FEDERAL REGISTER
Vol. 86 Thursday No. 101 May 27, 2021
Pages 28469–28686
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 86, No. 101
Thursday, May 27, 2021
Agency for Healthcare Research and Quality Science and Technology Reinvention Laboratory Personnel NOTICES Demonstration Project, 28583–28585 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 28600–28601 Economic Development Administration Meetings: NOTICES Improving Nonsurgical Treatment of Urinary Agency Information Collection Activities; Proposals, Incontinence among Women in Primary Care: Submissions, and Approvals: Dissemination and Implementation of Patient- Application Materials for Investment Assistance, 28538– Centered Outcomes Research Evidence, 28599–28600 28540 Supplemental Evidence and Data Request: Evaluation of Mental Health Applications, 28601–28602 Education Department NOTICES Agriculture Department Applications for New Awards: See Forest Service Native American-Serving Nontribal Institutions Program, See Rural Business-Cooperative Service 28587–28592 See Rural Housing Service See Rural Utilities Service Energy Department NOTICES See Federal Energy Regulatory Commission Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 28525–28526 Energy Conservation Program: Standards and Test Procedures for Ceiling Fans, 28469– Army Department 28473 NOTICES Agency Information Collection Activities; Proposals, Environmental Protection Agency Submissions, and Approvals, 28582 RULES Air Quality State Implementation Plans; Approvals and Census Bureau Promulgations: NOTICES Pennsylvania; 1997 8-Hour Ozone National Ambient Air Agency Information Collection Activities; Proposals, Quality Standard Second Maintenance Plan for the Submissions, and Approvals: Youngstown-Warren-Sharon Area, 28496–28499 Current Population Survey, Basic Demographics, 28537 Texas; Revisions to the Texas Diesel Emissions Reduction Coast Guard Incentive Program, 28494–28496 Utah; Source Category Exemptions, 28493–28494 RULES PROPOSED RULES Safety Zone: Air Quality State Implementation Plans; Approvals and Lake of the Ozarks, Mile Marker 1 approximately 500 feet Promulgations: of the Bagnell Dam, Lake of the Ozarks, MO, 28489– South Carolina; Updates to Ambient Air Quality 28491 Standards, 28519–28520 Safety Zones: NOTICES Toledo Country Club Fireworks, Maumee River, Toledo, Agency Information Collection Activities; Proposals, OH, 28491–28493 Submissions, and Approvals: PROPOSED RULES Clean Water Act Section 404 State-Assumed Programs, Special Local Regulation: 28596–28597 Back River, Baltimore County, MD, 28516–28519 National Emission Standards for Hazardous Air Commerce Department Pollutants for Beryllium Rocket Motor Fuel Firing, See Census Bureau 28597–28598 See Economic Development Administration National Emission Standards for Hazardous Air See Foreign-Trade Zones Board Pollutants for Pharmaceuticals Production, 28595– See Industry and Security Bureau 28596 See International Trade Administration See National Oceanic and Atmospheric Administration Equal Employment Opportunity Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 28598–28599 The Standardized Research Performance Progress Report, 28537–28538 Federal Aviation Administration RULES Defense Department Airspace Designations and Reporting Points: See Army Department Baker City, OR, 28486–28487 NOTICES Airworthiness Directives: Agency Information Collection Activities; Proposals, Airbus Helicopters Deutschland GmbH Helicopters, Submissions, and Approvals, 28585–28587 28476–28479
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ATR–GIE Avions de Transport Regional Airplanes, Procedures for Handling Post-Approval Studies Imposed 28481–28483 by Premarket Approval Application Order; Draft, Carson Helicopters, Inc.; Croman Corporation; Sikorsky 28630–28631 Aircraft Corporation; and Siller Helicopters, 28473– Tobacco Product User Fees, 28604–28605 28476 Termination of Unapproved Drugs Initiative; Request for De Havilland Aircraft of Canada Limited (Type Certificate Information Regarding Drugs Potentially Generally Previously Held by Bombardier, Inc.) Airplanes, Recognized as Safe and Effective; Withdrawal, 28605– 28479–28481 28608 The Boeing Company Airplanes, 28483–28486 PROPOSED RULES Foreign Assets Control Office Airworthiness Directives: MHI RJ Aviation ULC (Type Certificate Previously Held NOTICES by Bombardier, Inc.) Airplanes, 28501–28503 Blocking or Unblocking of Persons and Properties, 28681 NOTICES Meetings: Foreign-Trade Zones Board NextGen Advisory Committee, 28672–28673 NOTICES Proposed Production Activity: Federal Communications Commission AbbVie Ltd., Foreign-Trade Zone 7, Mayaguez, Puerto PROPOSED RULES Rico, 28540 Emission Limits for the 24.25–27.5 GHz Band, 28522–28523 Expanding Flexible Use of the 12.2–12.7 GHz Band, 28520– Forest Service 28522 Television Broadcasting Services: NOTICES Quincy, IL, 28523–28524 Environmental Impact Statements; Availability, etc.: Payette National Forest; Idaho; Withdrawal, 28526 Federal Energy Regulatory Commission NOTICES General Services Administration Combined Filings, 28592–28595 RULES Meetings: Acquisition Regulation: Climate Change, Extreme Weather, and Electric System Personal Identity Verification Requirements Clarification, Reliability; Technical Conference, 28595 28499–28500
Federal Railroad Administration Geological Survey NOTICES NOTICES Buy America Waiver: Agency Information Collection Activities; Proposals, California Department of Transportation (Caltrans) and Submissions, and Approvals: the Illinois Department of Transportation to Purchase Nonferrous Metals Surveys, 28640–28641 Up to 615 Workstation Tables, 28673–28675
Federal Reserve System Health and Human Services Department NOTICES See Agency for Healthcare Research and Quality Change in Bank Control: See Food and Drug Administration Acquisitions of Shares of a Bank or Bank Holding See Health Resources and Services Administration Company, 28599 See National Institutes of Health
Federal Transit Administration Health Resources and Services Administration NOTICES NOTICES Fiscal Year 2021 Competitive Funding Opportunity: Solicitation of Nominations: Public Transportation on Indian Reservations Program; Advisory Committee on Organ Transplantation, 28631– Tribal Transit Program, 28675–28681 28632 Advisory Council on Blood Stem Cell Transplantation, Fish and Wildlife Service 28632–28633 NOTICES Environmental Impact Statements; Availability, etc.: Tijuana Estuary Tidal Restoration Program II, Phase I, Homeland Security Department 28638–28640 See Coast Guard NOTICES Food and Drug Administration Agency Information Collection Activities; Proposals, Submissions, and Approvals: NOTICES Generic Clearance for the Collection of Qualitative Authorizations of Emergency Use of Certain Biological Feedback on Agency Service Delivery, 28637–28638 Products During the COVID–19 Pandemic; Availability, 28608–28627 Guidance: Industry and Security Bureau Documents Related to Coronavirus Disease 2019; NOTICES Availability, 28627–28630 Order: Postmarket Surveillance under the Federal Food, Drug, Renewing Order Temporarily Denying Export Privileges, and Cosmetic Act; Draft, 28602–28604 28540–28548
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Institute of Museum and Library Services National Institute of Allergy and Infectious Diseases, NOTICES 28633–28637 Agency Information Collection Activities; Proposals, Submissions, and Approvals: 2022–2024 IMLS Inspire! Grants for Small Museums National Oceanic and Atmospheric Administration Notice of Funding Opportunity, 28644–28645 NOTICES 2022–2024 IMLS Museum Grants for African American Agency Information Collection Activities; Proposals, History and Culture Program and IMLS Native Submissions, and Approvals: American/Native Hawaiian Museum Services West Coast Region Vessel Identification Requirements, Program Notices of Funding Opportunity, 28644 28576 2022–2024 IMLS Museums Empowered Notice of Draft Revised Management Plan for the Kachemak Bay Funding Opportunity, 28642–28643 National Estuarine Research Reserve, 28576–28577 2022–2024 IMLS National Leadership Grants for Endangered and Threatened Species: Museums and IMLS Museums for America Program Initiation of a 5-Year Review of the Sperm Whale, 28577– Notices of Funding Opportunity, 28643 28578 Takes of Marine Mammals Incidental to Specified Interior Department Activities: See Fish and Wildlife Service Chevron Richmond Refinery Long Wharf Maintenance See Geological Survey and Efficiency Project in San Francisco Bay, CA, 28578–28582 International Trade Administration NOTICES Antidumping or Countervailing Duty Investigations, Orders, Personnel Management Office or Reviews: NOTICES Certain Corrosion-Resistant Steel Products from Taiwan, Agency Information Collection Activities; Proposals, 28554–28556 Submissions, and Approvals: Certain Softwood Lumber Products from Canada, 28551– Organizational Surveys, 28645–28646 28554, 28556–28559 Corrosion-Resistant Steel Products from the Republic of Rural Business-Cooperative Service Korea, 28571–28574 NOTICES Passenger Vehicle and Light Truck Tires from the Funds Availability for the Rural Placemaking Innovation Socialist Republic of Vietnam, 28566–28569 Challenge for Fiscal Year 2021, 28526–28537 Steel Concrete Reinforcing Bar from the Republic of Turkey, 28574–28575 Determination of Sales at Less Than Fair Value: Rural Housing Service Passenger Vehicle and Light Truck Tires from Taiwan, NOTICES 28563–28566 Funds Availability for the Rural Placemaking Innovation Passenger Vehicle and Light Truck Tires from Thailand, Challenge for Fiscal Year 2021, 28526–28537 28548–28551 Passenger Vehicle and Light Truck Tires from the Rural Utilities Service Republic of Korea, 28569–28571 NOTICES Passenger Vehicle and Light Truck Tires from the Funds Availability for the Rural Placemaking Innovation Socialist Republic of Vietnam, 28559–28563 Challenge for Fiscal Year 2021, 28526–28537 International Trade Commission NOTICES Securities and Exchange Commission Complaint: NOTICES Certain Power Inverters and Converters, Vehicles Self-Regulatory Organizations; Proposed Rule Changes: Containing the Same, and Components Thereof, Miami International Securities Exchange, LLC, 28665– 28641–28642 28667 MIAX Emerald, LLC, 28662–28665 Labor Department MIAX PEARL, LLC, 28667–28670 See Labor-Management Standards Office NYSE Arca, Inc., 28646–28662 Labor-Management Standards Office PROPOSED RULES Small Business Administration Rescission of Labor Organization Annual Financial Report NOTICES for Trusts in Which a Labor Organization is Interested, Major Disaster Declaration: Form T–1, 28505–28516 West Virginia, 28670–28671 National Foundation on the Arts and the Humanities See Institute of Museum and Library Services State Department PROPOSED RULES National Institutes of Health International Traffic in Arms Regulations: NOTICES Regular Employee, 28503–28505 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 28633–28634 Meetings: Meetings: United States Advisory Commission on Public Center for Scientific Review, 28635–28636 Diplomacy, 28671
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Surface Transportation Board Multiple Internal Revenue Service Information Collection NOTICES Requests, 28683–28684 Control Exemption: Monitoring Availability and Affordability of Auto OmniTRAX Holdings Combined, Inc., and HGS Railway Insurance; Assessing Potential Evolution of the Auto Holdings, Inc.; Savannah Industrial Transportation, Insurance Market, 28681–28683 LLC, 28671–28672 Veterans Affairs Department Tennessee Valley Authority NOTICES RULES Agency Information Collection Activities; Proposals, Promoting the Rule of Law Through Improved Agency Submissions, and Approvals: Guidance Regulations; Rescission, 28488–28489 Application for Automobile or Other Conveyance and Adaptive Equipment, 28685 Transportation Department See Federal Aviation Administration See Federal Railroad Administration Reader Aids See Federal Transit Administration Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Treasury Department of recently enacted public laws. See Foreign Assets Control Office To subscribe to the Federal Register Table of Contents NOTICES electronic mailing list, go to https://public.govdelivery.com/ Agency Information Collection Activities; Proposals, accounts/USGPOOFR/subscriber/new, enter your e-mail Submissions, and Approvals: address, then follow the instructions to join, leave, or Foreign Tax Redeterminations, 28684–28685 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.
10 CFR 430...... 28469 14 CFR 39 (5 documents) ...... 28473, 28476, 28479, 28481, 28483 71...... 28487 Proposed Rules: 39...... 28501 18 CFR 1301...... 28488 22 CFR Proposed Rules: 120...... 28503 29 CFR Proposed Rules: 403...... 28505 408...... 28505 33 CFR 165 (2 documents) ...... 28489, 28491 Proposed Rules: 100...... 28516 40 CFR 52 (3 documents) ...... 28493, 28494, 28496 Proposed Rules: 52...... 28519 47 CFR Proposed Rules: 2 (2 documents) ...... 28520, 28522 15...... 28520 25...... 28520 27...... 28520 30...... 28522 73...... 28523 101...... 28520 48 CFR 517...... 28499 552...... 28499
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Rules and Regulations Federal Register Vol. 86, No. 101
Thursday, May 27, 2021
This section of the FEDERAL REGISTER Telephone: (202) 586–2588. Email: Than Automobiles, which sets forth a contains regulatory documents having general [email protected]. variety of provisions designed to applicability and legal effect, most of which SUPPLEMENTARY INFORMATION: DOE improve energy efficiency. These are keyed to and codified in the Code of maintains a previously approved products include ceiling fans, the Federal Regulations, which is published under subject of this document. (42 U.S.C. 50 titles pursuant to 44 U.S.C. 1510. incorporation by reference and incorporates by reference the following 6291(49), 42 U.S.C. 6293(b)(16)(A)(i) The Code of Federal Regulations is sold by industry standard into 10 CFR part 430: and (B), and 42 U.S.C. 6295(ff)) the Superintendent of Documents. Air Movement and Control On January 19, 2017, DOE published Association International, Inc. a final rule amending the energy (‘‘AMCA’’) ANSI/AMCA Standard 208– conservation standards for ceiling fans. DEPARTMENT OF ENERGY 18, (‘‘AMCA 208–18’’), ‘‘Calculation of 82 FR 6826 (‘‘January 2017 Final Rule’’). the Fan Energy Index,’’ ANSI approved Compliance with the amended 10 CFR Part 430 January 24, 2018. standards was required beginning Copies of AMCA 208–18 may be January 21, 2020.3 The current energy [EERE–2013–BT–TP–0050] purchased from AMCA International at conservation standards for ceiling fans are located in title 10 of the Code of RIN 1904–AD88 30 W University Drive, Arlington Heights, IL 60004, or by going to Federal Regulations (‘‘CFR’’) section Energy Conservation Program: Energy www.amca.org. 430.32(s), and specify the statutorily- Conservation Standards and Test See section V.M of this document for prescribed design standards (see 42 Procedures for Ceiling Fans further discussion of this standard. U.S.C. 6295(ff)(1)(A)) and the minimum efficiency standards established in the AGENCY: Office of Energy Efficiency and Table of Contents January 2017 Final Rule. The minimum Renewable Energy, Department of I. Authority and Background efficiency standards established in the Energy. II. Amendments To Codify the Act in the CFR CFR are prescribed in terms of cubic feet ACTION: Final rule; technical III. Conforming Amendments to the Ceiling per minute (‘‘CFM’’) per watt (‘‘CFM/ amendments. Fan Test Procedure W’’). 10 CFR 430.32(s)(2). The currently- IV. Final Action applicable DOE test procedures for V. Procedural Issues and Regulatory Review SUMMARY: The U.S. Department of ceiling fans are established at 10 CFR A. Review Under Executive Order 12866 Energy (‘‘DOE’’) is publishing this final B. Review Under the Regulatory Flexibility part 430, subpart B, appendix U, rule to amend the current regulations for Act Uniform Test Method for Measuring the large-diameter ceiling fans. The contents C. Review Under the Paperwork Reduction Energy Consumption of Ceiling Fans of these technical amendments Act of 1995 (‘‘Appendix U’’). correspond with provisions enacted by D. Review Under the National Section 1008 of the Energy Act of Congress through the Energy Act of Environmental Policy Act of 1969 2020 (the ‘‘Act’’) amended section 2020. This final rule also implements E. Review Under Executive Order 13132 325(ff)(6) of EPCA to specify that large- conforming amendments to the ceiling F. Review Under Executive Order 12988 diameter ceiling fans manufactured on fan test procedure to ensure consistency G. Review Under the Unfunded Mandates or after January 21, 2020, are not Reform Act of 1995 required to meet minimum ceiling fan with the Energy Act of 2020. H. Review Under the Treasury and General DATES: The effective date of this rule is Government Appropriations Act, 1999 efficiency requirements in terms of the May 27, 2021. The incorporation by I. Review Under Executive Order 12630 total airflow to the total power reference of certain publications listed J. Review Under Treasury and General consumption, CFM/W, as established in in the rule is approved by the Director Government Appropriations Act, 2001 the January 2017 Final Rule, but instead of the Federal Register on May 27, 2021. K. Review Under Executive Order 13211 meet minimum efficiency requirements The incorporation by reference of a L. Review Under Section 32 of the Federal based on the Ceiling Fan Energy Index Energy Administration Act of 1974 (‘‘CFEI’’) metric. (42 U.S.C. certain other publication listed in this M. Description of Materials Incorporated rulemaking was approved by the 6295(ff)(6)(C)(i)(I), as codified) The Act by Reference requires large-diameter ceiling fans to Director of the Federal Register on N. Congressional Notification August 24, 2016. have a CFEI greater than or equal to 1.00 I. Authority and Background at high speed and 1.31 at 40 percent FOR FURTHER INFORMATION CONTACT: speed or the nearest speed that is not Mr. Jeremy Dommu, U.S. Department The Energy Policy and Conservation Act, as amended (‘‘EPCA’’),1 authorizes less than 40 percent speed. (42 U.S.C. of Energy, Office of Energy Efficiency 6295(ff)(6)(C)(i)(II), as codified) Further, and Renewable Energy, Building DOE to regulate the energy efficiency of a number of consumer products and the Act specifies that CFEI is to be Technologies Program, EE–2J, 1000 calculated in accordance with American Independence Avenue SW, Washington, certain industrial equipment. (42 U.S.C. 6291–6317) Title III, Part B 2 of EPCA National Standards Institute ANSI/Air DC 20585–0121. Telephone: (202) 586– Movement and Control Association 9870. Email: established the Energy Conservation Program for Consumer Products Other ApplianceStandardsQuestions@ 3 DOE published a confirmation of rulemaking ee.doe.gov. notice announcing the completion of a review of the Ms. Amelia Whiting, U.S. Department 1 All references to EPCA in this document refer final rule amending energy conservation standards to the statute as amended through the Energy Act of Energy, Office of the General Counsel, for ceiling fans published on January 19, 2017 and of 2020, Public Law 116–260 (Dec. 27, 2020). confirming that compliance date of that final rule GC–33, 1000 Independence Avenue SW, 2 For editorial reasons, upon codification in the remained January 21, 2020. 82 FR 23723 (May 24, Washington, DC 20585–0121. U.S. Code, Part B was redesignated Part A. 2017).
