under title III of the Act to guarantee loans by private institutions, make loans, make provision for purchases and commitments to purchase, and take additional actions to create, maintain, protect, expand, and restore domestic industrial base capabilities to produce such resources. To enable greater cooperation among private businesses in expanding production of and distributing such resources, I am also delegating my authority under section 708(c) and (d) of the Act (50 U.S.C. 4558(c), (d)) to provide for the making of voluntary agreements and plans of action by the private sector. Sec. 2. Delegation of Authority Under Title III of the Act. (a) Notwithstanding Executive Order 13603 of March 16, 2012 (National Defense Resources Pre- paredness), the Secretary of Health and Human Services and the Secretary of Homeland Security are each delegated, with respect to responding to the spread of COVID–19 within the United States, the authority of the President conferred by sections 301, 302, and 303 of the Act (50 U.S.C. 4531, 4532, and 4533), and the authority to implement the Act in subchapter

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III of chapter 55 of title 50, United States Code (50 U.S.C. 4554, 4555, 4556, and 4560). (b) The Secretary of Health and Human Services and the Secretary of Homeland Security may each use the authority under sections 301, 302, and 303 of the Act, in consultation with the Secretary of Defense and the heads of other executive departments and agencies as he deems appro- priate, to respond to the spread of COVID–19. (c) To provide additional authority to respond to the national emergency I declared in Proclamation 9994, the requirements of section 301(a)(2), section 301(d)(1)(A), and section 303(a)(1) through (a)(6) of the Act are waived during the period of that national emergency. (d) To provide additional authority to respond to the national emergency I declared in Proclamation 9994, the Secretary of Health and Human Services and the Secretary of Homeland Security are each authorized to submit for my approval under section 302(d)(2)(B) of the Act a proposed determina- tion that any specific loan is necessary to avert an industrial resource or critical technology shortfall that would severely impair national defense capability. (e) Before exercising the authority delegated under this section with respect to health or medical resources, the Secretary of Homeland Security shall consult with the Secretary of Health and Human Services. Sec. 3. Delegation of Authority Under Title VII of the Act. (a) Notwithstanding Executive Order 13603, the Secretary of Health and Human Services and the Secretary of Homeland Security are each delegated, with respect to responding to the spread of COVID–19 within the United States, the authority of the President conferred by section 708(c)(1) and (d) of the Act. The Secretary of Health and Human Services shall provide to the Secretary of Homeland Security notice of any use of such delegated authority. (b) The delegation made in this section is made upon the condition that the Secretary of Health and Human Services or the Secretary of Home- land Security consult with the Attorney General and with the Federal Trade Commission, and obtain the prior approval of the Attorney General, after consultation by the Attorney General with the Federal Trade Commission, as required by section 708(c)(2) of the Act, except when such consultation is waived under subsection (c) of section 3 of this order and section 708(c)(3) of the Act. (c) The Secretary of Health and Human Services and the Secretary of Homeland Security are each authorized to submit for my approval under section 708(c)(3) of the Act any proposed determination that any specific voluntary agreement or plan of action is necessary to meet national defense requirements resulting from an event that degrades or destroys critical infra- structure. (d) Before exercising the authority delegated under this section with respect to health or medical resources, the Secretary of Homeland Security shall consult with the Secretary of Health and Human Services. Sec. 4. Additional Delegations. (a) Notwithstanding Executive Order 13603, the Secretary of Health and Human Services and the Secretary of Homeland Security are each delegated, with respect to responding to the spread of COVID–19 within the United States, the authority of the President conferred by section 107 of the Act (50 U.S.C. 4517). (b) In addition to the delegations of authority in Executive Order 13909 and Executive Order 13910, the authority of the President conferred by sections 101 and 102 of the Act (50 U.S.C. 4511, 4512) is delegated to the Secretary of Homeland Security with respect to health and medical resources needed to respond to the spread of COVID–19 within the United States. (c) The Secretary of Homeland Security may use the authority under section 101 of the Act to determine, in consultation with the heads of

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other executive departments and agencies as appropriate, the proper nation- wide priorities and allocation of health and medical resources, including by controlling the distribution of such materials (including applicable serv- ices) in the civilian market, for responding to the spread of COVID–19 within the United States. (d) Before exercising the authority under section 102 of the Act, the Secretary of Homeland Security shall consult with the Secretary of Health and Human Services. (e) The Secretary of Homeland Security shall periodically consider whether the designations made by him under section 102 of the Act pursuant to section 4(b) of this order remain necessary. Upon finding that such designa- tion of material is no longer necessary, the Secretary of Homeland Security shall promptly publish a notice of withdrawal of the designation in the Federal Register, and in such other manner as he deems appropriate. Sec. 5. Implementing Rules and Regulations. The Secretary of Health and Human Services and the Secretary of Homeland Security shall each adopt and revise appropriate rules and regulations as may be necessary to imple- ment this order. Sec. 6. Policy Coordination. The Assistant to the President for Trade and Manufacturing Policy shall serve as National Defense Production Act Policy Coordinator. Sec. 7. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

THE WHITE HOUSE, March 27, 2020.