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International, Inc., AMCA Standard ANSI/AMCA Standard 230–15 (‘‘AMCA ceiling fans. For the same reasons, DOE 208–18, ‘‘Calculation of Fan Energy 230–15’’), ‘‘Laboratory Methods of finds good cause pursuant to 5 U.S.C. Index,’’ with the following Testing Air Circulating Fans for Rating 553(d)(3) to waive the 30-day delay in modifications: (I) Using an Airflow and Certification,’’ (incorporated by effective date for this rule. Constant (Q ) of 26,500 cubic feet per reference in § 430.3(b)(3)) to determine 0 V. Procedural Issues and Regulatory minute; (II) Using a Pressure Constant airflow (in CFM) and power Review (P0) of 0.0027 inches water gauge; and consumption (in Watts), which are (III) Using a Fan Efficiency Constant (h0) inputs to the CFEI metric described in A. Review Under Executive Order 12866 of 42 percent. (42 U.S.C. AMCA 208–18. This final rule is not a ‘‘significant 6295(ff)(6)(C)(ii), as codified) Finally, However, because of the Act, regulatory action’’ under any of the section 1008(b) of the Act states that for Appendix U no longer needs to include criteria set out in section 3(f) of the purposes of the periodic review provisions to calculate a ceiling fan Executive Order 12866, ‘‘Regulatory requirements in section 325(m) of efficiency (CFM/W) of large-diameter Planning and Review.’’ 58 FR 51735 EPCA, the standard established in the ceiling fans and provisions related to (October 4, 1993). Accordingly, this Act shall be treated as if such standard testing large-diameter ceiling fans at action was not subject to review by the was issued on January 19, 2017. This speeds other than high speed and 40 final rule codifies those provisions of percent speed (or the nearest speed that Office of Information and Regulatory the Act related to large-diameter ceiling is not less than 40 percent speed). Affairs (OIRA) in the Office of fans. Accordingly, these conforming Management and Budget (OMB). amendments: (1) Remove the definitions II. Amendments To Codify the Act in B. Review Under the Regulatory of ‘‘20% speed,’’ ‘‘60% speed,’’ and Flexibility Act the CFR ‘‘80% speed’’ from section 1 In this final rule, DOE is amending 10 (Definitions); (2) amend section 3.5(1) to The Regulatory Flexibility Act (5 CFR 430.3, 10 CFR 430.32, and refer to testing large-diameter ceiling U.S.C. 601 et seq.) requires preparation Appendix U to codify the Act. Section fans only at high speed and at 40 of a final regulatory flexibility analysis 430.3 lists the procedures and percent speed (or the nearest speed that (FRFA) for any final rule where the documents that are incorporated by is not less than 40 percent speed) and agency was first required by law to reference for use in DOE standards and remove Table 2 (Speeds To Be Tested publish a proposed rule for public test procedures. DOE is amending this for Large-Diameter Ceiling Fans) from comment, unless the agency certifies section by adding a reference to ANSI/ that section; (3) amend section 3.5(2) to that the rule, if promulgated, will not AMCA 208–18. remove any requirements for speeds have a significant economic impact on Section 430.32(s)(2) specifies the besides 40 percent speed and update the a substantial number of small entities. minimum efficiency requirements for example to reference average measured As required by Executive Order 13272, ceiling fans, including large-diameter RPM with respect to 40 percent speed; ‘‘Proper Consideration of Small Entities ceiling fans. DOE is amending this (4) amend the title for section 4 in Agency Rulemaking,’’ 67 FR 53461 section by removing the minimum (Calculation of Ceiling Fan Efficiency (August 16, 2002), DOE published efficiency requirements (in terms of From the Test Results) to specify that procedures and policies on February 19, CFM/W) for large-diameter ceiling fans the section only applies to high-speed 2003 to ensure that the potential in § 430.32(s)(2)(i). DOE is further small diameter and low-speed small impacts of its rules on small entities are amending this section by redesignating diameter ceiling fans; (5) remove the properly considered during the DOE § 430.32(s)(2)(ii) as § 430.32(s)(2)(iii) reference to large-diameter ceiling fans rulemaking process. 68 FR 7990. DOE and adding a new § 430.32(s)(2)(ii) that in section 4(3); and (6) remove the has made its procedures and policies specifies the new CFEI energy operating hours corresponding to large- available on the Office of the General conservation standard for large-diameter diameter ceiling fans in Table 3 (Daily Counsel’s website: https://energy.gov/ ceiling fans as prescribed by the Act. Operating Hours for Calculating Ceiling gc/office-general-counsel. DOE is Appendix U provides the uniform test Fan Efficiency), as well as the revising the Code of Federal Regulations method for measuring the energy corresponding table note. to incorporate, revised requirements for consumption of ceiling fans. DOE is large-diameter ceiling fans prescribed by IV. Final Action amending Appendix U by adding a new Public Law 116–260, and conforming section 5 entitled ‘‘Calculation of DOE has determined, pursuant to 5 amendments. Because this is a technical Ceiling Fan Energy Index (CFEI) From U.S.C. 553(b)(B), that prior notice and amendment for which a general notice the Test Results for Large-Diameter an opportunity for public comment on of proposed rulemaking is not required, Ceiling Fans,’’ which specifies the this final rule are unnecessary. Given the analytical requirements of the method for calculating CFEI as the applicable statutory requirement Regulatory Flexibility Act do not apply prescribed by the Act, i.e., according to enacted by Congress to require large- to this rulemaking. AMCA 208–18, with the assumed values diameter ceiling fans to comply with energy conservation standards based on C. Review Under the Paperwork for airflow constant, pressure constant, Reduction Act of 1995 and fan efficiency constant. CFEI (rather than CFM/W), and the absence of any benefit in providing Manufacturers of ceiling fans must III. Conforming Amendments to the comment given that the rule certify to DOE that their products Ceiling Fan Test Procedure incorporates the specific requirements comply with any applicable energy Consistent with the codification of the established by the Energy Act of 2020 conservation standards. To certify ceiling fan provisions of the Act, DOE and conforming amendments, DOE compliance, manufacturers must first is also implementing conforming finds that good cause exists to waive obtain test data for their products amendments in Appendix U to remove prior notice and an opportunity for according to the DOE test procedures, obsolete and conflicting provisions and public comment on the actions including any amendments adopted for to revise potentially confusing language. presented in this document to those test procedures. DOE has For large-diameter ceiling fans, implement the provisions of the Energy established regulations for the Appendix U continues to reference Act of 2020 relevant to large-diameter certification and recordkeeping
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requirements for all covered consumer have Federalism implications. On each Federal agency to assess the effects products and commercial equipment, March 14, 2000, DOE published a of Federal regulatory actions on State, including ceiling fans. (See generally 10 statement of policy describing the local, and Tribal governments and the CFR part 429.) The collection-of- intergovernmental consultation process private sector. Public Law 104–4, sec. information requirement for the it will follow in the development of 201 (codified at 2 U.S.C. 1531). For a certification and recordkeeping is such regulations. 65 FR 13735. DOE regulatory action resulting in a rule that subject to review and approval by OMB examined this final rule and determined may cause the expenditure by State, under the Paperwork Reduction Act that it will not have a substantial direct local, and Tribal governments, in the (PRA). This requirement has been effect on the States, on the relationship aggregate, or by the private sector of approved by OMB under OMB control between the national government and $100 million or more in any one year number 1910–1400. Public reporting the States, or on the distribution of (adjusted annually for inflation), section burden for the certification is estimated power and responsibilities among the 202 of UMRA requires a Federal agency to average 35 hours per response, various levels of government. EPCA to publish a written statement that including the time for reviewing governs and prescribes Federal estimates the resulting costs, benefits, instructions, searching existing data preemption of State regulations as to and other effects on the national sources, gathering and maintaining the energy conservation for the products economy. (2 U.S.C. 1532(a), (b)) The data needed, and completing and that are the subject of this final rule. UMRA also requires a Federal agency to reviewing the collection of information. States can petition DOE for exemption develop an effective process to permit Notwithstanding any other provision from such preemption to the extent, and timely input by elected officers of State, of the law, no person is required to based on criteria, set forth in EPCA. (42 local, and Tribal governments on a respond to, nor shall any person be U.S.C. 6297(d)) No further action is proposed ‘‘significant intergovernmental subject to a penalty for failure to comply required by Executive Order 13132. mandate,’’ and requires an agency plan with, a collection of information subject for giving notice and opportunity for to the requirements of the PRA, unless F. Review Under Executive Order 12988 timely input to potentially affected that collection of information displays a Regarding the review of existing small governments before establishing currently valid OMB Control Number. regulations and the promulgation of new regulations, section 3(a) of any requirements that might D. Review Under the National Executive Order 12988, ‘‘Civil Justice significantly or uniquely affect small Environmental Policy Act of 1969 Reform,’’ 61 FR 4729 (Feb. 7, 1996), governments. On March 18, 1997, DOE Pursuant to the National imposes on Federal agencies the general published a statement of policy on its Environmental Policy Act (‘‘NEPA’’) of duty to adhere to the following process for intergovernmental 1969, DOE has analyzed this proposed requirements: (1) Eliminate drafting consultation under UMRA. 62 FR action in accordance with NEPA and errors and ambiguity; (2) write 12820; also available at https:// DOE’s NEPA implementing regulations regulations to minimize litigation; (3) energy.gov/gc/office-general-counsel. (10 CFR part 1021). DOE has determined provide a clear legal standard for DOE examined this final rule according that this rule qualifies for categorical affected conduct rather than a general to UMRA and its statement of policy exclusion under 10 CFR part 1021, standard; and (4) promote simplification and determined that the rule contains subpart D, Appendix A5 because it is an and burden reduction. Section 3(b) of neither an intergovernmental mandate, interpretive rulemaking that does not Executive Order 12988 specifically nor a mandate that may result in the change the environmental effect of the requires that Executive agencies make expenditure of $100 million or more in rule and meets the requirements for every reasonable effort to ensure that the any year, so these requirements do not application of a categorical exclusion. regulation (1) clearly specifies the apply. See 10 CFR 1021.410. Therefore, DOE preemptive effect, if any; (2) clearly has determined that promulgation of specifies any effect on existing Federal H. Review Under the Treasury and this rule is not a major Federal action law or regulation; (3) provides a clear General Government Appropriations significantly affecting the quality of the legal standard for affected conduct Act, 1999 human environment within the meaning while promoting simplification and Section 654 of the Treasury and of NEPA, and does not require an burden reduction; (4) specifies the General Government Appropriations environmental assessment or retroactive effect, if any; (5) adequately Act, 1999 (Pub. L. 105–277) requires environmental impact statement. defines key terms; and (6) addresses Federal agencies to issue a Family other important issues affecting clarity E. Review Under Executive Order 13132 Policymaking Assessment for any rule and general draftsmanship under any that may affect family well-being. This Executive Order 13132, ‘‘Federalism,’’ guidelines issued by the Attorney 64 FR 43255 (August 4, 1999), imposes final rule will not have any impact on General. Section 3(c) of Executive Order the autonomy or integrity of the family certain requirements on agencies 12988 requires Executive agencies to formulating and implementing policies as an institution. Accordingly, DOE has review regulations in light of applicable concluded that it is not necessary to or regulations that preempt State law or standards in sections 3(a) and 3(b) to that have Federalism implications. The prepare a Family Policymaking determine whether they are met or it is Assessment. Executive Order requires agencies to unreasonable to meet one or more of examine the constitutional and statutory them. DOE has completed the required I. Review Under Executive Order 12630 authority supporting any action that review and determined that, to the would limit the policymaking discretion extent permitted by law, this final rule DOE has determined, under Executive of the States and to carefully assess the meets the relevant standards of Order 12630, ‘‘Governmental Actions necessity for such actions. The Executive Order 12988. and Interference with Constitutionally Executive Order also requires agencies Protected Property Rights’’ 53 FR 8859 to have an accountable process to G. Review Under the Unfunded (March 18, 1988), that this regulation ensure meaningful and timely input by Mandates Reform Act of 1995 will not result in any takings that might State and local officials in the Title II of the Unfunded Mandates require compensation under the Fifth development of regulatory policies that Reform Act of 1995 (‘‘UMRA’’) requires Amendment to the U.S. Constitution.
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J. Review Under Treasury and General L. Review Under Section 32 of the List of Subjects in 10 CFR Part 430 Government Appropriations Act, 2001 Federal Energy Administration Act of Administrative practice and 1974 Section 515 of the Treasury and procedure, Confidential business Under section 301 of the Department General Government Appropriations information, Energy conservation, of Energy Organization Act (Pub. L. 95– Household appliances, Imports, Act, 2001 (44 U.S.C. 3516 note) provides 91; 42 U.S.C. 7101), DOE must comply Incorporation by reference, for agencies to review most with section 32 of the Federal Energy Intergovernmental relations, Reporting disseminations of information to the Administration Act of 1974, as amended and recordkeeping requirements, and public under guidelines established by by the Federal Energy Administration Small businesses. each agency pursuant to general Authorization Act of 1977. (15 U.S.C. guidelines issued by OMB. OMB’s 788; ‘‘FEAA’’) Section 32 essentially Signing Authority guidelines were published at 67 FR provides in relevant part that, where a This document of the Department of 8452 (Feb. 22, 2002), and DOE’s proposed rule authorizes or requires use Energy was signed on May 18, 2021, by guidelines were published at 67 FR of commercial standards, the notice of Kelly Speakes-Backman, Principal 62446 (Oct. 7, 2002). Pursuant to OMB proposed rulemaking must inform the Deputy Assistant Secretary and Acting Memorandum M–19–15, Improving public of the use and background of Assistant Secretary for Energy Efficiency Implementation of the Information such standards. In addition, section and Renewable Energy, pursuant to Quality Act (April 24, 2019), DOE 32(c) requires DOE to consult with the delegated authority from the Secretary published updated guidelines which are Attorney General and the Chairman of of Energy. That document with the available at https://www.energy.gov/ the Federal Trade Commission (‘‘FTC’’) original signature and date is sites/prod/files/2019/12/f70/ concerning the impact of the maintained by DOE. For administrative DOE%20Final%20Updated commercial or industry standards on purposes only, and in compliance with %20IQA%20Guidelines%20Dec competition. requirements of the Office of the Federal %202019.pdf. DOE has reviewed this In this final rule, DOE is codifying the Register, the undersigned DOE Federal final rule under the OMB and DOE statutory reference to ANSI/AMCA Register Liaison Officer has been guidelines and has concluded that it is Standard 208–18 as the test method for authorized to sign and submit the consistent with applicable policies in determining CFEI for large-diameter document in electronic format for those guidelines. fans. Because this is a technical publication, as an official document of amendment for which a general notice the Department of Energy. This K. Review Under Executive Order 13211 of proposed rulemaking is not required administrative process in no way alters and because DOE did not propose the Executive Order 13211, ‘‘Actions the legal effect of this document upon incorporation by reference, section 32 publication in the Federal Register. Concerning Regulations That do not apply to this rulemaking. Significantly Affect Energy Supply, Signed in Washington, DC, on May 19, Distribution, or Use,’’ 66 FR 28355 (May M. Description of Materials 2021. 22, 2001), requires Federal agencies to Incorporated by Reference Treena V. Garrett, prepare and submit to OMB, a In this final rule, DOE incorporates by Federal Register Liaison Officer, U.S. Statement of Energy Effects for any reference the test procedure published Department of Energy. significant energy action. A ‘‘significant by AMCA International, titled For the reasons stated in the energy action’’ is defined as any action ‘‘Calculation of the Fan Energy Index.’’ preamble, DOE amends part 430 of by an agency that promulgated or is Specifically, the test procedure codified chapter II of title 10, Code of Federal expected to lead to promulgation of a by this final rule references ANSI/ Regulations as set forth below: final rule, and that (1) is a significant AMCA Standard 208–18, (‘‘AMCA 208– regulatory action under Executive Order 18’’), ‘‘Calculation of the Fan Energy PART 430—ENERGY CONSERVATION 12866, or any successor order; and (2) Index,’’ approved 2018. The procedure PROGRAM FOR CONSUMER is likely to have a significant adverse defines the fan energy index (‘‘FEI’’), PRODUCTS effect on the supply, distribution, or use outlines the calculations necessary to ■ of energy; or (3) is designated by the obtain it, and discusses the test 1. The authority citation for part 430 Administrator of OIRA as a significant conditions and configurations it applies continues to read as follows: energy action. For any significant energy to. Copies of ANSI/AMCA 208–18 may Authority: 42 U.S.C. 6291–6309; 28 U.S.C. action, the agency must give a detailed be purchased from the AMCA 2461 note. statement of any adverse effects on International at 30 W University Drive, ■ 2. Section 430.3 is amended by: energy supply, distribution, or use if the Arlington Heights, IL 60004, or by going ■ a. Revising paragraph (a); regulation is implemented, and of to webstore.ansi.org. ■ b. Redesignating paragraphs (b)(2) and reasonable alternatives to the action and ANSI/AMCA 230–15 was previously (3) as (b)(3) and (4), respectively; and their expected benefits on energy approved for IBR in appendix U and the ■ c. Adding new paragraph (b)(2). supply, distribution, and use. reference continues unchanged. The revision and addition read as follows: This regulatory action is not a N. Congressional Notification significant regulatory action under As required by 5 U.S.C. 801, DOE will § 430.3 Materials incorporated by Executive Order 12866. Moreover, it report to Congress on the promulgation reference. would not have a significant adverse of this rule prior to its effective date. (a) Certain material is incorporated by effect on the supply, distribution, or use The report will state that it has been reference into this subpart with the of energy, nor has it been designated as determined that the rule is not a ‘‘major approval of the Director of the Federal a significant energy action by the rule’’ as defined by 5 U.S.C. 804(2). Register in accordance with 5 U.S.C. Administrator of OIRA. Therefore, it is 552(a) and 1 CFR part 51. To enforce not a significant energy action, and, Approval of the Office of the Secretary any edition other than that specified in accordingly, DOE has not prepared a The Secretary of Energy has approved this section, DOE must publish a Statement of Energy Effects. publication of this final rule. document in the Federal Register and
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the material must be available to the ceiling fan speed and repeat the test. Product class as Minimum public. All approved material is Calculate the airflow and measure the defined in Appendix U efficiency (CFM/W) 1 available for inspection at the U.S. active (real) power consumption in all Department of Energy, Office of Energy phases simultaneously in accordance Very small-diameter (VSD) ...... D ≤ 12 in.: 21. Efficiency and Renewable Energy, with the test requirements specified in D > 12 in.: 3.16 D–17.04. Building Technologies Program, Sixth sections 8 and 9, AMCA 230–15 Standard ...... 0.65 D + 38.03. Floor, 950 L’Enfant Plaza SW, (incorporated by reference, see § 430.3), Hugger ...... 0.29 D + 34.46. Washington, DC 20024, (202) 586–2945, with the following modifications: High-speed small-diameter 4.16 D + 0.02. https://www.energy.gov/eere/buildings/ * * * * * (HSSD). appliance-and-equipment-standards- 4. Calculation of Ceiling Fan 1 D is the ceiling fan’s blade span, in inches, as determined in Appendix U of this part. program, and may be obtained from the Efficiency From the Test Results for other sources in this section. It is also LSSD and HSSD ceiling fans: (ii) Large-diameter ceiling fans available for inspection at the National * * * * * manufactured on or after January 21, Archives and Records Administration 2020, shall have a CFEI greater than or (4) Table 3 of this appendix specifies (NARA). For information on the equal to— the daily hours of operation to be used availability of this material at NARA, (A) 1.00 at high speed; and in calculating ceiling fan efficiency: email: [email protected], or go to: (B) 1.31 at 40 percent speed or the www.archives.gov/federal-register/cfr/ nearest speed that is not less than 40 TABLE 3 TO APPENDIX U TO SUBPART ibr-locations.html. percent speed. B OF PART 430: DAILY OPERATING (b) * * * * * * * * HOURS FOR CALCULATING CEILING (2) ANSI/AMCA Standard 208–18, [FR Doc. 2021–10882 Filed 5–26–21; 8:45 am] (‘‘AMCA 208–18’’), Calculation of the FAN EFFICIENCY BILLING CODE 6450–01–P Fan Energy Index, ANSI approved With January 24, 2018, IBR approved for No standby standby appendix U to this subpart. DEPARTMENT OF TRANSPORTATION * * * * * Daily Operating Hours for LSSD Ceiling Fans ■ 3. Appendix U to subpart B of part High Speed ...... 3.4 3.4 Federal Aviation Administration 430 is amended by: Low Speed ...... 3.0 3.0 ■ a. Removing sections 1.1, 1.3, and 1.4; Standby Mode ...... 0.0 17.6 Off Mode ...... 17.6 0.0 14 CFR Part 39 ■ b. Redesignating section 1.2 as 1.1; ■ c. Redesignating sections 1.5 through Daily Operating Hours for HSSD Ceiling Fans [Docket No. FAA–2006–26107; Project 1.23 as 1.2 through 1.20, respectively; Identifier 2004–SW–30–AD; Amendment 39– ■ High Speed ...... 12.0 12.0 21549; AD 2021–10–16] d. Revising section 3.5; Standby Mode ...... 0.0 12.0 ■ e. Revising the heading for section 4; Off Mode ...... 12.0 0.0 RIN 2120–AA64 ■ f. Removing the parenthetical ‘‘(for all tested settings for large-diameter ceiling * * * * * Airworthiness Directives; Carson fans)’’ in section 4.(3); 5. Calculation of Ceiling Fan Energy Helicopters, Inc.; Croman Corporation; ■ g. Revising section 4.(4); and Index (CFEI) From the Test Results for Sikorsky Aircraft Corporation; and ■ h. Adding section 5. Large-Diameter Ceiling Fans: Siller Helicopters The revisions and addition read as Calculate CFEI, which is the FEI for follows: AGENCY: Federal Aviation large-diameter ceiling fans, at the speeds Administration (FAA), DOT. Appendix U to Subpart B of Part 430— specified in section 3.5 of this appendix ACTION: Final rule. Uniform Test Method for Measuring the according to ANSI/AMCA 208–18, Energy Consumption of Ceiling Fans (incorporated by reference, see § 430.3), SUMMARY: The FAA is adopting a new with the following modifications: * * * * * airworthiness directive (AD) for all 3.5 Active mode test measurement (1) Using an Airflow Constant (Q0) of Carson Helicopters, Inc., Model S–61L for large-diameter ceiling fans: 26,500 cubic feet per minute; and SH–3H helicopters; Croman (1) Test large-diameter ceiling fans in (2) Using a Pressure Constant (P0) of Corporation Model SH–3H helicopters; accordance with ANSI/AMCA Standard 0.0027 inches water gauge; and Sikorsky Aircraft Corporation Model 208–18 in all phases simultaneously at: (3) Using a Fan Efficiency Constant S–61A, S–61D, S–61E, and S–61V (a) High speed, and (h0) of 42 percent. helicopters; and Siller Helicopters Model CH–3E and SH–3A helicopters. (b) 40 percent speed or the nearest ■ 4. Section 430.32 is amended by: speed that is not less than 40 percent This AD was prompted by an accident. ■ a. Revising paragraph (s)(2)(i); speed. This AD requires tracking hours time-in- ■ (2) When testing at 40 percent speed b. Redesignating (s)(2)(ii) as (s)(2)(iii); service (TIS) and external lift cycles (lift for large-diameter ceiling fans that can and cycles) for certain main gearbox left and operate over an infinite number of ■ c. Adding new paragraph (s)(2)(ii). right input freewheel unit (IFWU) speeds (e.g., ceiling fans with VFDs), The revision and addition read as assemblies. This AD also requires ensure the average measured RPM is follows: determining the type of IFWU assembly within the greater of 1% of the average installed and depending on the results, § 430.32 Energy and water conservation calculating the moving average, RPM at high speed or 1 RPM. For standards and their compliance dates. example, if the average measured RPM repetitive inspections, recording certain at high speed is 50 RPM, for testing at * * * * * information, replacing parts, and 40% speed, the average measured RPM (s) * * * marking parts. The FAA is issuing this should be between 19 RPM and 21 RPM. (2)(i) Ceiling fans manufactured on or AD to address the unsafe condition on If the average measured RPM falls after January 21, 2020, shall meet the these products. outside of this tolerance, adjust the requirements shows in the table: DATES: This AD is effective July 1, 2021.
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The Director of the Federal Register engine shutdowns, and loss of engine Accordingly, the FAA is issuing this AD approved the incorporation by reference power to the transmissions. In the to address the unsafe condition on these of a certain publication listed in this AD NPRM, the FAA proposed to require products. Except for minor editorial as of July 1, 2021. creating a component history card or changes, this AD is adopted as proposed ADDRESSES: For service information equivalent record and recording the in the SNPRM. hours TIS and the lift cycles for each identified in this final rule, contact your Related Service Information Under 1 affected main gearbox left and right local Sikorsky Field Representative or CFR Part 51 Sikorsky’s Service Engineering Group at IFWU assembly. The NPRM also Sikorsky Aircraft Corporation, 124 proposed to require determining if the The FAA reviewed Sikorsky Aircraft Quarry Road, Trumbull, CT 06611; IFWU assembly is a repetitive external Corporation Alert Service Bulletin telephone 1–800-Winged-S; email wcs_ lift (REL) or non-REL IFWU assembly. 61B35–67B, Revision B, dated August [email protected]. The determination includes calculating 11, 2003. This service information Operators may also log on to the a moving average of lift cycles per hour specifies, among other actions, Sikorsky 360 website at https:// TIS at specified intervals on each IFWU procedures for inspections, which www.sikorsky360.com. You may view assembly. For REL IFWU assemblies, includes visual and dimensional this service information at the FAA, the NPRM proposed to require repetitive inspections, of the IFWU assembly for Office of the Regional Counsel, inspections, which include visual and wear, surface distress, and endplay, and Southwest Region, 10101 Hillwood dimensional inspections, of the IFWU for recording certain information. This Pkwy., Room 6N–321, Fort Worth, TX assembly for wear, surface distress, and service information is reasonably 76177. For information on the endplay, recording certain information, available because the interested parties availability of this material at the FAA, and replacing affected parts with an have access to it through their normal call (817) 222–5110. It is also available airworthy part. In addition, the NPRM course of business or by the means at https://www.regulations.gov by proposed to require permanently identified in the ADDRESSES section. marking the REL IFWU camshafts and searching for and locating Docket No. Other Related Service Information FAA–2006–26107. gear housings with the letters ‘‘REL’’ on the surface of these parts. The FAA also reviewed Sikorsky Examining the AD Docket The FAA issued a supplemental Aircraft Corporation All Operators You may examine the AD docket at notice of proposed rulemaking (SNPRM) Letter (AOL) CCS–61–AOL–04–0005, https://www.regulations.gov by to amend 14 CFR part 39 by adding an dated May 18, 2004. This service searching for and locating Docket No. AD that would apply to all Carson information provides an example and FAA–2006–26107; or in person at Helicopters, Inc., Model S–61L and additional information about tracking Docket Operations between 9 a.m. and SH–3H helicopters; Croman Corporation cycles and the moving average 5 p.m., Monday through Friday, except Model SH–3H helicopters; Sikorsky procedure. Federal holidays. The AD docket Aircraft Corporation Model S–61A, The FAA also reviewed Sikorsky contains this final rule, any comments S–61D, S–61E, and S–61V helicopters; Aircraft S–61L/N Overhaul Manual, received, and other information. The and Siller Helicopters Model CH–3E SA4045–83, Revision 20, dated August address for Docket Operations is U.S. and SH–3A helicopters. The SNPRM 15, 2003, as revised by Temporary Department of Transportation, Docket published in the Federal Register on Revisions 65–193, –194, –195, and –196, Operations, M–30, West Building March 15, 2021 (86 FR 14285). The which contains the overhaul procedures Ground Floor, Room W12–140, 1200 SNPRM was prompted by a for the IFWU assembly. New Jersey Avenue SE, Washington, DC determination that additional camshaft 20590. and gear housing part numbers need to Differences Between This AD and the Service Information FOR FURTHER INFORMATION CONTACT: be marked and the applicability and Isabel Saltzman, Aviation Safety certain compliance times need The effectivity of Sikorsky Aircraft Engineer, Boston ACO Branch, FAA, clarification. The SNPRM proposed to Corporation Alert Service Bulletin 1200 District Avenue, Burlington, MA require the same actions specified in the 61B35–67B, Revision B, dated August 01803; telephone 781–238–7649; email NPRM. The SNPRM also proposed to 11, 2003, includes Model S–61 L, N, [email protected]. mark additional camshaft and gear NM, and R helicopters. However, for SUPPLEMENTARY INFORMATION: housing part numbers. Additionally, the those helicopters, the unsafe condition SNPRM clarified the applicability and is addressed in AD 2007–01–05, Background certain compliance times. The FAA is Amendment 39–14876 (72 FR 1139, The FAA issued a notice of proposed issuing this AD to address the unsafe January 10, 2007). Therefore, those rulemaking (NPRM) to amend 14 CFR condition on these products. helicopters are not included in the part 39 by adding an AD that would Discussion of Final Airworthiness applicability of this AD. apply to all Sikorsky Aircraft Directive Sikorsky Aircraft Corporation Alert Corporation Model S–61 A, D, E, and V Service Bulletin 61B35–67B, Revision B, helicopters; Croman Corporation Model Comments dated August 11, 2003, specifies SH–3H helicopters, Carson Helicopters, The FAA received comments from contacting Sikorsky and providing Inc. Model S–61L helicopters; and Siller one commenter. The commenter was information to Sikorsky. This AD does Helicopters Model CH–3E and SH–3A Croman Corp. The commenter not require you to contact Sikorsky or helicopters. The NPRM published in the supported the SNPRM without change. provide information to Sikorsky. Federal Register on October 30, 2006 Costs of Compliance (71 FR 63272). The NPRM was Conclusion prompted by an accident in which the The FAA reviewed the relevant data, The FAA estimates that this AD left and right IFWU assembly on a considered the comments received, and affects 55 helicopters of U.S. registry. helicopter slipped or disengaged determined that air safety requires The FAA estimates the following costs resulting in both engines overspeeding, adopting the AD as proposed. to comply with this AD:
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ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Creating history card; determining type of IFWU assembly; Up to 8 work-hours × $85 per Up to $1,975 .. Up to $2,655 .. Up to $146,025. inspecting IFWU assemblies; recording information; re- hour = $680. placing parts; and marking certain parts.
Authority for This Rulemaking PART 39—AIRWORTHINESS (g) Creation of History Card or Equivalent DIRECTIVES and Daily Actions Title 49 of the United States Code Within 10 hours time-in-service (TIS) after specifies the FAA’s authority to issue ■ 1. The authority citation for part 39 the effective date of this AD, do the actions rules on aviation safety. Subtitle I, continues to read as follows: specified in paragraphs (g)(1) and (2) of this section 106, describes the authority of AD. Authority: 49 U.S.C. 106(g), 40113, 44701. the FAA Administrator. Subtitle VII: (1) Create an external lift component Aviation Programs, describes in more § 39.13 [Amended] history card or equivalent record for each detail the scope of the Agency’s IFWU assembly, part number (P/N) 61074– ■ 2. The FAA amends § 39.13 by adding authority. 35000–041 through 61074–35000–063 the following new airworthiness inclusive. The FAA is issuing this rulemaking directive: (2) Count and, at the end of each day’s under the authority described in operations, record the number of external lift Subtitle VII, Part A, Subpart III, Section 2021–10–16 Carson Helicopters, Inc.; cycles (lift cycles) performed and the hours 44701: General requirements. Under Croman Corporation; Sikorsky Aircraft TIS for each IFWU assembly, P/N 61074– Corporation; and Siller Helicopters: 35000–041 through 61074–35000–063 that section, Congress charges the FAA Amendment 39–21549; Docket No. with promoting safe flight of civil inclusive. A ‘‘lift cycle’’ is defined as the FAA–2006–26107; Project Identifier lifting of an external load and subsequent aircraft in air commerce by prescribing 2004–SW–30–AD. regulations for practices, methods, and release of the load. Record the lift cycles and (a) Effective Date hours TIS on the external lift component procedures the Administrator finds history card or equivalent record. necessary for safety in air commerce. This airworthiness directive (AD) is This regulation is within the scope of effective July 1, 2021. (h) Determination of IFWU Assembly Type and Calculations that authority because it addresses an (b) Affected ADs (1) Upon reaching 250 hours TIS after the unsafe condition that is likely to exist or None. develop on products identified in this effective date of this AD on each IFWU rulemaking action. (c) Applicability assembly, P/N 61074–35000–041 through This AD applies to all helicopters 61074–35000–063 inclusive, determine Regulatory Findings identified in paragraphs (c)(1) through (6) of whether the IFWU assembly is a repetitive external lift (REL) or non-REL IFWU This AD will not have federalism this AD, certificated in any category including restricted. assembly by using a 250-hour TIS moving implications under Executive Order (1) Carson Helicopters, Inc., Model S–61L average. To perform the calculation, divide 13132. This AD will not have a helicopters. the total number of lift cycles performed substantial direct effect on the States, on (2) Carson Helicopters, Inc., Model SH–3H during the first 250 hours TIS by 250. The the relationship between the national helicopters. result will be the first moving average government and the States, or on the (3) Croman Corporation Model SH–3H calculation of lift cycles per hour TIS. distribution of power and helicopters. (i) If the calculation specified in paragraph (4) Sikorsky Aircraft Corporation Model (h)(1) of this AD results in more than 6 lift responsibilities among the various cycles per hour TIS, the IFWU assembly is levels of government. S–61A, S–61D, S–61E, and S–61V helicopters. an REL IFWU assembly. For the reasons discussed above, I (5) Siller Helicopters Model CH–3E (ii) If the calculation specified in paragraph certify that this AD: helicopters. (h)(1) of this AD results in 6 or less lift cycles (1) Is not a ‘‘significant regulatory (6) Siller Helicopters Model SH–3A per hour TIS, the IFWU assembly is a Non- action’’ under Executive Order 12866, helicopters. REL IFWU assembly. (2) For each IFWU assembly determined to (2) Will not affect intrastate aviation (d) Subject be a Non-REL IFWU assembly based on the in Alaska, and Joint Aircraft System Component (JASC) first calculation of the 250-hour TIS moving (3) Will not have a significant Code 6310, Engine/Transmission Coupling. average for lift cycles specified in paragraph (h)(1) of this AD: Within 50 hours TIS after economic impact, positive or negative, (e) Unsafe Condition on a substantial number of small entities the determination, and thereafter at intervals of 50 hours TIS, recalculate the average lift under the criteria of the Regulatory This AD was prompted by an accident in which the left and right input freewheel unit cycles per hour TIS to determine whether the Flexibility Act. (IFWU) assembly on a helicopter slipped or IFWU assembly is an REL or non-REL IFWU List of Subjects in 14 CFR Part 39 disengaged, resulting in both engines assembly. To perform the calculation, overspeeding, engine shutdowns, and loss of subtract the total number of lift cycles Air transportation, Aircraft, Aviation engine power to the transmissions. The FAA performed during the first 50-hour TIS safety, Incorporation by reference, is issuing this AD to address slipping of the interval used in the previous moving average Safety. main gearbox IFWU assembly, loss of engine calculation from the total number of lift power, and subsequent loss of control of the cycles performed on the IFWU assembly The Amendment helicopter. during the previous 300 hours TIS. Divide this result by 250. The result will be the next Accordingly, under the authority (f) Compliance or subsequent moving average calculation of delegated to me by the Administrator, Comply with this AD within the lift cycles per hour TIS. the FAA amends 14 CFR part 39 as compliance times specified, unless already (i) If any calculation specified in paragraph follows: done. (h)(2) of this AD results in more than 6 lift
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cycles per hour TIS, the IFWU assembly is Note 3 to paragraph (i)(2): Sikorsky 06611; telephone 1–800-Winged-S; email an REL IFWU assembly. Aircraft S–61L/N Overhaul Manual, SA4045– [email protected]. (ii) If any calculation specified in 83, Revision 20, dated August 15, 2003, as Operators may also log on to the Sikorsky paragraph (h)(2) of this AD results in 6 or less revised by Temporary Revisions 65–193, 360 website at https://www.sikorsky360.com. lift cycles per hour TIS, the IFWU assembly –194, –195, and –196, contains the overhaul (4) You may view this service information is a Non-REL IFWU assembly. procedures for the IFWU assembly. at the FAA, Office of the Regional Counsel, Note 1 to paragraph (h)(2): Sikorsky Southwest Region, 10101 Hillwood Pkwy., Aircraft Corporation All Operators Letter (j) Part Marking Room 6N–321, Fort Worth, TX 76177. For (AOL) CCS–61–AOL–04–0005, dated May 18, For each REL IFWU assembly, as information on the availability of this 2004, provides an example and additional determined by paragraph (h)(1) or (2) of this material at the FAA, call 817–222–5110. information about tracking cycles and the AD: Before further flight after the assembly (5) You may view this service information moving average procedure. was determined to be an REL IFWU that is incorporated by reference at the Note 2 to paragraph (h)(2): The following assembly, permanently mark IFWU National Archives and Records is a sample calculation for subsequent 50 camshafts, P/N 61350–24052, 61350–24072, Administration (NARA). For information on hour TIS intervals. Assume the total number S6135–20611, S6135–20614 and S6137– the availability of this material at NARA, of lift cycles for the first 50 hour TIS interval 23075, and IFWU gear housings, P/N 61350– email: [email protected], or go to: used in the previous moving average 24051, 61350–24068, S6135–20695, and https://www.archives.gov/federal-register/cfr/ calculation = 450 lift cycles and the total S6137–23057, with the letters ‘‘REL’’. Mark ibr-locations.html. number of lift cycles for the previous 300 the camshafts by applying etching ink on the Issued on May 4, 2021. surface of the part that is 0.5-inch square hours TIS = 2,700 lift cycles. The subsequent Gaetano A. Sciortino, moving average of lift cycles per hour TIS = with the depth of the letters not to exceed (2,700¥450) divided by 250 = 9 lift cycles 0.001 inch. Before further flight and after Deputy Director for Strategic Initiatives, per hour TIS. etching, neutralize the etched surface and oil Compliance & Airworthiness Division, Aircraft Certification Service. (3) Once an IFWU assembly is determined to prevent corrosion. [FR Doc. 2021–11081 Filed 5–26–21; 8:45 am] to be an REL IFWU assembly, it remains an (k) Alternative Methods of Compliance REL IFWU assembly for the rest of its service (AMOCs) BILLING CODE 4910–13–P life and is subject to the inspection for REL IFWU assemblies required by paragraph (i) of (1) The Manager, International Validation this AD. Branch, FAA, has the authority to approve DEPARTMENT OF TRANSPORTATION (4) Once an IFWU assembly is determined AMOCs for this AD, if requested using the to be an REL IFWU assembly, you no longer procedures found in 14 CFR 39.19. In Federal Aviation Administration need to perform the 250-hour TIS moving accordance with 14 CFR 39.19, send your request to your principal inspector or local average calculation required by paragraph 14 CFR Part 39 (h)(2) of this AD, but you must continue to Flight Standards District Office, as count and record the lift cycles as required appropriate. If sending information directly [Docket No. FAA–2020–1171; Product by paragraph (g)(2) of this AD. to the manager of the International Validation Identifier 2017–SW–124–AD; Amendment Branch, send it to the attention of the person 39–21548; AD 2021–10–15] (i) Repetitive Inspections of REL IFWU identified in paragraph (l)(1) of this AD. Assemblies and Replacement Information may be emailed to: 9-AVS-AIR- RIN 2120–AA64 For each REL IFWU assembly, as [email protected]. determined by paragraph (h)(1) or (2) of this (2) Before using any approved AMOC, Airworthiness Directives; Airbus AD: notify your appropriate principal inspector, Helicopters Deutschland GmbH (1) Within 500 hours TIS or 7,500 lift or lacking a principal inspector, the manager Helicopters cycles, whichever occurs first since the of the local flight standards district office/ assembly was determined to be a REL IFWU certificate holding district office. AGENCY: Federal Aviation Administration (FAA), DOT. assembly, and thereafter at intervals not to (l) Related Information exceed 500 hours TIS or 7,500 lift cycles, ACTION: Final rule. whichever occurs first, inspect for wear, (1) For more information about this AD, surface distress, and endplay by following contact Isabel Saltzman, Aviation Safety SUMMARY: The FAA is adopting a new paragraphs B.(1) through B.(6) of the Engineer, Boston ACO Branch, FAA, 1200 airworthiness directive (AD) for all Accomplishment Instructions of Sikorsky District Avenue, Burlington, MA 01803; Airbus Helicopters Deutschland GmbH telephone 781–238–7649; email Aircraft Corporation Alert Service Bulletin Model MBB–BK 117 C–2 and Model 61B35–67B, Revision B, dated August 11, [email protected]. 2003. Record all the information specified in (2) Service information identified in this MBB–BK 117 D–2 helicopters. This AD Figures 1 through 3 of the Sikorsky Aircraft AD that is not incorporated by reference is was prompted by a determination that a Corporation Alert Service Bulletin 61B35– available at the addresses specified in life limit for the adapter forward (FWD) 67B, Revision B, dated August 11, 2003. You paragraphs (m)(3) and (4) of this AD. of the outboard load system, repetitive may record this information on any suitable (m) Material Incorporated by Reference inspections of other components of that maintenance record, or you may use the system, and for certain helicopters, a Sikorsky evaluation forms provided in (1) The Director of the Federal Register modification of the outboard load approved the incorporation by reference Sikorsky Aircraft Corporation Alert Service system, are necessary to address the Bulletin 61B35–67B, Revision B, dated (IBR) of the service information listed in this August 11, 2003. This AD does not require paragraph under 5 U.S.C. 552(a) and 1 CFR unsafe condition. This AD requires a you to contact Sikorsky or provide part 51. modification of the outboard load information to Sikorsky. (2) You must use this service information system for certain helicopters, repetitive (2) If during any inspection required by as applicable to do the actions required by inspections of the outboard load system paragraph (i)(1) of this AD, any IFWU this AD, unless the AD specifies otherwise. and its components for any defect assembly part is found whose average wear, (i) Sikorsky Aircraft Corporation Alert (including cracking, damage, corrosion, wear marks, surface distress, or endplay Service Bulletin 61B35–67B, Revision B, and incorrect installation) and exceeds the limits specified in paragraphs dated August 11, 2003. applicable corrective actions, and B.(1) through B.(6) of the Accomplishment (ii) [Reserved] Instructions of Sikorsky Aircraft Corporation (3) For service information identified in implementation of a new life limit for Alert Service Bulletin 61B35–67B, Revision this AD, contact your local Sikorsky Field the FWD adapter, as specified in a B, dated August 11, 2003, before further Representative or Sikorsky’s Service European Aviation Safety Agency (now flight, replace the affected part with an Engineering Group at Sikorsky Aircraft European Union Aviation Safety airworthy IFWU assembly part. Corporation, 124 Quarry Road, Trumbull, CT Agency) (EASA) AD, which is