[FR Doc. 2020–06969 Filed 3–31–20; 11:15 am] Billing code 3295–F0–P

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Executive Order 13912 of March 27, 2020

National Emergency Authority To Order the Selected Reserve and Certain Members of the Individual Ready Reserve of the Armed Forces to Active Duty

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the National Emergencies Act (50 U.S.C. 1601 et seq.), and in furtherance of Proclamation 9994 of March 13, 2020 (Declaring a National Emergency Concerning the Novel Coronavirus Disease (COVID–19) Outbreak), which declared a national emer- gency by reason of the threat that the novel (new) coronavirus known as SARS–CoV–2 poses to our Nation’s healthcare systems, I hereby order as follows: Section 1. Emergency Authority. To provide additional authority to the Secre- taries of Defense and Homeland Security to respond to the national emer- gency declared by Proclamation 9994, the authorities under section 12302 of title 10, United States Code, and sections 2127, 2308, 2314, and 3735 of title 14, United States Code, are invoked and made available, according to their terms, to the Secretaries of Defense and Homeland Security. The Secretaries of the Army, Navy, and Air Force, at the direction of the Secretary of Defense, and the Secretary of Homeland Security with respect to the Coast Guard when it is not operating as a service in the Navy, are authorized to order to active duty not to exceed 24 consecutive months, such units, and individual members of the Ready Reserve under the jurisdiction of the Secretary concerned, not to exceed 1,000,000 members on active duty at any one time, as the Secretary of Defense and, with respect to the Coast Guard when it is not operating as a service in the Navy, the Secretary of Homeland Security consider necessary. The Secretary of Defense or the Secretary of Homeland Security, as applicable, will ensure appropriate con- sultation is undertaken with relevant state officials with respect to the utiliza- tion of National Guard Reserve Component units activated under this author- ity. Sec. 2. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

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(c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

THE WHITE HOUSE, March 27, 2020.

[FR Doc. 2020–06985 Filed 3–31–20; 11:15 am] Billing code 3295–F0–P

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Memorandum of March 28, 2020 Providing Federal Support for Governors’ Use of the Na- tional Guard To Respond to COVID–19

Memorandum for the Secretary of Defense [and] the Secretary of Home- land Security

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121–5207 (the ‘‘Stafford Act’’), and section 502 of title 32, United States Code, it is hereby ordered as follows: Section 1. Policy. It is the policy of the United States to take measures to assist State Governors in their responses to all threats and hazards to the American people in their respective States and territories. Considering the profound and unique public health risks posed by the ongoing outbreak of COVID–19, the disease caused by the novel (new) coronavirus known as SARS–CoV–2 (‘‘the virus’’), the need for close cooperation and mutual assistance between the Federal Government and the States is greater than at any time in recent history. In recognizing this serious public health risk, I noted that on March 11, 2020, the World Health Organization an- nounced that the COVID–19 outbreak can be characterized as a pandemic. On March 13, 2020, I declared a national emergency recognizing the threat that SARS–CoV–2 poses to the Nation’s healthcare systems. I also determined that same day that the COVID–19 outbreak constituted an emergency, of nationwide scope, pursuant to section 501(b) of the Stafford Act (42 U.S.C. 5191(b)). All States have activated their Emergency Operations Centers and are working to fight the spread of the virus and attend to those who have symptoms or who are already infected with COVID–19. To provide maximum support to the Governors of the States of Florida, Louisiana, Maryland, Massachusetts, and New Jersey and the territories of Guam and Puerto Rico as they make decisions about the responses required to address local conditions in each of their respective States and as they request Federal support under the Stafford Act, I am taking the actions set forth in sections 2 and 3 of this memorandum: Sec. 2. One Hundred Percent Federal Cost Share. To maximize assistance to the Governors of the States of Florida, Louisiana, Maryland, Massachusetts, and New Jersey and the territories of Guam and Puerto Rico to facilitate Federal support with respect to the use of National Guard units under State control, I am directing the Federal Emergency Management Agency (FEMA) of the Department of Homeland Security to fund 100 percent of the emergency assistance activities associated with preventing, mitigating, and responding to the threat to public health and safety posed by the virus that these States and territories undertake using their National Guard forces, as authorized by sections 403 (42 U.S.C. 5170b) and 503 (42 U.S.C. 5193) of the Stafford Act. Sec. 3. Support of Operations or Missions to Prevent and Respond to the Spread of COVID–19. I am directing the Secretary of Defense, to the maximum extent feasible and consistent with mission requirements (including geo- graphic proximity), to request pursuant to 32 U.S.C. 502(f) that the Governors of the States of Florida, Louisiana, Maryland, and New Jersey and the territories of Guam and Puerto Rico order National Guard forces to perform duty to fulfill mission assignments, on a fully reimbursable basis, that FEMA