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incorporated by reference. The FAA is as the Mandatory Continuing Discussion of Final Airworthiness issuing this AD to address the unsafe Airworthiness Information, or the Directive condition on these products. MCAI), to correct an unsafe condition Comments DATES: This AD is effective July 1, 2021. for all Airbus Helicopters Deutschland The Director of the Federal Register GmbH Model MBB–BK 117 C–2 The FAA gave the public the approved the incorporation by reference helicopters, except the Model C–2e opportunity to participate in developing of a certain publication listed in this AD variant, and all Model MBB–BK 117 this final rule. The FAA received no as of July 1, 2021. D–2 helicopters. comments on the NPRM or on the EASA’s Model MBB–BK 117 C–2e ADDRESSES: For material incorporated determination of the cost to the public. variant helicopters are not a unique by reference (IBR) in this AD, contact model on the U.S. type certificate but Costs of Compliance Update the EASA, Konrad-Adenauer-Ufer 3, are considered a configuration of the 50668 Cologne, Germany; telephone +49 The NPRM had specified no definitive Model MBB–BK117 C–2. The U.S. type data was available for the costs of the 221 8999 000; email ADs@ certificate data sheet explains that the easa.europa.eu; internet modification and certain parts. The FAA FAA determined that the type design has received data on the costs of the www.easa.europa.eu. You may find this changes involved did not rise to the material on the EASA website at https:// modification and parts and has updated level that required an FAA amended the costs of compliance accordingly. ad.easa.europa.eu. You may view this type certificate. However, the FAA does material at the FAA, Office of the recognize that helicopters with these Conclusion Regional Counsel, Southwest Region, type design changes exist, therefore the 10101 Hillwood Pkwy., Room 6N–321, The FAA reviewed the relevant data designation Model MBB–BK117 C–2(e) and determined that air safety and the Fort Worth, TX 76177. For information is used, starting from Serial Number on the availability of this material at the public interest require adopting this 9601. The Model MBB–BK117 C–2(e) is final rule as proposed, except for minor FAA, call 817–222–5110. It is also a visual flight rules only configuration available in the AD docket on the editorial changes and a change to of the Model MBB–BK117 C–2 utilizing paragraph (i)(1) of this AD. The FAA has internet at https://www.regulations.gov a Garmin 500H flight display system. by searching for and locating Docket No. determined that these minor changes: The FAA issued a notice of proposed • FAA–2020–1171. rulemaking (NPRM) to amend 14 CFR Are consistent with the intent that was proposed in the NPRM for Examining the AD Docket part 39 by adding an AD that would apply to all Airbus Helicopters addressing the unsafe condition; and • You may examine the AD docket on Deutschland GmbH Model MBB–BK 117 Do not add any additional burden the internet at https:// C–2 and Model MBB–BK 117 D–2 upon the public than was already www.regulations.gov by searching for helicopters, except the Model MBB– proposed in the NPRM. and locating Docket No. FAA–2020– BK117 C–2(e) configuration. The NPRM 1171; or in person at Docket Operations Related Service Information Under 1 published in the Federal Register on CFR Part 51 between 9 a.m. and 5 p.m., Monday March 11, 2021 (86 FR 13830). The through Friday, except Federal holidays. NPRM was prompted by a EASA AD 2017–0177 describes The AD docket contains this final rule, determination that a life limit for the procedures for modification of the any comments received, and other adapter FWD of the outboard load outboard load system for certain Model information. The address for Docket system, repetitive inspections of other MBB–BK 117 C–2 helicopters, repetitive Operations is U.S. Department of components of that system, and for inspections of the outboard load system Transportation, Docket Operations, certain helicopters, a modification of the and its components for any defect M–30, West Building Ground Floor, outboard load system, are necessary to (including cracking, damage, corrosion, Room W12–140, 1200 New Jersey address the unsafe condition. The and incorrect installation) and Avenue SE, Washington, DC 20590. NPRM proposed to require a corrective actions, and implementation FOR FURTHER INFORMATION CONTACT: modification of the outboard load of a new life limit for the FWD adapter Kathleen Arrigotti, Program Manager, system for certain helicopters, repetitive (i.e., repetitive replacements). The Large Aircraft Section, International inspections of the outboard load system corrective actions include replacement Validation Branch, Compliance & and its components for any defect of any defective component with a Airworthiness Division, FAA, 2200 (including cracking, damage, corrosion, serviceable part. South 216th St., Des Moines, WA 98198; and incorrect installation) and This material is reasonably available telephone and fax 206–231–3218; email applicable corrective actions, and because the interested parties have [email protected]. implementation of a new life limit for access to it through their normal course SUPPLEMENTARY INFORMATION: the FWD adapter, as specified in an of business or by the means identified EASA AD. in the ADDRESSES section. Background The FAA is issuing this AD to address Costs of Compliance The EASA, which is the Technical detachment of an external load or Agent for the Member States of the person from the helicopter hoist, The FAA estimates that this AD European Union, has issued EASA AD resulting in personal injury, or injury to affects 175 helicopters of U.S. registry. 2017–0177, dated September 14, 2017 persons on the ground. See the MCAI The FAA estimates the following costs (EASA AD 2017–0177) (also referred to for additional background information. to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
4 work-hours × $85 per hour = $340 ...... $2,276 $2,616 $457,800
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The FAA estimates the following the results of any required actions. The number of helicopters that might need costs to do any necessary on-condition FAA has no way of determining the these on-condition actions: actions that would be required based on
ESTIMATED COSTS OF ON-CONDITION ACTION
Cost per Labor cost Parts cost product
2 work-hours × $85 per hour = $170 ...... Up to $970 ..... Up to $1,140.
According to the manufacturer, some List of Subjects in 14 CFR Part 39 address the unsafe condition. The FAA is or all of the costs of this AD may be issuing this AD to address detachment of an Air transportation, Aircraft, Aviation external load or person from the helicopter covered under warranty, thereby safety, Incorporation by reference, reducing the cost impact on affected hoist, which could result in personal injury, Safety. or injury to persons on the ground. operators. The FAA does not control warranty coverage for affected operators. The Amendment (f) Compliance As a result, the FAA has included all Accordingly, under the authority Comply with this AD within the known costs in the cost estimate. delegated to me by the Administrator, compliance times specified, unless already done. Authority for This Rulemaking the FAA amends 14 CFR part 39 as follows: (g) Requirements Title 49 of the United States Code Except as specified in paragraph (h) of this specifies the FAA’s authority to issue PART 39—AIRWORTHINESS AD: Comply with all required actions and rules on aviation safety. Subtitle I, DIRECTIVES compliance times specified in, and in section 106, describes the authority of accordance with, European Aviation Safety the FAA Administrator. Subtitle VII: ■ 1. The authority citation for part 39 Agency (now European Union Aviation Aviation Programs, describes in more continues to read as follows: Safety Agency) (EASA) AD 2017–0177, dated September 14, 2017 (EASA AD 2017–0177). detail the scope of the Agency’s Authority: 49 U.S.C. 106(g), 40113, 44701. authority. (h) Exceptions to EASA AD 2017–0177 § 39.13 [Amended] The FAA is issuing this rulemaking (1) Where EASA AD 2017–0177 refers to its under the authority described in ■ 2. The FAA amends § 39.13 by adding effective date, this AD requires using the Subtitle VII, Part A, Subpart III, Section the following new airworthiness effective date of this AD. 44701: General requirements. Under directive: (2) The ‘‘Remarks’’ section of EASA AD 2017–0177 does not apply to this AD. that section, Congress charges the FAA 2021–10–15 Airbus Helicopters (3) Where the service information with promoting safe flight of civil Deutschland GmbH: Amendment 39– referenced in EASA AD 2017–0177 specifies aircraft in air commerce by prescribing 21548; Docket No. FAA–2020–1171; contacting the applicable manufacturer of the regulations for practices, methods, and Product Identifier 2017–SW–124–AD. dedicated equipment for a definition of a procedures the Administrator finds (a) Effective Date cycle and recalculation to hoist cycles, this necessary for safety in air commerce. AD does not require contacting the This airworthiness directive (AD) is manufacturer for a definition of a cycle and This regulation is within the scope of effective July 1, 2021. that authority because it addresses an recalculation to hoist cycles. (b) Affected ADs (4) Where paragraph (3) of EASA AD 2017– unsafe condition that is likely to exist or 0177 specifies to do ‘‘applicable corrective develop on products identified in this None. actions,’’ for this AD, if there are any rulemaking action. (c) Applicability defective components, replace all defective components with serviceable components in This AD applies to Airbus Helicopters Regulatory Findings accordance with FAA-approved procedures. Deutschland GmbH Model MBB–BK 117 For the purposes of this AD, a defect may be This AD will not have federalism C–2 and Model MBB–BK 117 D–2 indicated by cracking, damage, corrosion, or helicopters, certificated in any category, all implications under Executive Order incorrect installation. manufacturer serial numbers, except the 13132. This AD will not have a (5) Although the service information substantial direct effect on the States, on Model MBB–BK117 C–2(e) configuration. referenced in EASA AD 2017–0177 specifies the relationship between the national Note 1 to paragraph (c): Model MBB– to discard certain parts, this AD requires government and the States, or on the BK117 C–2 helicopters utilizing a Garmin removing those parts from service instead. distribution of power and 500H flight display system are designated by (6) Where the service information responsibilities among the various EASA as Model MBB–BK117 C–2e variants referenced in EASA AD 2017–0177 refers to of the Model BK 117 C–2 helicopters, and by levels of government. flight hours (FH), this AD requires using the FAA as a Model MBB–BK117 C–2(e) hours time-in-service. For the reasons discussed above, I configuration. (7) Paragraph (9) of EASA AD 2017–0177 certify that this AD: does not apply to this AD. (d) Subject (1) Is not a ‘‘significant regulatory (i) Alternative Methods of Compliance Joint Aircraft System Component (JASC) action’’ under Executive Order 12866, (AMOCs) Code 2500, Cabin Equipment/Furnishings. (2) Will not affect intrastate aviation (1) The Manager, International Validation in Alaska, and (e) Reason Branch, FAA, has the authority to approve This AD was prompted by a determination AMOCs for this AD, if requested using the (3) Will not have a significant that a life limit for the adapter forward of the procedures found in 14 CFR 39.19. In economic impact, positive or negative, outboard load system, repetitive inspections accordance with 14 CFR 39.19, send your on a substantial number of small entities of other components of that system, and for request to your principal inspector or local under the criteria of the Regulatory certain helicopters, a modification of the Flight Standards District Office, as Flexibility Act. outboard load system, are necessary to appropriate. If sending information directly
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to the manager of the International Validation DEPARTMENT OF TRANSPORTATION through Friday, except Federal holidays. Branch, send it to the attention of the person The AD docket contains this final rule, identified in paragraph (j) of this AD. Federal Aviation Administration any comments received, and other Information may be emailed to: 9-AVS-AIR- information. The address for Docket [email protected]. 14 CFR Part 39 Operations is U.S. Department of (2) Before using any approved AMOC, [Docket No. FAA–2021–0018; Project Transportation, Docket Operations, M– notify your appropriate principal inspector, Identifier MCAI–2020–01214–T; Amendment 30, West Building Ground Floor, Room or lacking a principal inspector, the manager 39–21546; AD 2021–10–13] W12–140, 1200 New Jersey Avenue SE, of the local flight standards district office/ Washington, DC 20590. certificate holding district office. RIN 2120–AA64 FOR FURTHER INFORMATION CONTACT: (j) Related Information Airworthiness Directives; De Havilland Siddeeq Bacchus, Aerospace Engineer, For more information about this AD, Aircraft of Canada Limited (Type Mechanical Systems and Administrative contact Kathleen Arrigotti, Program Manager, Certificate Previously Held by Services Section, FAA, New York ACO Large Aircraft Section, International Bombardier, Inc.) Airplanes Branch, 1600 Stewart Avenue, Suite Validation Branch, FAA, 2200 South 216th AGENCY: Federal Aviation 410, Westbury, NY 11590; telephone St., Des Moines, WA 98198; phone and fax: Administration (FAA), Department of 516–228–7362; fax 516–794–5531; email 206–231–3218; email: kathleen.arrigotti@ [email protected]. faa.gov. Transportation (DOT). ACTION: Final rule. SUPPLEMENTARY INFORMATION: (k) Material Incorporated by Reference (1) The Director of the Federal Register SUMMARY: The FAA is superseding Discussion Airworthiness Directive (AD) 2015–17– approved the incorporation by reference Transport Canada Civil Aviation (IBR) of the service information listed in this 08, which applied to certain Bombardier, Inc. Model DHC–8–400 (TCCA), which is the aviation authority paragraph under 5 U.S.C. 552(a) and 1 CFR for Canada, has issued TCCA AD CF– part 51. series airplanes. AD 2015–17–08 2020–28, dated August 14, 2020 (also (2) You must use this service information required installing new cable assemblies referred to as the Mandatory Continuing as applicable to do the actions required by with a pull-down resistor. This AD Airworthiness Information, or the this AD, unless this AD specifies otherwise. requires modifications to the nose wheel (i) European Aviation Safety Agency steering (NWS) system. This AD was MCAI), to correct an unsafe condition (EASA) AD 2017–0177, dated September 14, prompted by a report indicating that for certain De Havilland Aircraft of 2017. several failure modes of the NWS Canada Limited Model DHC–8–401 and (ii) [Reserved] system may cause the loss of feedback –402 airplanes. You may examine the (3) For EASA AD 2017–0177, contact the from both rotary variable differential MCAI in the AD docket on the internet EASA, Konrad-Adenauer-Ufer 3, 50668 transformers to the steering control unit. at https://www.regulations.gov by Cologne, Germany; telephone +49 221 8999 The FAA is issuing this AD to address searching for and locating Docket No. 000; email [email protected]; internet the unsafe condition on these products. FAA–2021–0018. www.easa.europa.eu. You may find this DATES: This AD is effective July 1, 2021. The FAA issued a notice of proposed EASA AD on the EASA website at https:// The Director of the Federal Register rulemaking (NPRM) to amend 14 CFR ad.easa.europa.eu. approved the incorporation by reference part 39 to supersede AD 2015–17–08, (4) You may view this service information of a certain publication listed in this AD Amendment 39–18241 (80 FR 51459, at the FAA, Office of the Regional Counsel, as of July 1, 2021. August 25, 2015) (AD 2015–17–08). AD Southwest Region, 10101 Hillwood Pkwy., ADDRESSES: For service information 2015–17–08 applied to certain Room 6N–321, Fort Worth, TX 76177. For Bombardier, Inc. Model DHC–8–400 information on the availability of this identified in this final rule, contact De Havilland Aircraft of Canada Limited, series airplanes. The NPRM published material at the FAA, call 817–222–5110. This in the Federal Register on February 24, material may be found in the AD docket on Q-Series Technical Help Desk, 123 Garratt Boulevard, Toronto, Ontario 2021 (86 FR 11175). The NPRM was the internet at https://www.regulations.gov prompted by a report indicating that by searching for and locating Docket No. M3K 1Y5, Canada; telephone 416–375– 4000; fax 416–375–4539; email thd@ several failure modes of the NWS FAA–2020–1171. system may cause the loss of feedback (5) You may view this material that is dehavilland.com; internet https:// dehavilland.com. You may view this from both rotary variable differential incorporated by reference at the National transformers to the steering control unit. Archives and Records Administration referenced service information at the FAA, Airworthiness Products Section, The NPRM proposed to require (NARA). For information on the availability modifications to the NWS system. The of this material at NARA, email fedreg.legal@ Operational Safety Branch, 2200 South 216th St., Des Moines, WA. For FAA is issuing this AD to address nara.gov, or go to https://www.archives.gov/ failure modes of the NWS system, federal-register/cfr/ibr-locations.html. information on the availability of this material at the FAA, call 206–231–3195. which could lead to NWS runaway, loss Issued on May 3, 2021. It is also available on the internet at of directional control of the airplane, Lance T. Gant, https://www.regulations.gov by and possible consequent runway Director, Compliance & Airworthiness searching for and locating Docket No. excursion. See the MCAI for additional Division, Aircraft Certification Service. FAA–2021–0018. background information. [FR Doc. 2021–11080 Filed 5–26–21; 8:45 am] Examining the AD Docket Comments BILLING CODE 4910–13–P You may examine the AD docket on The FAA gave the public the the internet at https:// opportunity to participate in developing www.regulations.gov by searching for this final rule. The FAA has considered and locating Docket No. FAA–2021– the comment received. The Air Line 0018; or in person at Docket Operations Pilots Association, International (ALPA) between 9 a.m. and 5 p.m., Monday indicated its support for the NPRM.
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Conclusion Related Service Information Under 1 the left-hand console frame, and The FAA reviewed the relevant data, CFR Part 51 installing an NWS electronic control unit and NWS hand control). This considered the comment received, and De Havilland Aircraft of Canada determined that air safety and the service information is reasonably Limited has issued Service Bulletin 84– public interest require adopting this available because the interested parties 32–162, Revision B, dated November 13, final rule as proposed, except for minor have access to it through their normal editorial changes. The FAA has 2019, including UTC Aerospace course of business or by the means determined that these minor changes: Systems Service Bulletin 406300–32– identified in the ADDRESSES section. • 142, dated June 24, 2019; and UTC Are consistent with the intent that Costs of Compliance was proposed in the NPRM for Aerospace Systems Service Bulletin addressing the unsafe condition; and 406330–32–143, dated June 24, 2019. The FAA estimates that this AD • Do not add any additional burden This service information describes affects 54 airplanes of U.S. registry. upon the public than was already procedures for modifying the NWS The FAA estimates the following proposed in the NPRM. system (terminating wiring, reworking costs to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Modification ...... 13 work-hours × $85 per hour = $1,105 ...... Up to $122 ..... Up to $1,227 .. Up to $66,258.
Authority for This Rulemaking List of Subjects in 14 CFR Part 39 (d) Subject Title 49 of the United States Code Air transportation, Aircraft, Aviation Air Transport Association (ATA) of America Code 32, Landing gear. specifies the FAA’s authority to issue safety, Incorporation by reference, rules on aviation safety. Subtitle I, Safety. (e) Reason section 106, describes the authority of Adoption of the Amendment This AD was prompted by a report the FAA Administrator. Subtitle VII: indicating that several failure modes of the Aviation Programs, describes in more Accordingly, under the authority nose wheel steering (NWS) system may cause detail the scope of the Agency’s delegated to me by the Administrator, the loss of feedback from both rotary variable authority. the FAA amends 14 CFR part 39 as differential transformers to the steering The FAA is issuing this rulemaking follows: control unit. The FAA is issuing this AD to under the authority described in address failure modes of the NWS system, Subtitle VII, Part A, Subpart III, Section PART 39—AIRWORTHINESS which could lead to NWS runaway, loss of directional control of the airplane, and 44701: General requirements. Under DIRECTIVES possible consequent runway excursion. that section, Congress charges the FAA with promoting safe flight of civil ■ 1. The authority citation for part 39 (f) Compliance aircraft in air commerce by prescribing continues to read as follows: Comply with this AD within the compliance times specified, unless already regulations for practices, methods, and Authority: 49 U.S.C. 106(g), 40113, 44701. procedures the Administrator finds done. necessary for safety in air commerce. § 39.13 [Amended] (g) New Requirement of This AD This regulation is within the scope of ■ 2. The FAA amends § 39.13 by: Within 4,000 flight hours or 18 months, that authority because it addresses an ■ a. Removing Airworthiness Directive whichever occurs first after the effective date unsafe condition that is likely to exist or (AD) 2015–17–08, Amendment 39– of this AD: Perform modifications to the develop on products identified in this 18241 (80 FR 51459, August 25, 2015); NWS system, in accordance with paragraph rulemaking action. 3.B of the Accomplishment Instructions of De and Havilland Aircraft of Canada Limited Service Regulatory Findings ■ b. Adding the following new AD: Bulletin 84–32–162, Revision B, dated The FAA determined that this AD 2021–10–13 De Havilland Aircraft of November 13, 2019, including UTC will not have federalism implications Canada Limited (Type Certificate Aerospace Systems Service Bulletin 406300– under Executive Order 13132. This AD Previously Held by Bombardier, Inc.): 32–142, dated June 24, 2019; and UTC will not have a substantial direct effect Amendment 39–21546; Docket No. Aerospace Systems Service Bulletin 406330– 32–143, dated June 24, 2019. on the States, on the relationship FAA–2021–0018; Project Identifier between the national government and MCAI–2020–01214–T. (h) Credit for Previous Actions the States, or on the distribution of (a) Effective Date This paragraph provides credit for actions power and responsibilities among the This airworthiness directive (AD) is required by paragraph (g) of this AD, if those various levels of government. effective July 1, 2021. actions were performed before the effective For the reasons discussed above, I date of this AD using De Havilland Aircraft certify that this AD: (b) Affected ADs of Canada Limited Service Bulletin 84–32– (1) Is not a ‘‘significant regulatory This AD replaces AD 2015–17–08, 162, dated August 26, 2019, including UTC action’’ under Executive Order 12866, Amendment 39–18241 (80 FR 51459, August Aerospace Systems Service Bulletin 406300– (2) Will not affect intrastate aviation 25, 2015) (AD 2015–17–08). 32–142, dated June 24, 2019, and UTC Aerospace Systems Service Bulletin 406330– in Alaska, and (c) Applicability 32–143, dated June 24, 2019; or De Havilland (3) Will not have a significant This AD applies to De Havilland Aircraft Aircraft of Canada Limited Service Bulletin economic impact, positive or negative, of Canada Limited Model DHC–8–401 and 84–32–162, Revision A, dated October 18, on a substantial number of small entities –402 airplanes, certificated in any category, 2019, including UTC Aerospace Systems under the criteria of the Regulatory serial numbers 4001, and 4003 through 4608 Service Bulletin 406300–32–142, dated June Flexibility Act. inclusive. 24, 2019, and UTC Aerospace Systems
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Service Bulletin 406330–32–143, dated June Ontario M3K 1Y5, Canada; telephone 416– 8999 000; email [email protected]; 24, 2019. 375–4000; fax 416–375–4539; email thd@ internet www.easa.europa.eu. You may dehavilland.com; internet https:// (i) Other FAA AD Provisions find this IBR material on the EASA dehavilland.com. website at https://ad.easa.europa.eu. (1) Alternative Methods of Compliance (4) You may view this service information (AMOCs): The Manager, New York ACO at the FAA, Airworthiness Products Section, You may view this IBR material at the Branch, FAA, has the authority to approve Operational Safety Branch, 2200 South 216th FAA, Airworthiness Products Section, AMOCs for this AD, if requested using the St., Des Moines, WA. For information on the Operational Safety Branch, 2200 South procedures found in 14 CFR 39.19. In availability of this material at the FAA, call 216th St., Des Moines, WA. For accordance with 14 CFR 39.19, send your 206–231–3195. information on the availability of this request to your principal inspector or (5) You may view this service information material at the FAA, call 206–231–3195. responsible Flight Standards Office, as that is incorporated by reference at the It is also available in the AD docket on appropriate. If sending information directly National Archives and Records to the manager of the certification office, the internet at https:// Administration (NARA). For information on www.regulations.gov by searching for send it to ATTN: Program Manager, the availability of this material at NARA, Continuing Operational Safety, FAA, New email [email protected], or go to: https:// and locating Docket No. FAA–2020– York ACO Branch, 1600 Stewart Avenue, www.archives.gov/federal-register/cfr/ibr- 1184. Suite 410, Westbury, NY 11590; telephone locations.html. 516–228–7300; fax 516–794–5531. Before Examining the AD Docket using any approved AMOC, notify your Issued on April 30, 2021. You may examine the AD docket on appropriate principal inspector, or lacking a Lance T. Gant, the internet at https:// principal inspector, the manager of the Director, Compliance & Airworthiness www.regulations.gov by searching for responsible Flight Standards Office. Division, Aircraft Certification Service. and locating Docket No. FAA–2020– (2) Contacting the Manufacturer: For any [FR Doc. 2021–11088 Filed 5–26–21; 8:45 am] 1184; or in person at Docket Operations requirement in this AD to obtain instructions from a manufacturer, the instructions must BILLING CODE 4910–13–P between 9 a.m. and 5 p.m., Monday be accomplished using a method approved through Friday, except Federal holidays. by the Manager, New York ACO Branch, The AD docket contains this final rule, FAA; or Transport Canada Civil Aviation DEPARTMENT OF TRANSPORTATION any comments received, and other (TCCA); or De Havilland Aircraft of Canada information. The address for Docket Limited’s TCCA Design Approval Federal Aviation Administration Operations is U.S. Department of Organization (DAO). If approved by the DAO, Transportation, Docket Operations, M– the approval must include the DAO- 14 CFR Part 39 30, West Building Ground Floor, Room authorized signature. [Docket No. FAA–2020–1184; Project W12–140, 1200 New Jersey Avenue SE, (j) Related Information Identifier MCAI–2020–01425–T; Amendment Washington, DC 20590. (1) Refer to Mandatory Continuing 39–21532; AD 2021–09–18] FOR FURTHER INFORMATION CONTACT: Airworthiness Information (MCAI) TCCA AD RIN 2120–AA64 Shahram Daneshmandi, Aerospace CF–2020–28, dated August 14, 2020, for Engineer, Large Aircraft Section, related information. This MCAI may be Airworthiness Directives; ATR–GIE International Validation Branch, FAA, found in the AD docket on the internet at Avions de Transport Re´gional 2200 South 216th St., Des Moines, WA https://www.regulations.gov by searching for 98198; phone and fax: 206–231–3220; and locating Docket No. FAA–2021–0018. Airplanes email: [email protected]. (2) For more information about this AD, AGENCY: Federal Aviation contact Siddeeq Bacchus, Aerospace SUPPLEMENTARY INFORMATION: Engineer, Mechanical Systems and Administration (FAA), Department of Administrative Services Section, FAA, New Transportation (DOT). Background York ACO Branch, 1600 Stewart Avenue, ACTION: Final rule. The EASA, which is the Technical Suite 410, Westbury, NY 11590; telephone Agent for the Member States of the SUMMARY: 516–228–7362; fax 516–794–5531; email 9- The FAA is adopting a new European Union, has issued EASA AD [email protected]. airworthiness directive (AD) for certain 2020–0227, dated October 19, 2020 ´ (3) Service information identified in this ATR–GIE Avions de Transport Regional (EASA AD 2020–0227) (also referred to AD that is not incorporated by reference is Model ATR72–212A airplanes. This AD as the Mandatory Continuing available at the addresses specified in was prompted by a report of an engine paragraphs (k)(3) and (4) of this AD. Airworthiness Information, or the electrical control #1 fault during flight MCAI), to correct an unsafe condition (k) Material Incorporated by Reference caused by chafing damage on an for certain ATR–GIE Avions de (1) The Director of the Federal Register electrical harness bundle. This AD Transport Re´gional Model ATR72–212A approved the incorporation by reference requires modifying the electrical airplanes. (IBR) of the service information listed in this harness routes and de-icing pipe The FAA issued a notice of proposed paragraph under 5 U.S.C. 552(a) and 1 CFR coupling installations, as specified in a rulemaking (NPRM) to amend 14 CFR part 51. European Union Aviation Safety Agency (2) You must use this service information part 39 by adding an AD that would (EASA) AD, which is incorporated by apply to certain ATR–GIE Avions de as applicable to do the actions required by reference. The FAA is issuing this AD this AD, unless this AD specifies otherwise. Transport Re´gional Model ATR72–212A (i) De Havilland Aircraft of Canada Limited to address the unsafe condition on these airplanes. The NPRM published in the Service Bulletin 84–32–162, Revision B, products. Federal Register on February 22, 2021 dated November 13, 2019, including UTC DATES: This AD is effective July 1, 2021. (86 FR 10491). The NPRM was Aerospace Systems Service Bulletin 406300– The Director of the Federal Register prompted by a report of an engine 32–142, dated June 24, 2019; and UTC approved the incorporation by reference electrical control #1 fault during flight Aerospace Systems Service Bulletin 406330– of a certain publication listed in this AD caused by chafing damage on an 32–143, dated June 24, 2019. as of July 1, 2021. (ii) [Reserved] electrical harness bundle. The NPRM (3) For service information identified in ADDRESSES: For material incorporated proposed to require modifying the this AD, contact De Havilland Aircraft of by reference (IBR) in this AD, contact electrical harness routes and de-icing Canada Limited, Q-Series Technical Help EASA, Konrad-Adenauer-Ufer 3, 50668 pipe coupling installations, as specified Desk, 123 Garratt Boulevard, Toronto, Cologne, Germany; telephone +49 221 in EASA AD 2020–0227.
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The FAA is issuing this AD to address Conclusion installation of the electrical harness chafing damage on an electrical harness The FAA reviewed the relevant data routes 1M and 1S–1V, and rotating the bundle, which could result in wire and determined that air safety and the de-icing pipe coupling installation. This failure and a short circuit, an public interest require adopting this material is reasonably available because uncontrolled fire, and consequent loss final rule as proposed, except for minor the interested parties have access to it of multiple systems, possibly resulting editorial changes. The FAA has through their normal course of business in reduced controllability of the determined that these minor changes: or by the means identified in the airplane. See the MCAI for additional • Are consistent with the intent that ADDRESSES section. background information. was proposed in the NPRM for addressing the unsafe condition; and Costs of Compliance Comments • Do not add any additional burden The FAA estimates that this AD upon the public than was already The FAA gave the public the affects 3 airplanes of U.S. registry. The proposed in the NPRM. opportunity to participate in developing FAA estimates the following costs to this final rule. The FAA received no Related Service Information Under 1 comply with this AD: comments on the NPRM or on the CFR Part 51 determination of the cost to the public. EASA AD 2020–0227 describes procedures for modifying the
ESTIMATED COSTS FOR REQUIRED ACTIONS
Labor cost Parts cost Cost per Cost on U.S. product operators
1 work-hour × $85 per hour = $85 ...... $20 $105 $315
Authority for This Rulemaking (3) Would not have a significant identified in European Union Aviation Safety economic impact, positive or negative, Agency (EASA) AD 2020–0227, dated Title 49 of the United States Code on a substantial number of small entities October 19, 2020 (EASA AD 2020–0227). specifies the FAA’s authority to issue under the criteria of the Regulatory rules on aviation safety. Subtitle I, (d) Subject Flexibility Act. section 106, describes the authority of Air Transport Association (ATA) of the FAA Administrator. Subtitle VII: List of Subjects in 14 CFR Part 39 America Code 92, Electrical Routing. Aviation Programs, describes in more Air transportation, Aircraft, Aviation (e) Reason detail the scope of the Agency’s safety, Incorporation by reference, This AD was prompted by a report of an authority. Safety. engine electrical control #1 fault during flight The FAA is issuing this rulemaking caused by chafing damage on an electrical under the authority described in Adoption of the Amendment harness bundle. The FAA is issuing this AD Subtitle VII, Part A, Subpart III, Section Accordingly, under the authority to address such damage, which could result in wire failure and a short circuit, an 44701: General requirements. Under delegated to me by the Administrator, uncontrolled fire, and consequent loss of that section, Congress charges the FAA the FAA amends 14 CFR part 39 as multiple systems, possibly resulting in with promoting safe flight of civil follows: reduced controllability of the airplane. aircraft in air commerce by prescribing (f) Compliance regulations for practices, methods, and PART 39—AIRWORTHINESS procedures the Administrator finds DIRECTIVES Comply with this AD within the necessary for safety in air commerce. compliance times specified, unless already ■ done. This regulation is within the scope of 1. The authority citation for part 39 that authority because it addresses an continues to read as follows: (g) Requirements unsafe condition that is likely to exist or Authority: 49 U.S.C. 106(g), 40113, 44701. Except as specified in paragraph (h) of this AD: Comply with all required actions and develop on products identified in this § 39.13 [Amended] rulemaking action. compliance times specified in, and in ■ 2. The FAA amends § 39.13 by adding accordance with, EASA AD 2020–0227. Regulatory Findings the following new airworthiness (h) Exceptions to EASA AD 2020–0227 directive: This AD will not have federalism (1) Where EASA AD 2020–0227 refers to its implications under Executive Order 2021–09–18 ATR–GIE Avions de Transport effective date, this AD requires using the 13132. This AD will not have a Re´gional: Amendment 39–21532; Docket effective date of this AD. substantial direct effect on the States, on No. FAA–2020–1184; Project Identifier (2) The ‘‘Remarks’’ section of EASA AD the relationship between the national MCAI–2020–01425–T. 2020–0227 does not apply to this AD. government and the States, or on the (a) Effective Date (i) Other FAA AD Provisions distribution of power and This airworthiness directive (AD) is The following provisions also apply to this responsibilities among the various effective July 1, 2021. AD: levels of government. (1) Alternative Methods of Compliance For the reasons discussed above, I (b) Affected ADs (AMOCs): The Manager, Large Aircraft certify that this AD: None. Section, International Validation Branch, FAA, has the authority to approve AMOCs (1) Is not a ‘‘significant regulatory (c) Applicability for this AD, if requested using the procedures action’’ under Executive Order 12866, This AD applies to ATR–GIE Avions de found in 14 CFR 39.19. In accordance with (2) Would not affect intrastate Transport Re´gional Model ATR72–212A 14 CFR 39.19, send your request to your aviation in Alaska, and airplanes, certificated in any category, as principal inspector or responsible Flight
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Standards Office, as appropriate. If sending DEPARTMENT OF TRANSPORTATION Room W12–140, 1200 New Jersey information directly to the Large Aircraft Avenue SE, Washington, DC 20590. Section, International Validation Branch, Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: send it to the attention of the person Wayne Lockett, Aerospace Engineer, identified in paragraph (j) of this AD. 14 CFR Part 39 Information may be emailed to: 9-AVS-AIR- Airframe Section, FAA, Seattle ACO [email protected]. Before using any [Docket No. FAA–2019–0862; Project Branch, 2200 South 216th St., Des approved AMOC, notify your appropriate Identifier 2019–NM–121–AD; Amendment Moines, WA 98198; phone and fax: principal inspector, or lacking a principal 39–21552; AD 2021–10–19] 206–231–3524; email: wayne.lockett@ inspector, the manager of the responsible faa.gov. Flight Standards Office. RIN 2120–AA64 (2) Contacting the Manufacturer: For any SUPPLEMENTARY INFORMATION: Airworthiness Directives; The Boeing requirement in this AD to obtain instructions Background from a manufacturer, the instructions must Company Airplanes be accomplished using a method approved The FAA issued a notice of proposed by the Manager, Large Aircraft Section, AGENCY: Federal Aviation rulemaking (NPRM) to amend 14 CFR International Validation Branch, FAA; or Administration (FAA), DOT. part 39 by adding an AD that would EASA; or ATR–GIE Avions de Transport ACTION: Final rule. apply to certain The Boeing Company Re´gional’s EASA Design Organization Model 767–200, –300, –300F, and Approval (DOA). If approved by the DOA, SUMMARY: The FAA is adopting a new –400ER series airplanes. The NPRM the approval must include the DOA- airworthiness directive (AD) for certain authorized signature. published in the Federal Register on The Boeing Company Model 767–200, November 7, 2019 (84 FR 60007). The (j) Related Information –300, –300F, and –400ER series NPRM was prompted by a For more information about this AD, airplanes. This AD was prompted by a determination that new or more contact Shahram Daneshmandi, Aerospace determination that new or more restrictive AWLs are necessary. In the Engineer, Large Aircraft Section, restrictive airworthiness limitations NPRM, the FAA proposed to require International Validation Branch, FAA, 2200 (AWLs) are necessary. This AD requires revising the existing maintenance or South 216th St., Des Moines, WA 98198; revising the existing maintenance or inspection program, as applicable, to phone and fax: 206–231–3220; email: inspection program, as applicable, to [email protected]. incorporate new or more restrictive incorporate new or more restrictive AWLs. (k) Material Incorporated by Reference airworthiness limitations. The FAA is The FAA issued a supplemental (1) The Director of the Federal Register issuing this AD to address the unsafe notice of proposed rulemaking (SNPRM) approved the incorporation by reference condition on these products. to amend 14 CFR part 39 by adding an (IBR) of the service information listed in this DATES: This AD is effective July 1, 2021. AD that would apply to certain The paragraph under 5 U.S.C. 552(a) and 1 CFR The Director of the Federal Register Boeing Company Model 767–200, –300, part 51. approved the incorporation by reference –300F, and –400ER series airplanes. The (2) You must use this service information as applicable to do the actions required by of certain publications listed in this AD SNPRM published in the Federal this AD, unless this AD specifies otherwise. as of July 1, 2021. Register on February 24, 2021 (86 FR (i) European Union Aviation Safety Agency ADDRESSES: For service information 11158). The SNPRM was prompted by a (EASA) AD 2020–0227, dated October 19, identified in this final rule, contact determination that new or more 2020. Boeing Commercial Airplanes, restrictive AWLs are necessary. The (ii) [Reserved] Attention: Contractual & Data Services SNPRM proposed to add airplanes to (3) For EASA AD 2020–0227, contact (C&DS), 2600 Westminster Blvd., MC the applicability, and to require revising EASA, Konrad-Adenauer-Ufer 3, 50668 110–SK57, Seal Beach, CA 90740–5600; the existing maintenance or inspection Cologne, Germany; telephone +49 221 8999 program, as applicable, to incorporate 000; email [email protected]; internet telephone 562–797–1717; internet www.easa.europa.eu. You may find this https://www.myboeingfleet.com. You new or more restrictive AWLs. The FAA EASA AD on the EASA website at https:// may view this service information at the is issuing this AD to address inadequate ad.easa.europa.eu. FAA, Airworthiness Products Section, AWL and damage tolerance rating (DTR) (4) You may view this material at the FAA, Operational Safety Branch, 2200 South values in the maintenance or inspection Airworthiness Products Section, Operational 216th St., Des Moines, WA. For program that reduce the probability of Safety Branch, 2200 South 216th St., Des information on the availability of this detection for foreseeable fatigue Moines, WA. For information on the material at the FAA, call 206–231–3195. cracking of structurally significant items availability of this material at the FAA, call It is also available at https:// (SSIs). This condition, if not addressed, 206–231–3195. This material may be found could result in the loss of limit load in the AD docket on the internet at https:// www.regulations.gov by searching for www.regulations.gov by searching for and and locating Docket No. FAA–2019– capability of an SSI as well as loss of locating Docket No. FAA–2020–1184. 0862. continued safe flight and landing of the (5) You may view this material that is airplane. Examining the AD Docket incorporated by reference at the National Discussion of Final Airworthiness Archives and Records Administration You may examine the AD docket at Directive (NARA). For information on the availability https://www.regulations.gov by of this material at NARA, email fedreg.legal@ searching for and locating Docket No. Comments nara.gov, or go to: https://www.archives.gov/ FAA–2019–0862; or in person at Docket federal-register/cfr/ibr-locations.html. The FAA received comments from Operations between 9 a.m. and 5 p.m., Boeing, FedEx Express, and United Issued on April 23, 2021. Monday through Friday, except Federal Airlines, who stated support for the Gaetano A. Sciortino, holidays. The AD docket contains this SNPRM without change. Deputy Director for Strategic Initiatives, final rule, any comments received, and Compliance & Airworthiness Division, other information. The address for Conclusion Aircraft Certification Service. Docket Operations is U.S. Department of The FAA reviewed the relevant data, [FR Doc. 2021–11089 Filed 5–26–21; 8:45 am] Transportation, Docket Operations, considered the comments received, and BILLING CODE 4910–13–P M–30, West Building Ground Floor, determined that air safety requires