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issues to the Department of Defense for the purpose of supporting their respective State, territorial, and local emergency assistance efforts under the Stafford Act. Sec. 4. Termination. The 100 percent Federal cost share provided for in this memorandum and in my memorandum dated March 22, 2020 (Providing Federal Support for Governors’ Use of the National Guard to Respond to COVID–19), shall terminate 30 days from the date of this memorandum. Sec. 5. General Provisions. (a) Nothing in this memorandum shall be con- strued to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This memorandum shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This memorandum is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. (d) The Secretary of Defense is authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, March 28, 2020

[FR Doc. 2020–06987 Filed 3–31–20; 11:15 am] Billing code 5001–06–P

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Memorandum of March 30, 2020 Providing Federal Support for Governors’ Use of the Na- tional Guard To Respond to COVID–19

Memorandum for the Secretary of Defense [and] the Secretary of Home- land Security

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121–5207 (the ‘‘Stafford Act’’), and section 502 of title 32, United States Code, it is hereby ordered as follows: Section 1. Purpose. It is the policy of the United States to take measures to assist State Governors under the Stafford Act in their responses to all threats and hazards to the American people in their respective States and territories. Considering the profound and unique public health risks posed by the ongoing outbreak of COVID–19, the disease caused by the novel (new) coronavirus known as SARS–CoV–2 (‘‘the virus’’), the need for close cooperation and mutual assistance between the Federal Government and the States is greater than at any time in recent history. In recognizing this serious public health risk, I noted that on March 11, 2020, the World Health Organization announced that the COVID–19 outbreak can be character- ized as a pandemic. On March 13, 2020, I declared a national emergency recognizing the threat that SARS–CoV–2 poses to the Nation’s healthcare systems. I also determined that same day that the COVID–19 outbreak con- stituted an emergency, of nationwide scope, pursuant to section 501(b) of the Stafford Act (42 U.S.C. 5191(b)). All States have activated their Emergency Operations Centers and are working to fight the spread of the virus and attend to those who have symptoms or who are already infected with COVID– 19. To provide maximum support to the Governors of the States of Con- necticut, Illinois, and Michigan as they make decisions about the responses required to address local conditions in each of their respective States and as they request Federal support under the Stafford Act, I am taking the actions set forth in sections 2 and 3 of this memorandum: Sec. 2. One Hundred Percent Federal Cost Share. To maximize assistance to the Governors of the States of Connecticut, Illinois, and Michigan to facilitate Federal support with respect to the use of National Guard units under State control, I am directing the Federal Emergency Management Agency (FEMA) of the Department of Homeland Security to fund 100 percent of the emergency assistance activities associated with preventing, mitigating, and responding to the threat to public health and safety posed by the virus that these States undertake using their National Guard forces, as author- ized by sections 403 (42 U.S.C. 5170b) and 503 (42 U.S.C. 5193) of the Stafford Act. Sec. 3. Support of Operations or Missions to Prevent and Respond to the Spread of COVID–19. I am directing the Secretary of Defense, to the maximum extent feasible and consistent with mission requirements (including geo- graphic proximity), to request pursuant to 32 U.S.C. 502(f) that the Governors of the States of Connecticut, Illinois, Massachusetts, and Michigan order National Guard forces to perform duty to fulfill mission assignments, on a fully reimbursable basis, that FEMA issues to the Department of Defense for the purpose of supporting their respective State and local emergency assistance efforts under the Stafford Act.

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Sec. 4. Termination. The 100 percent Federal cost share provided for in this memorandum shall terminate 30 days from the date of this memorandum. Sec. 5. General Provisions. (a) Nothing in this memorandum shall be con- strued to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This memorandum shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This memorandum is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. (d) The Secretary of Defense is authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, March 30, 2020

[FR Doc. 2020–06989 Filed 3–31–20; 11:15 am] Billing code 5001–06–P

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TABLE OF EFFECTIVE DATES AND TIME PERIODS—APRIL 2020

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DATE OF FR 15 DAYS AFTER 21 DAYS AFTER 30 DAYS AFTER 35 DAYS AFTER 45 DAYS AFTER 60 DAYS AFTER 90 DAYS AFTER PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION PUBLICATION

April 1 Apr 16 Apr 22 May 1 May 6 May 18 Jun 1 Jun 30

April 2 Apr 17 Apr 23 May 4 May 7 May 18 Jun 1 Jul 1

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April 10 Apr 27 May 1 May 11 May 15 May 26 Jun 9 Jul 9

April 13 Apr 28 May 4 May 13 May 18 May 28 Jun 12 Jul 13

April 14 Apr 29 May 5 May 14 May 19 May 29 Jun 15 Jul 13

April 15 Apr 30 May 6 May 15 May 20 Jun 1 Jun 15 Jul 14

April 16 May 1 May 7 May 18 May 21 Jun 1 Jun 15 Jul 15

April 17 May 4 May 8 May 18 May 22 Jun 1 Jun 16 Jul 16

April 20 May 5 May 11 May 20 May 26 Jun 4 Jun 19 Jul 20

April 21 May 6 May 12 May 21 May 26 Jun 5 Jun 22 Jul 20

April 22 May 7 May 13 May 22 May 27 Jun 8 Jun 22 Jul 21

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