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adopting this AD as proposed. Except Number Specific, D622T001–9–02, The FAA has determined that revising for minor editorial changes, this AD is dated August 2020. the existing maintenance or inspection adopted as proposed in the SNPRM. The FAA also reviewed Boeing 767– program takes an average of 90 work- None of the changes will increase the 200/300/300F/400ER Damage Tolerance hours per operator, although the FAA economic burden on any operator. Rating (DTR) Check Form Document, recognizes that this number may vary D622T001–DTR, dated February 2020. from operator to operator. Since Related Service Information Under 1 This service information includes the CFR Part 51 operators incorporate maintenance or DTR check forms and the procedure for inspection program changes for their The FAA reviewed the following their use. service information, which specifies This service information is reasonably affected fleet(s), the FAA has AWLs for structural inspections and available because the interested parties determined that a per-operator estimate structural safe life limits, among other have access to it through their normal is more accurate than a per-airplane limitations. These documents are course of business or by the means estimate. Therefore, the FAA estimates distinct since they apply to different identified in ADDRESSES. the total cost per operator to be $7,650 airplane configurations. (90 work-hours × $85 per work-hour). • Boeing 767–200/300/300F/400ER Costs of Compliance Airworthiness Limitations (AWLs), The FAA estimates that this AD D622T001–9–01, dated July 2020. affects 542 airplanes of U.S. registry. • Boeing 767–200/300/300F/400ER The FAA estimates the following costs Airworthiness Limitations—Line to comply with this AD:
ESTIMATED COSTS OF ON-CONDITION ACTIONS
Cost per Action Labor cost Parts cost product
Reporting ...... 1 work-hour × $85 per hour = $85 ...... $0 $85
Paperwork Reduction Act The FAA is issuing this rulemaking List of Subjects in 14 CFR Part 39 A federal agency may not conduct or under the authority described in Air transportation, Aircraft, Aviation sponsor, and a person is not required to Subtitle VII, Part A, Subpart III, Section safety, Incorporation by reference, respond to, nor shall a person be subject 44701: General requirements. Under Safety. to a penalty for failure to comply with that section, Congress charges the FAA The Amendment a collection of information subject to the with promoting safe flight of civil requirements of the Paperwork aircraft in air commerce by prescribing Accordingly, under the authority Reduction Act unless that collection of regulations for practices, methods, and delegated to me by the Administrator, information displays a currently valid procedures the Administrator finds the FAA amends 14 CFR part 39 as OMB Control Number. The OMB necessary for safety in air commerce. follows: Control Number for this information This regulation is within the scope of collection is 2120–0056. Public that authority because it addresses an PART 39—AIRWORTHINESS DIRECTIVES reporting for this collection of unsafe condition that is likely to exist or information is estimated to take develop on products identified in this ■ 1. The authority citation for part 39 approximately 1 hour per response, rulemaking action. continues to read as follows: including the time for reviewing instructions, searching existing data Regulatory Findings Authority: 49 U.S.C. 106(g), 40113, 44701. sources, gathering and maintaining the This AD will not have federalism § 39.13 [Amended] data needed, and completing and reviewing the collection of information. implications under Executive Order ■ 2. The FAA amends § 39.13 by adding All responses to this collection of 13132. This AD will not have a the following new airworthiness information are mandatory. Send substantial direct effect on the States, on directive: comments regarding this burden the relationship between the national 2021–10–19 The Boeing Company: estimate or any other aspect of this government and the States, or on the Amendment 39–21552; Docket No. collection of information, including distribution of power and FAA–2019–0862; Project Identifier suggestions for reducing this burden to: responsibilities among the various 2019–NM–121–AD. Information Collection Clearance levels of government. (a) Effective Date Officer, Federal Aviation For the reasons discussed above, I This airworthiness directive (AD) is Administration, 10101 Hillwood certify that this AD: effective July 1, 2021. Parkway, Fort Worth, TX 76177–1524. (1) Is not a ‘‘significant regulatory (b) Affected ADs Authority for This Rulemaking action’’ under Executive Order 12866, This AD affects AD 2014–14–04, Title 49 of the United States Code (2) Will not affect intrastate aviation Amendment 39–17899 (79 FR 44672, August specifies the FAA’s authority to issue in Alaska, and 1, 2014) (AD 2014–14–04). rules on aviation safety. Subtitle I, (3) Will not have a significant (c) Applicability section 106, describes the authority of economic impact, positive or negative, (1) This AD applies to The Boeing the FAA Administrator. Subtitle VII: on a substantial number of small entities Company Model 767–200, –300, –300F, and Aviation Programs, describes in more under the criteria of the Regulatory –400ER series airplanes, certificated in any detail the scope of the Agency’s Flexibility Act. category, line numbers 1 through 1218 authority. inclusive.
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(2) Installation of Supplemental Type bore oversize repair has been accomplished: of information. All responses to this Certificate (STC) ST01920SE affects the Within 24 months after the effective date of collection of information are mandatory. ability to accomplish some of the actions this AD, re-evaluate the repair and obtain Send comments regarding this burden required by this AD. Therefore, for airplanes revised inspection intervals, as applicable, in estimate or any other aspect of this collection on which STC ST01920SE is installed, a accordance with the procedures specified in of information, including suggestions for ‘‘change in product’’ alternative method of paragraph (l) of this AD. reducing this burden to Information compliance (AMOC) approval may be (3) Where Boeing 767–200/300/300F/ Collection Clearance Officer, Federal necessary to comply with the requirements of 400ER Airworthiness Limitations (AWLs), Aviation Administration, 10101 Hillwood 14 CFR 39.17. D622T001–9–01, dated July 2020; and Boeing Parkway, Fort Worth, TX 76177–1524. 767–200/300/300F/400ER Damage Tolerance (d) Subject Rating (DTR) Check Form Document, (l) Alternative Methods of Compliance Air Transport Association (ATA) of D622T001–DTR, dated February 2020; (AMOCs) America Code 27, Flight Controls; 52, Doors; specify to submit reports within 10 days, (1) The Manager, Seattle ACO Branch, 53, Fuselage; 54, Nacelles/pylons; 55, those reports may be submitted within 10 FAA, has the authority to approve AMOCs Stabilizers; 57, Wings. days after the airplane is returned to service. for this AD, if requested using the procedures (4) For airplanes having line numbers found in 14 CFR 39.19. In accordance with (e) Unsafe Condition identified in Boeing 767–200/300/300F/ 14 CFR 39.19, send your request to your This AD was prompted by a determination 400ER Airworthiness Limitations—Line principal inspector or responsible Flight that new or more restrictive airworthiness Number Specific, D622T001–9–02, dated Standards Office, as appropriate. If sending limitations (AWLs) are necessary. The FAA August 2020: Revising the existing information directly to the manager of the is issuing this AD to address inadequate maintenance or inspection program, as certification office, send it to the attention of AWL and damage tolerance rating (DTR) applicable, to incorporate the information the person identified in paragraph (m) of this values in the maintenance or inspection specified in Boeing 767–200/300/300F/ AD. Information may be emailed to: 9-ANM- program that reduce the probability of 400ER Airworthiness Limitations—Line [email protected]. detection for foreseeable fatigue cracking of Number Specific, D622T001–9–02, dated (2) Before using any approved AMOC, structurally significant items (SSIs). This August 2020, is an acceptable method of notify your appropriate principal inspector, condition, if not addressed, could result in compliance with paragraph (g) of this AD for or lacking a principal inspector, the manager the loss of limit load capability of an SSI as the tasks specified in Boeing 767–200/300/ of the responsible Flight Standards Office. well as loss of continued safe flight and 300F/400ER Airworthiness Limitations— (3) An AMOC that provides an acceptable landing of the airplane. Line Number Specific, D622T001–9–02, level of safety may be used for any repair, dated August 2020, only. The initial (f) Compliance modification, or alteration required by this compliance time for doing the tasks is at the AD if it is approved by The Boeing Company Comply with this AD within the time specified in Boeing 767–200/300/300F/ Organization Designation Authorization compliance times specified, unless already 400ER Airworthiness Limitations—Line (ODA) that has been authorized by the done. Number Specific, D622T001–9–02, dated Manager, Seattle ACO Branch, to make those (g) Maintenance or Inspection Program August 2020; or within 24 months after the findings. To be approved, the repair method, Revision effective date of this AD; whichever occurs modification deviation, or alteration later. For all other tasks specified in the Within 24 months after the effective date deviation must meet the certification basis of service information identified in paragraph the airplane, and the approval must of this AD, revise the existing maintenance (g) of this AD, the requirements of paragraph or inspection program, as applicable, to specifically refer to this AD. (g) of this AD remain fully applicable and (4) AMOCs for repairs and alterations incorporate the information specified in must be complied with. Boeing 767–200/300/300F/400ER approved previously for AD 2003–18–10, Airworthiness Limitations (AWLs), (i) No Alternative Actions or Intervals Amendment 39–13301 (68 FR 53503, September 11, 2003) (AD 2003–18–10), and D622T001–9–01, dated July 2020; and Boeing After the existing maintenance or 767–200/300/300F/400ER Damage Tolerance inspection program has been revised as AD 2014–14–04 are approved as AMOCs for Rating (DTR) Check Form Document, required by paragraph (g) of this AD, no the corresponding actions specified in this D622T001–DTR, dated February 2020. Except alternative actions (e.g., inspections) or AD. All other AMOCs for AD 2003–18–10 as specified in paragraph (h) of this AD, the intervals may be used unless the actions or and AD 2014–14–04 are not approved as initial compliance time for doing the tasks is intervals are approved as an alternative AMOCs for this AD. at the time specified in Boeing 767–200/300/ method of compliance (AMOC) in (5) Repairs done before the effective date 300F/400ER Airworthiness Limitations accordance with the procedures specified in of this AD that meet the conditions specified (AWLs), D622T001–9–01, dated July 2020; paragraph (l) of this AD. in paragraphs (l)(5)(i) through (iii) of this AD and Boeing 767–200/300/300F/400ER are acceptable methods of compliance for the Damage Tolerance Rating (DTR) Check Form (j) Terminating Action for AD 2014–14–04 repaired area where the inspections of the Document, D622T001–DTR, dated February Accomplishing the actions required by this baseline structure cannot be accomplished. 2020; or within 24 months after the effective AD terminates all requirements of AD 2014– (i) The repair was approved under both 14 date of this AD; whichever occurs later. 14–04. CFR 25.571 and 14 CFR 26.43(d) by The Boeing Company ODA that has been (h) Exceptions (k) Paperwork Reduction Act Burden authorized by the Manager, Seattle ACO (1) Where Boeing 767–200/300/300F/ Statement Branch, FAA, to make those findings. 400ER Airworthiness Limitations (AWLs), A federal agency may not conduct or (ii) The repair approval provides an D622T001–9–01, dated July 2020, specifies sponsor, and a person is not required to inspection program (inspection threshold, compliance times (‘‘thresholds’’) for wing respond to, nor shall a person be subject to method, and repetitive interval). tank sealant removal and ensuring sealant a penalty for failure to comply with a (iii) Operators revised their existing location limits are met, these actions must be collection of information subject to the maintenance or inspection program, as accomplished within the compliance times requirements of the Paperwork Reduction applicable, to include the inspection program specified in Boeing 767–200/300/300F/ Act unless that collection of information (inspection threshold, method, and repetitive 400ER Airworthiness Limitations (AWLs), displays a current valid OMB Control interval) for the repair. D622T001–9–01, dated July 2020; or at or Number. The OMB Control Number for this before the next accomplishment of the information collection is 2120–0056. Public (m) Related Information specific Maintenance Planning Document reporting for this collection of information is For more information about this AD, (MPD) task, but no later than 6 years after the estimated to be approximately 1 hour per contact Wayne Lockett, Aerospace Engineer, effective date of this AD; whichever occurs response, including the time for reviewing Airframe Section, FAA, Seattle ACO Branch, later. instructions, searching existing data sources, 2200 South 216th St., Des Moines, WA (2) For any horizontal stabilizer pivot gathering and maintaining the data needed, 98198; phone and fax: 206–231–3524; email: fitting lug (SSI 55–10–I13A) on which a lug and completing and reviewing the collection [email protected].
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(n) Material Incorporated by Reference Class E airspace extending upward from Register (86 FR 13244; March 8, 2021) (1) The Director of the Federal Register 700 feet above the surface. This action for Docket No. FAA–2021–0041 to approved the incorporation by reference also removes the Baker City VORTAC modify the Class E airspace at Baker (IBR) of the service information listed in this from the Class E2 and the VOR/DME City Municipal Airport, Baker City, OR. paragraph under 5 U.S.C. 552(a) and 1 CFR from the Class E5 text headers and Interested parties were invited to part 51. airspace descriptions. Lastly, this action participate in this rulemaking effort by (2) You must use this service information implements several administrative submitting written comments on the as applicable to do the actions required by this AD, unless the AD specifies otherwise. corrections to the airspaces’ legal proposal to the FAA. One non- (i) Boeing 767–200/300/300F/400ER descriptions. substantive comment was received Airworthiness Limitations (AWLs), DATES: Effective 0901 UTC, August 12, suggesting it would be helpful if a D622T001–9–01, dated July 2020. 2021. The Director of the Federal graphic was included with the proposed (ii) Boeing 767–200/300/300F/400ER Register approves this incorporation by notice showing how the sectional chart Airworthiness Limitations—Line Number reference action under 1 CFR part 51, will change. Specific, D622T001–9–02, dated August subject to the annual revision of FAA Class E2, E4, and E5 airspace 2020. designations are published in paragraph Order 7400.11 and publication of (iii) Boeing 767–200/300/300F/400ER 6002, 6004, and 6005 of FAA Order conforming amendments. Damage Tolerance Rating (DTR) Check Form 7400.11E, dated July 21, 2020, and Document, D622T001–DTR, dated February ADDRESSES: FAA Order 7400.11E, effective September 15, 2020, which is 2020. Airspace Designations and Reporting incorporated by reference in 14 CFR (3) For service information identified in Points, and subsequent amendments can this AD, contact Boeing Commercial 71.1. The Class E airspace designation be viewed online at https:// listed in this document will be Airplanes, Attention: Contractual & Data www.faa.gov//air_traffic/publications/. Services (C&DS), 2600 Westminster Blvd., published subsequently in the Order. MC 110–SK57, Seal Beach, CA 90740–5600; For further information, you can contact telephone 562–797–1717; internet https:// the Airspace Policy Group, Federal Availability and Summary of www.myboeingfleet.com. Aviation Administration, 800 Documents for Incorporation by (4) You may view this service information Independence Avenue SW, Washington, Reference at the FAA, Airworthiness Products Section, DC 20591; telephone: (202) 267–8783. This document amends FAA Order Operational Safety Branch, 2200 South 216th The Order is also available for 7400.11E, Airspace Designations and St., Des Moines, WA. For information on the inspection at the National Archives and Reporting Points, dated July 21, 2020, availability of this material at the FAA, call Records Administration (NARA). For and effective September 15, 2020. FAA 206–231–3195. information on the availability of FAA (5) You may view this service information Order 7400.11E is publicly available as that is incorporated by reference at the Order 7400.11E at NARA, email listed in the ADDRESSES section of this National Archives and Records [email protected] or go to https:// document. FAA Order 7400.11E lists Administration (NARA). For information on www.archives.gov/federal-register/cfr/ Class A, B, C, D, and E airspace areas, the availability of this material at NARA, ibr-locations.html. air traffic service routes, and reporting email [email protected], or go to: https:// FOR FURTHER INFORMATION CONTACT: points. www.archives.gov/federal-register/cfr/ibr- Elizabeth Healy, Federal Aviation The Rule locations.html. Administration, Western Service Center, Issued on May 5, 2021. Operations Support Group, 2200 S This amendment to 14 CFR part 71 Lance T. Gant, 216th Street, Des Moines, WA 98198; modifies the Class E airspace designated Director, Compliance & Airworthiness telephone (206) 231–2227. as a surface area, at Baker City Division, Aircraft Certification Service. SUPPLEMENTARY INFORMATION: Municipal Airport. This area is designed [FR Doc. 2021–11065 Filed 5–26–21; 8:45 am] to contain arriving IFR aircraft Authority for This Rulemaking descending below 1,000 feet above the BILLING CODE 4910–13–P The FAA’s authority to issue rules surface, and IFR departures until regarding aviation safety is found in reaching 700 feet above the surface. This DEPARTMENT OF TRANSPORTATION Title 49 of the United States Code. area is described as follows: That Subtitle I, Section 106 describes the airspace extending upward from the Federal Aviation Administration authority of the FAA Administrator. surface within a 4.2-mile radius of the Subtitle VII, Aviation Programs, airport, and within 1.8 miles north and 14 CFR Part 71 describes in more detail the scope of the 3.1 miles south of the 097° bearing from the airport, extending from the 4.2-mile [Docket No. FAA–2021–0041; Airspace agency’s authority. This rulemaking is Docket No. 20–ANM–60] promulgated under the authority radius to 5.3 miles east of the airport, described in Subtitle VII, Part A, and within 1.8 miles southwest and 1.9 RIN 2120–AA66 Subpart I, Section 40103. Under that miles northeast of the 142° bearing from section, the FAA is charged with the airport, extending from the 4.2-mile Amendment and Establishment of prescribing regulations to assign the use radius to 9.4 miles southeast of the Class E Airspace; Baker City, OR of airspace necessary to ensure the airport. AGENCY: Federal Aviation safety of aircraft and the efficient use of This action also modifies the Class E Administration (FAA), DOT. airspace. This regulation is within the airspace by establishing an area that is ACTION: Final rule. scope of that authority as it modifies designated as an extension to a Class D Class E airspace at Baker City Municipal or Class E surface area. This area is SUMMARY: This action modifies the Class Airport, Baker City, OR, to ensure the designed to properly contain IFR aircraft E airspace, designated as a surface area safety and management of IFR descending below 1,000 feet above the for Baker City Municipal Airport. This operations at the airport. surface. This area is described as action also proposes to establish Class E follows: That airspace extending airspace, designated as an extension to History upward from the surface within 3.2 a Class D or Class E surface area. The FAA published a notice of miles each side of the 332° bearing from Additionally, this action modifies the proposed rulemaking in the Federal the airport, extending from the 4.2-mile
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radius to 7.3 miles northwest of the published yearly and effective on Paragraph 6002 Class E Airspace Areas airport. September 15. Designated as Surface Areas. This action also modifies the Class E Regulatory Notices and Analyses * * * * * airspace extending upward from 700 ANM OR E2 Baker City, OR [Amended] feet above the surface. This area is The FAA has determined that this designed to properly contain IFR regulation only involves an established Baker City Municipal Airport, OR ° ′ ″ ° ′ ″ departures to 1,200 feet above the body of technical regulations for which (Lat. 44 50 14 N, long. 117 48 33 ) surface and IFR arrivals descending frequent and routine amendments are That airspace extending upward from the below 1,500 feet above the surface. This necessary to keep them operationally surface within a 4.2-mile radius of the area is described as follows: That current, is non-controversial, and airport, and within 1.8 miles north and 3.1 ° airspace extending upward from 700 unlikely to result in adverse or negative miles south of the 097 bearing from the feet above the surface within a 4.2-mile comments. It, therefore: (1) Is not a airport, extending from the 4.2-mile radius to radius of the airport, and within 1.8 ‘‘significant regulatory action’’ under 5.3 miles east of the airport, and within 1.8 miles southwest and 1.9 miles northeast of miles north and 4.5 miles south of the Executive Order 12866; (2) is not a the 142° bearing from the airport, extending 097° bearing from the airport, extending ‘‘significant rule’’ under DOT Regulatory Policies and Procedures (44 from the 4.2-mile radius to 9.4 miles from the 4.2-mile radius to 7.1 miles southeast of the airport. east of the airport, and within 1.8 miles FR 11034; February 26, 1979); and (3) southwest and 1.9 miles northeast of the does not warrant preparation of a Paragraph 6004 Class E Airspace Areas 142° bearing from the airport, extending regulatory evaluation as the anticipated Designated as an Extension to a Class D or from the 4.2-mile radius to 11.7 miles impact is so minimal. Since this is a Class E Surface Area. east of the airport, and within 1.1 miles routine matter that will only affect air * * * * * ° traffic procedures and air navigation, it either side of the 283 bearing from the ANM OR E4 Baker City, OR [New] airport, extending from the 4.2 mile is certified that this rule, when radius to 5.3 miles west of the airport, promulgated, would not have a Baker City Municipal Airport, OR significant economic impact on a (Lat. 44°50′14″ N, long. 117°48′33″) and within 1.8 miles northeast and 1.9 substantial number of small entities miles southwest of the 315° bearing That airspace extending upward from the under the criteria of the Regulatory ° from the airport, extending from the 4.2 surface within 3.2 miles each side of the 332 Flexibility Act. mile radius to 6.9 miles northwest of the bearing from the airport, extending from the 4.2-mile radius to 7.3 miles northwest of the airport, and within 1.8 miles southwest Environmental Review ° airport. and 3.3 miles northeast of the 322 The FAA has determined that this bearing from the airport, extending from action qualifies for categorical exclusion Paragraph 6005 Class E Airspace Areas the 4.2 mile radius to 7.2 miles Extending Upward From 700 Feet or More under the National Environmental Above the Surface of the Earth. northwest of the airport, and within 1.8 Policy Act in accordance with FAA ° miles east and 1.9 miles west of the 360 Order 1050.1F, ‘‘Environmental * * * * * bearing from the airport, extending from Impacts: Policies and Procedures,’’ ANM OR E5 Baker City, OR [Amended] the 4.2 mile radius to 8.8 miles north of paragraph 5–6.5a. This airspace action the airport. Baker City Municipal Airport, OR is not expected to cause any potentially (Lat. 44°50′14″ N, long. 117°48′33″) This action also removes the Baker significant environmental impacts, and VORTAC from the Class E2 text header no extraordinary circumstances exist That airspace extending upward from 700 feet above the surface within a 4.2-mile and airspace description, and the Baker that warrant the preparation of an radius of the airport, and within 1.8 miles City VOR/DME from the Class E5 text environmental assessment. ° header and airspace descriptions. The north and 4.5 miles south of the 097 bearing from the airport, extending from the 4.2-mile Navigational Aids (NAVAID) are not List of Subjects in 14 CFR Part 71 radius to 7.1 miles east of the airport, and Airspace, Incorporation by reference, needed to describe the airspace areas. within 1.8 miles southwest and 1.9 miles Removal of the NAVAIDs from the legal Navigation (air). northeast of the 142° bearing from the airport, description allows the airspace to be Adoption of the Amendment extending from the 4.2-mile radius to 11.7 described from a single point, which miles east of the airport, and within 1.1 miles In consideration of the foregoing, the simplifies the airspaces’ descriptions. either side of the 283° bearing from the This action also removes the Class E Federal Aviation Administration airport, extending from the 4.2 mile radius to airspace extending upward from 1,200 amends 14 CFR part 71 as follows: 5.3 miles west of the airport, and within 1.8 feet above the surface. This area is PART 71—DESIGNATION OF CLASS A, miles northeast and 1.9 miles southwest of the 315° bearing from the airport, extending wholly contained within the Rome en B, C, D, AND E AIRSPACE AREAS; AIR from the 4.2 mile radius to 6.9 miles route airspace area and duplication is TRAFFIC SERVICE ROUTES; AND not necessary. northwest of the airport, and within 1.8 miles REPORTING POINTS ° Lastly, this action implements several southwest and 3.3 miles northeast of the 322 bearing from the airport, extending from the administrative amendments to the ■ 1. The authority citation for 14 CFR airspaces’ legal descriptions. The first 4.2 mile radius to 7.2 miles northwest of the part 71 continues to read as follows: airport, and within 1.8 miles east and 1.9 line of the Class E2 header is not Authority: 49 U.S.C. 106(f), 106(g), 40103, miles west of the 360° bearing from the correct. To match the FAA database, the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, airport, extending from the 4.2 mile radius to first line should be updated to ‘‘Baker 1959–1963 Comp., p. 389. 8.8 miles north of the airport. City’’. The airport’s geographic coordinates in the Class E2, and Class § 71.1 [Amended] Issued in Des Moines, Washington, on May E5 text header are incorrect. To match ■ 2. The incorporation by reference in 20, 2021. the FAA database, the geographic 14 CFR 71.1 of FAA Order 7400.11E, B.G. Chew, coordinates should be updated to lat. Airspace Designations and Reporting Acting Group Manager, Operations Support 44°50′14″ N, long. 117°48′33″ W. Points, dated July 21, 2020, and Group, Western Service Center. FAA Order 7400.11, Airspace effective September 15, 2020, is [FR Doc. 2021–11142 Filed 5–26–21; 8:45 am] Designations and Reporting Points, is amended as follows: BILLING CODE 4910–13–P
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TENNESSEE VALLEY AUTHORITY provides electricity for business TVA has reason to believe may customers and local power companies disproportionately affect children. Per 18 CFR Part 1301 serving 10 million people in parts of the definition of ‘‘covered regulatory seven southeastern states. TVA provides RIN 3316–AA23 action’’ in E.O. 13891, and because this flood control, navigation and land action does not concern an ‘‘Promoting the Rule of Law Through management for the Tennessee River environmental health risk or safety risk, Improved Agency Guidance’’ system and assists local power it is not subject to E.O. 13045. companies and state and local Regulations; Rescission H. Executive Order 13211: Actions governments with economic Concerning Regulations That AGENCY: Tennessee Valley Authority. development and job creation. Significantly Affect Energy Supply, ACTION: Final rule; rescission of Statutory and Executive Orders Distribution or Use—This action is not regulations. Reviews subject to E.O. 13211 because it is not SUMMARY: In accordance with the A. Executive Order 12866: Regulatory a significant regulatory action under Executive order entitled, ‘‘Promoting the Planning and Review and Executive E.O. 12866. Rule of Law Through Improved Agency Order 13563: Improving Regulation and I. National Technology Transfer and Guidance,’’ the Tennessee Valley Regulatory Review—This action is Advancement Act (NTTAA)—This Authority (TVA) is rescinding exempt from review by the Office of rulemaking does not involve technical associated regulations. Management and Budget (OMB) because standards. it is a rule of agency procedure and DATES: This rule is effective on May 27, J. Executive Order 12898: Federal 2021. practice and is limited to agency management. Actions To Address Environmental FOR FURTHER INFORMATION CONTACT: B. Paperwork Reduction Act (PRA)— Justice in Minority Populations and Robin M. Daugherty, 423–751–3207, This action does not contain any Low-Income Populations—TVA believes Email: [email protected], Mail information collection activities and that this action is not subject to E.O. address: Tennessee Valley Authority, therefore does not impose an 12898 because it does not establish an 400 West Summit Hill Drive, WT 6 information collection burden under the environmental health or safety standard. Knoxville, TN 37902. PRA. This regulatory action is a procedural SUPPLEMENTARY INFORMATION: TVA C. Regulatory Flexibility Act (RFA)— rule and does not have any impact on rescinds 18 CFR 1301.70 through This action is not subject to the RFA. human health or the environment. 1301.80 (part 1301, subpart F), which The RFA applies only to rules subject to K. Congressional Review Act—This implemented the requirements of notice and comment rulemaking rule is exempt from the CRA because it Executive Order 13891, ‘‘Promoting the requirements under the Administrative is a rule of agency organization, Rule of Law Through Improved Agency Procedure Act (APA), 5 U.S.C. 553, or procedure or practice that does not Guidance Documents.’’ 84 FR 55235 any other statute. This rule pertains to substantially affect the rights or (October 9, 2019) (E.O. 13891). TVA agency management or personnel, obligations of non-agency parties. rescinds this regulation in accordance which the APA expressly exempts from with E.O. 13992, ‘‘Revocation of Certain notice and comment rulemaking L. Executive Order 13992: Revocation Executive Orders Concerning Federal requirements under 5 U.S.C. 553(a)(2). of Certain Executive Orders Concerning Regulation.’’ 86 FR 7049 (January 25, D. Unfunded Mandates Reform Act Federal Regulation—TVA believes that 2021) (E.O. 13992). E.O. 13992 revoked (UMRA)—This action does not contain E.O. 13992 squarely applies in this certain executive orders, including E.O. any unfunded mandate as described in context, as a clear and direct 13891. E.O. 13992 additionally directed UMRA, 2 U.S.C. 1531–1538, and does requirement to rescind TVA’s applicable heads of agencies to ‘‘promptly take not significantly or uniquely affect small regulations promulgated in accordance steps to rescind any orders, rules, governments. The action imposes no with E.O. 13891. regulations, guidelines, or policies, or enforceable duty on any state, local, or Signing Authority portions thereof,’’ that were issued to tribal governments or the private sector. implement E.O. 13891. TVA issued E. Executive Order 13132: This document of the Tennessee regulations to implement E.O. 13891 on Federalism—This action does not have Valley Authority was signed on lll, September 24, 2020, at subpart F in part federalism implications. It will not have by David B. Fountain, Executive Vice 1301 of title 18 of the Code of Federal substantial direct effects on the states, President and General Counsel, Regulations (Promoting the Rule of Law on the relationship between the pursuant to delegated authority from the Through Improved Agency Guidance National Government and the states, or Chief Executive Officer. Documents, 85 FR 60063–60068 (Sept. on the distribution of power and 24, 2020) (codified at 18 CFR part 1301, responsibilities among the various Signed in Knoxville, TN, on May 5, 2021. subpart F). This rescission complies levels of government. David B. Fountain, with the purpose and intent of E.O. F. Executive Order 13175: Executive Vice President and General 13992. Consultation and Coordination With Counsel, Tennessee Valley Authority. Indian Tribal Governments—This action For reasons stated in the preamble, Legal Authority does not have tribal implications as the TVA amends 18 CFR part 1301 as This rescission is promulgated under specified in Executive Order 13175. follows: the authority of the TVA Act, as Thus, Executive Order 13175 does not amended, 16 U.S.C. 831–831ee, and the apply to this action. PART 1301—PROCEDURES Administrative Procedures Act, 5 U.S.C. G. Executive Order 13045: Protection of Children From Environmental Health 551–559. ■ Risks and Safety Risks—TVA interprets 1. The authority citation for part 1301 Background E.O. 13045 as applying only to those continues to read as follows: TVA is a multi-purpose corporate regulatory actions that concern Authority: 5 U.S.C. 552 and 552a; 16 agency of the United States that environmental health or safety risks that U.S.C. 831–831dd.
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Subpart F—[Removed] Waterways Management Division, U.S. IV. Discussion of the Rule Coast Guard; telephone 314–269–2560, This rule establishes a safety zone on ■ 2. Subpart F, consisting of §§ 1301.70 email [email protected]. May 29, 2021 at 8:45 p.m. through 9:15 through 1301.80, is removed. SUPPLEMENTARY INFORMATION: p.m., June 4, 2021 at 8:45 p.m. through [FR Doc. 2021–10059 Filed 5–26–21; 8:45 am] 9:15 p.m., June 19, 2021 at 8:45 p.m. BILLING CODE 8120–08–P I. Table of Abbreviations through 9:15 p.m., July 4, 2021 at 9:15 CFR Code of Federal Regulations p.m. through 9:45 p.m., July 17, 2021 at DHS Department of Homeland Security 9 p.m. through 9:30 p.m., July 24, 2021 DEPARTMENT OF HOMELAND FR Federal Register at 9:15 p.m. through 9:45 p.m., July 31, SECURITY NPRM Notice of proposed rulemaking 2021 at 9:15 p.m. through 9:45 p.m., § Section August 7, 2021 at 9:15 p.m. through 9:45 Coast Guard U.S.C. United States Code p.m., August 14, 2021 at 9:15 p.m. through 9:45 p.m., August 25, 2021 at II. Background Information and 33 CFR Part 165 9:15 p.m. through 9:45 p.m., and Regulatory History [Docket Number USCG–2021–0260] September 4, 2021 at 8:00 p.m. through The Coast Guard is issuing this 8:30 p.m. The safety zone will cover all RIN 1625–AA00 temporary rule without prior notice and navigable waters of the Lake of the Ozarks at mile marker 1 approximately Safety Zone; Lake of the Ozarks, Mile opportunity to comment pursuant to authority under section 4(a) of the 500 feet southwest of the Bagnell Dam. Marker 1 Approximately 500 Feet of the The duration of the zone is intended to Bagnell Dam, Lake of the Ozarks, MO Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This provision protect personnel, vessels, and the AGENCY: Coast Guard, DHS. authorizes an agency to issue a rule marine environment in these navigable waters before, during, and after a ACTION: Temporary final rule. without prior notice and opportunity to comment when the agency for good fireworks display. No vessel or person SUMMARY: The Coast Guard is cause finds that those procedures are will be permitted to enter the safety establishing a temporary safety zone for ‘‘impracticable, unnecessary, or contrary zone without obtaining permission from all navigable waters of the Lake of the to the public interest.’’ Under 5 U.S.C. the COTP or a designated Ozarks at mile marker 1 approximately 553(b)(B), the Coast Guard finds that representative. A designated 500 feet southwest of the Bagnell Dam. good cause exists for not publishing a representative is a commissioned, The safety zone is needed to protect notice of proposed rulemaking (NPRM) warrant, or petty officer of the U.S. personnel, vessels, and the marine with respect to this rule because it is Coast Guard assigned to units under the environment from potential hazards impracticable. We must establish this operational control of USCG Sector created by a fireworks display. Entry of safety zone by May 29, 2021 and lack Upper Mississippi River. The COTP or vessels or persons into this zone is sufficient time to provide a reasonable a designated representative will inform prohibited unless specifically comment period and then consider the public of the enforcement date and authorized by the Captain of the Port those comments before issuing the rule. times for this safety zone, as well as any emergent safety concerns that may delay Sector Upper Mississippi River or a Under 5 U.S.C. 553(d)(3), the Coast the enforcement of the zone. designated representative. Guard finds that good cause exists for DATES: This rule is effective from May making this rule effective less than 30 V. Regulatory Analyses 29, 2021 at 8:45 p.m. through 8:30 p.m. days after publication in the Federal We developed this rule after on September 4, 2021. This rule will be Register. Delaying the effective date of considering numerous statutes and enforced on May 29, 2021 at 8:45 p.m. this rule would be contrary to the public Executive orders related to rulemaking. through 9:15 p.m., June 4. 2021 at 8:45 interest because immediate action is Below we summarize our analyses p.m. through 9:15 p.m., June 19, 2021 at needed to respond to the potential based on a number of these statutes and 8:45 p.m. through 9:15 p.m., July 4, safety hazards associated with the Executive orders, and we discuss First 2021 at 9:15 p.m. through 9:45 p.m., fireworks display. Amendment rights of protestors. July 17, 2021 at 9 p.m. through 9:30 p.m., July 24, 2021 at 9:15 p.m. through III. Legal Authority and Need for Rule A. Regulatory Planning and Review 9:45 p.m., July 31, 2021 at 9:15 p.m. to The Coast Guard is issuing this rule Executive Orders 12866 and 13563 9:45 p.m., August 7, 2021 at 9:15 p.m. under authority in 46 U.S.C. 70034 direct agencies to assess the costs and through 9:45 p.m., August 14, 2021 at (previously 33 U.S.C. 1231). The benefits of available regulatory 9:15 p.m. through 9:45 p.m., August 25, Captain of the Port Sector Upper alternatives and, if regulation is 2021 at 9:15 p.m. through 9:45 p.m., and Mississippi River (COTP) has necessary, to select regulatory September 4, 2021 at 8 p.m. through determined that potential hazards approaches that maximize net benefits. 8:30 p.m. associated with a fireworks display on This rule has not been designated a ADDRESSES: To view documents May 29, 2021 will be a safety concern ‘‘significant regulatory action,’’ under mentioned in this preamble as being for anyone on the Lake of the Ozarks Executive Order 12866. Accordingly, available in the docket, go to https:// between Mile Marker (MM) .75 to 1. this rule has not been reviewed by the www.regulations.gov, type USCG–2021– This rule resulted from a marine event Office of Management and Budget 0260 in the ‘‘SEARCH’’ box and click notification stating that there will be a (OMB). ‘‘SEARCH.’’ Click on Open Docket fireworks display to celebrate This regulatory action determination Folder on the line associated with this summertime on the Lake of the Ozarks. is based on the size, location, and rule. This rule is needed to protect personnel, duration of the temporary safety zone. FOR FURTHER INFORMATION CONTACT: If vessels, and the marine environment in This action involves a fireworks display you have questions on this rule, call or the navigable waters within the safety that impacts a one half mile stretch of email Lieutenant Commander Stephanie zone before, during, and after the the Lake of the Ozarks on May 29, 2021 Moore, Sector Upper Mississippi River fireworks display. at 8:45 p.m. through 9:15 p.m., June 4,
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2021 at 8:45 p.m. through 9:15 p.m., complain about this rule or any policy 500 feet from the right decending bank. June 19, 2021 at 8:45 p.m. through 9:15 or action of the Coast Guard. It is categorically excluded from further p.m., July 4, 2021 at 9:15 p.m. through review under paragraph L60, Table 1 of C. Collection of Information 9:45 p.m., July 17, 2021 at 9 p.m. DHS Instruction Manual 023–01–001– through 9:30 p.m., July 24, 2021 at 9:15 This rule will not call for a new 01, Rev. A Record of Environmental p.m. through 9:45 p.m., July 31, 2021 at collection of information under the Consideration supporting this 9:15 p.m. through 9:45 p.m., August 7, Paperwork Reduction Act of 1995 (44 determination is available in the docket. 2021 at 9:15 p.m. to 9:45 p.m., August U.S.C. 3501–3520). For instructions on locating the docket, 14, 2021 at 9:15 p.m. to 9:45 p.m., D. Federalism and Indian Tribal see the ADDRESSES section of this August 25, 2021 at 9:15 p.m. to 9:45 Governments preamble. p.m., and September 4, 2021 at 8 p.m. G. Protest Activities through 8:30 p.m. Moreover, the Coast A rule has implications for federalism Guard will issue a Broadcast Notice to under Executive Order 13132, The Coast Guard respects the First Mariners via VHF–FM marine channel Federalism, if it has a substantial direct Amendment rights of protesters. 16 about the safety zone, mariners may effect on the States, on the relationship Protesters are asked to call or email the seek permission to enter the zone. between the National Government and person listed in the FOR FURTHER the States, or on the distribution of INFORMATION CONTACT section to B. Impact on Small Entities power and responsibilities among the coordinate protest activities so that your The Regulatory Flexibility Act of various levels of government. We have message can be received without 1980, 5 U.S.C. 601–612, as amended, analyzed this rule under that Order and jeopardizing the safety or security of requires Federal agencies to consider have determined that it is consistent people, places or vessels. with the fundamental federalism the potential impact of regulations on List of Subjects in 33 CFR Part 165 small entities during rulemaking. The principles and preemption requirements term ‘‘small entities’’ comprises small described in Executive Order 13132. Harbors, Marine safety, Navigation businesses, not-for-profit organizations Also, this rule does not have tribal (water), Reporting and recordkeeping that are independently owned and implications under Executive Order requirements, Security measures, operated and are not dominant in their 13175, Consultation and Coordination Waterways. fields, and governmental jurisdictions with Indian Tribal Governments, For the reasons discussed in the with populations of less than 50,000. because it does not have a substantial preamble, the Coast Guard amends 33 The Coast Guard certifies under 5 U.S.C. direct effect on one or more Indian CFR part 165 as follows: 605(b) that this rule will not have a tribes, on the relationship between the significant economic impact on a Federal Government and Indian tribes, PART 165—REGULATED NAVIGATION substantial number of small entities. or on the distribution of power and AREAS AND LIMITED ACCESS AREAS responsibilities between the Federal While some owners or operators of Government and Indian tribes. ■ 1. The authority citation for part 165 vessels intending to transit the safety continues to read as follows: zone may be small entities, for the E. Unfunded Mandates Reform Act Authority: 46 U.S.C. 70034, 70051; 33 CFR reasons stated in section V.A above, this The Unfunded Mandates Reform Act rule will not have a significant 1.05–1, 6.04–1, 6.04–6, and 160.5; of 1995 (2 U.S.C. 1531–1538) requires Department of Homeland Security Delegation economic impact on any vessel owner Federal agencies to assess the effects of No. 0170.1. or operator. their discretionary regulatory actions. In ■ Under section 213(a) of the Small 2. Add § 165.T08–0707 to read as particular, the Act addresses actions follows: Business Regulatory Enforcement that may result in the expenditure by a Fairness Act of 1996 (Pub. L. 104–121), State, local, or tribal government, in the § 165.T08–0707 Safety Zone; Lake of the we want to assist small entities in aggregate, or by the private sector of Ozarks, Mile Markers .5 to 1, Lake of the understanding this rule. If the rule $100,000,000 (adjusted for inflation) or Ozarks, MO would affect your small business, more in any one year. Though this rule (a) Location. The following area is a organization, or governmental will not result in such an expenditure, safety zone: All navigable waters of the jurisdiction and you have questions we do discuss the effects of this rule Lake of the Ozarks at mile marker 1 concerning its provisions or options for elsewhere in this preamble. approximately 500 feet southwest of the compliance, please call or email the Bagnell Dam. person listed in the FOR FURTHER F. Environment (b) Period of enforcement. May 29, INFORMATION CONTACT section. We have analyzed this rule under 2021 at 8:45 p.m. through 9:15 p.m., Small businesses may send comments Department of Homeland Security June 4. 2021 at 8:45 p.m. through 9:15 on the actions of Federal employees Directive 023–01, Rev. 1, associated p.m., June 19, 2021 at 8:45 p.m. to 9:15 who enforce, or otherwise determine implementing instructions, and p.m., July 4, 2021 at 9:15 p.m. through compliance with, Federal regulations to Environmental Planning COMDTINST 9:45 p.m., July 17, 2021 at 9 p.m. the Small Business and Agriculture 5090.1 (series), which guide the Coast through 9:30 p.m., July 24, 2021 at 9:15 Regulatory Enforcement Ombudsman Guard in complying with the National p.m. to 9:45 p.m., July 31, 2021 at 9:15 and the Regional Small Business Environmental Policy Act of 1969(42 p.m. through 9:45 p.m., August 7, 2021 Regulatory Fairness Boards. The U.S.C. 4321–4370f), and have at 9:15 p.m. to 9:45 p.m., August 14, Ombudsman evaluates these actions determined that this action is one of a 2021 at 9:15 p.m. to 9:45 p.m., August annually and rates each agency’s category of actions that do not 25, 2021 at 9:15 p.m. through 9:45 p.m., responsiveness to small business. If you individually or cumulatively have a and September 4, 2021 at 8:00 p.m. wish to comment on actions by significant effect on the human through 8:30 p.m. employees of the Coast Guard, call environment. This rule involves a safety (c) Regulations. (1) In accordance with 1–888–REG–FAIR (1–888–734–3247). zone lasting thirty minutes that will the general regulations in § 165.23, The Coast Guard will not retaliate prohibit entry on the Lake of the Ozarks persons and vessels are prohibited from against small entities that question or between MM .75 and MM 1, extending entering the safety zone unless
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authorized by the Captain of the Port DATES: This rule is effective from 9 p.m. Captain of the Port Detroit (COTP) has Sector Upper Mississippi River (COTP) until 9:45 p.m. on June 6, 2021. determined that potential hazards or a designated representative. A ADDRESSES: To view documents associated with fireworks displays will designated representative is a mentioned in this preamble as being be a safety concern for anyone within a commissioned, warrant, or petty officer available in the docket, go to https:// 250 foot radius of the launch site. The of the U.S. Coast Guard assigned to www.regulations.gov, type USCG–2021– likely combination of recreational units under the operational control of 0316 in the ‘‘SEARCH’’ box and click vessels, darkness punctuated by bright USCG Sector Upper Mississippi River. ‘‘SEARCH.’’ Click on Open Docket flashes of light, and fireworks debris (2) Persons or vessels desiring to enter Folder on the line associated with this falling into the water presents risks of into or pass through the zone must rule. collisions which could result in serious request permission from the COTP or a FOR FURTHER INFORMATION CONTACT: If injuries or fatalities. This rule is needed designated representative. They may be you have questions on this rule, call or to protect personnel, vessels, and the contacted on VHF radio Channel 16 or email MST2 Jacob Haan, Waterways marine environment in the navigable by telephone at 314–269–2332. Department, Marine Safety Unit Toledo, waters within the safety zone during the (3) If permission is granted, all Coast Guard; telephone (419) 418–6040, fireworks display. persons and vessels shall comply with email [email protected]. the instructions of the COTP or IV. Discussion of the Rule SUPPLEMENTARY INFORMATION: designated representative while This rule establishes a safety zone that navigating in the regulated area. I. Table of Abbreviations will be enforced from 9 p.m. until 9:45 p.m. on June 6, 2021. The safety zone (d) Informational broadcasts. The CFR Code of Federal Regulations COTP or a designated representative DHS Department of Homeland Security will encompass all U.S. navigable will inform the public of the FR Federal Register waters of the Maumee River within a enforcement date and times for this NPRM Notice of proposed rulemaking 250 foot radius of the fireworks launch safety zone, as well as any emergent § Section site located at position 41°35′38″ N safety concerns that may delay the U.S.C. United States Code 083°35′48.6″ W. All geographic enforcement of the zone through II. Background Information and coordinates are North American Datum Broadcast Notice to Mariners (BNM) and Regulatory History of 1983 (NAD 83). or Local Notices to Mariners (LNMs). The duration of the zone is intended The Coast Guard is issuing this to protect personnel, vessels, and the R.M. Scott temporary rule without prior notice and marine environment in these navigable Captain, U.S. Coast Guard, Captain of the opportunity to comment pursuant to waters during the fireworks display. Port Sector Upper Mississippi River. authority under section 4(a) of the Entry into, transiting, or anchoring [FR Doc. 2021–11242 Filed 5–26–21; 8:45 am] Administrative Procedure Act (APA) (5 within the safety zone is prohibited BILLING CODE 9110–04–P U.S.C. 553(b)). This provision unless authorized by the Captain of the authorizes an agency to issue a rule Port, Sector Detroit or his designated without prior notice and opportunity to representative. The Captain of the Port, DEPARTMENT OF HOMELAND comment when the agency for good Sector Detroit or his designated SECURITY cause finds that those procedures are representative may be contacted via ‘‘impracticable, unnecessary, or contrary VHF Channel 16. Coast Guard to the public interest.’’ Under 5 U.S.C. 553(b)(B), the Coast Guard finds that V. Regulatory Analyses 33 CFR Part 165 good cause exists for not publishing a We developed this rule after [Docket Number USCG–2021–0316] notice of proposed rulemaking (NPRM) considering numerous statutes and with respect to this rule because the Executive orders related to rulemaking. RIN 1625–AA00 event sponsor notified the Coast Guard Below we summarize our analyses Safety Zone; Toledo Country Club with insufficient time to accommodate based on a number of these statutes and Fireworks, Maumee River, Toledo, OH the comment period. Thus, delaying the Executive orders, and we discuss First effective date of this rule to wait for the Amendment rights of protestors. AGENCY: Coast Guard, DHS. comment period to run would be A. Regulatory Planning and Review ACTION: Temporary final rule. impracticable and contrary to the public interest because it would prevent the Executive Orders 12866 and 13563 SUMMARY: The Coast Guard is Captain of the Port Detroit from keeping direct agencies to assess the costs and establishing a temporary safety zone for the public safe from the hazards benefits of available regulatory navigable waters near the Toledo associated with a maritime fireworks alternatives and, if regulation is Country Club in Toledo, OH. The safety displays. necessary, to select regulatory zone is needed to protect personnel, Under 5 U.S.C. 553(d)(3), the Coast approaches that maximize net benefits. vessels, and the marine environment Guard finds that good cause exists for This rule has not been designated a from potential hazards associated with making this rule effective less than 30 ‘‘significant regulatory action,’’ under fireworks displays created by the Toledo days after publication in the Federal Executive Order 12866. Accordingly, Country Club Fireworks event on the Register. Delaying the effective date of this rule has not been reviewed by the Maumee River. Entry of vessels or this rule would be impracticable Office of Management and Budget persons into this zone is prohibited because immediate action is needed to (OMB). unless specifically authorized by the respond to the potential safety hazards This regulatory action determination Captain of the Port Detroit, or his associated with a fireworks display. is based on the size, location, and designated representative. This duration of the safety zone. Vessel temporary safety zone is necessary to III. Legal Authority and Need for Rule traffic will be able to safely transit protect spectators and vessels from the The Coast Guard is issuing this rule around this safety zone which would hazards associated with fireworks under authority in 46 U.S.C. 70034 impact a small designated area of the displays. (previously 33 U.S.C. 1231). The Maumee River for a period of 45
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minutes during the evening when vessel D. Federalism and Indian Tribal see the ADDRESSES section of this traffic is normally low. Moreover, the Governments preamble. Coast Guard would issue a Broadcast A rule has implications for federalism G. Protest Activities Notice to Mariners via VHF–FM marine under Executive Order 13132, The Coast Guard respects the First channel 16 about the zone, and the rule Federalism, if it has a substantial direct Amendment rights of protesters. would allow vessels to seek permission effect on the States, on the relationship Protesters are asked to call or email the to enter the zone. between the National Government and person listed in the FOR FURTHER the States, or on the distribution of B. Impact on Small Entities INFORMATION CONTACT section to power and responsibilities among the coordinate protest activities so that your The Regulatory Flexibility Act of various levels of government. We have message can be received without 1980, 5 U.S.C. 601–612, as amended, analyzed this rule under that Order and jeopardizing the safety or security of requires Federal agencies to consider have determined that it is consistent people, places or vessels. the potential impact of regulations on with the fundamental federalism small entities during rulemaking. The principles and preemption requirements List of Subjects in 33 CFR Part 165 term ‘‘small entities’’ comprises small described in Executive Order 13132. Harbors, Marine safety, Navigation businesses, not-for-profit organizations Also, this rule does not have tribal (water), Reporting and record keeping that are independently owned and implications under Executive Order requirements, Security measures, operated and are not dominant in their 13175, Consultation and Coordination Waterways. fields, and governmental jurisdictions with Indian Tribal Governments, For the reasons discussed in the with populations of less than 50,000. because it does not have a substantial preamble, the Coast Guard amends 33 The Coast Guard certifies under 5 U.S.C. direct effect on one or more Indian CFR part 165 as follows: 605(b) that this rule will not have a tribes, on the relationship between the significant economic impact on a Federal Government and Indian tribes, PART 165—REGULATED NAVIGATION substantial number of small entities. or on the distribution of power and AREAS AND LIMITED ACCESS AREAS While some owners or operators of responsibilities between the Federal vessels intending to transit the safety Government and Indian tribes. ■ 1. The authority citation for part 165 continues to read as follows: zone may be small entities, for the E. Unfunded Mandates Reform Act reasons stated in section V.A above, this Authority: 33 U.S.C. 1231; 50 U.S.C. 191; rule will not have a significant The Unfunded Mandates Reform Act 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; economic impact on any vessel owner of 1995 (2 U.S.C. 1531–1538) requires Department of Homeland Security Delegation or operator. Federal agencies to assess the effects of No. 0170.1. their discretionary regulatory actions. In Under section 213(a) of the Small ■ 2. Add § 165.T09–0316 to read as particular, the Act addresses actions Business Regulatory Enforcement follows: Fairness Act of 1996 (Public Law 104– that may result in the expenditure by a 121), we want to assist small entities in State, local, or tribal government, in the § 165.T09–0316 Safety Zone; Toledo understanding this rule. If the rule aggregate, or by the private sector of Country Club Fireworks, Maumee River, Toledo, OH. would affect your small business, $100,000,000 (adjusted for inflation) or organization, or governmental more in any one year. Though this rule (a) Location. The following area is a jurisdiction and you have questions will not result in such an expenditure, temporary safety zone: All U.S. concerning its provisions or options for we do discuss the effects of this rule navigable waters of the Maumee River compliance, please call or email the elsewhere in this preamble. within a 250 foot radius of the fireworks launch site located at position 41°35′38″ person listed in the FOR FURTHER F. Environment ° ′ ″ INFORMATION CONTACT section. N 083 35 48.6 W. All geographic We have analyzed this rule under coordinates are North American Datum Small businesses may send comments Department of Homeland Security of 1983 (NAD 83). on the actions of Federal employees Directive 023–01, Rev. 1, associated (b) Enforcement period. This who enforce, or otherwise determine implementing instructions, and regulation will be enforced from 9 p.m. compliance with, Federal regulations to Environmental Planning COMDTINST until 9:45 p.m. on June 6, 2021. The the Small Business and Agriculture 5090.1 (series), which guide the Coast Captain of the Port Detroit, or a Regulatory Enforcement Ombudsman Guard in complying with the National designated representative may suspend and the Regional Small Business Environmental Policy Act of 1969 (42 enforcement of the safety zone at any Regulatory Fairness Boards. The U.S.C. 4321–4370f), and have time. Ombudsman evaluates these actions determined that this action is one of a (c) Regulations. (1) In accordance with annually and rates each agency’s category of actions that do not the general regulations in § 165.23 of responsiveness to small business. If you individually or cumulatively have a this part, entry into, transiting or wish to comment on actions by significant effect on the human anchoring within this safety zone is employees of the Coast Guard, call environment. This rule involves a safety prohibited unless authorized by the 1–888–REG–FAIR (1–888–734–3247). zone lasting only 45 minutes that will Captain of the Port Detroit, or his The Coast Guard will not retaliate prohibit entry within 250 foot radius of designated representative. against small entities that question or where the fireworks display will be (2) This safety zone is closed to all complain about this rule or any policy conducted.It is categorically excluded vessel traffic, except as may be or action of the Coast Guard. from further review under paragraph permitted by the Captain of the Port C. Collection of Information L[60(a)] of Appendix A, Table 1 of DHS Detroit or his designated representative. Instruction Manual 023–01–001–01, (3) The ‘‘designated representative’’ of This rule will not call for a new Rev. 1. A Record of Environmental the Captain of the Port Detroit is any collection of information under the Consideration supporting this Coast Guard commissioned, warrant, or Paperwork Reduction Act of 1995 (44 determination is available in the docket. petty officer who has been designated U.S.C. 3501–3520). For instructions on locating the docket, by the Captain of the Port Detroit to act
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on his behalf. The designated FOR FURTHER INFORMATION CONTACT: the State implementation plan, have representative of the Captain of the Port Kevin Leone, Air and Radiation been incorporated by reference by the Detroit will be aboard either a Coast Division, EPA, Region 8, Mailcode EPA into that plan, are fully federally Guard or Coast Guard Auxiliary vessel. 8ARD–IO, 1595 Wynkoop Street, enforceable under sections 110 and 113 The Captain of the Port Detroit or his Denver, Colorado, 80202–1129, (303) of the CAA as of the effective date of the designated representative may be 312–6227, [email protected]. final rulemaking of the EPA’s approval, contacted via VHF Channel 16. SUPPLEMENTARY INFORMATION: and will be incorporated by reference in (4) Vessel operators desiring to enter Throughout this document ‘‘we,’’ ‘‘us,’’ the next update to the SIP compilation.1 or operate within the safety zone shall and ‘‘our’’ means the EPA. contact the Captain of the Port Detroit V. Statutory and Executive Order or his designated representative to I. Background Reviews obtain permission to do so. Vessel The background for this action is Under the Clean Air Act, the operators given permission to enter or discussed in detail in our March 15, Administrator is required to approve a operate in the safety zone must comply 2021 proposed rule (48 FR 14297). In SIP submission that complies with the with all directions given to them by the that document we proposed to approve provisions of the Act and applicable Captain of the Port Detroit or his the addition of R307–401–10(6), which Federal regulations. 42 U.S.C. 7410(k); designated representative. adds gasoline dispensing facilities as 40 CFR 52.02(a). Thus, in reviewing SIP Dated: May 20, 2021. exempt from going through the approval submissions, the EPA’s role is to approve state choices, provided that Brad W. Kelly, order process, as outlined in R307–401, unless they are otherwise major sources, they meet the criteria of the Clean Air Captain, U.S. Coast Guard, Captain of the Act. Accordingly, this action merely Port Detroit. by adding the following language to the State of Utah’s permitting program in approves state law as meeting Federal [FR Doc. 2021–11274 Filed 5–26–21; 8:45 am] R307–401–10(6): requirements and does not impose BILLING CODE 9110–04–P ‘‘A gasoline dispensing facility as defined additional requirements beyond those in 40 CFR 63.11132 that is not a major source imposed by state law. For that reason, as defined in R307–101–2. These sources this action: ENVIRONMENTAL PROTECTION shall comply with the applicable • Is not a ‘‘significant regulatory AGENCY requirements of R307–328 (Gasoline Transfer action’’ subject to review by the Office and Storage) and 40 CFR part 63, subpart of Management and Budget under 40 CFR Part 52 CCCCCC: National Emission Standards for Executive Orders 12866 (58 FR 51735, [EPA–R08–OAR–2021–0056; FRL–10024– Hazardous Air Pollutants for Source October 4, 1993) and 13563 (76 FR 3821, 14–Region 8] Category: Gasoline Dispensing Facilities.’’ January 21, 2011); We invited comments on all aspects • Does not impose an information Approval and Promulgation of of our proposed rulemaking and collection burden under the provisions Implementation Plans; Utah; Source provided a 30-day comment period. The of the Paperwork Reduction Act (44 Category Exemptions comment period ended on April 15, U.S.C. 3501 et seq.); • Is certified as not having a AGENCY: Environmental Protection 2021. significant economic impact on a Agency (EPA). II. Response to Comments substantial number of small entities ACTION: Final rule. We received no comments during the under the Regulatory Flexibility Act (5 SUMMARY: The Environmental Protection public comment period. U.S.C. 601 et seq.); • Does not contain any unfunded Agency (EPA) is taking final action to III. Final Action approve the State of Utah’s Source mandate or significantly or uniquely For reasons outlined in our March 15, Category Exemptions Revisions as affect small governments, described in 2021 proposed rulemaking, we are submitted on November 5, 2019. The the Unfunded Mandates Reform Act of taking final action to approve the EPA is taking this action pursuant to 1995 (Pub. L. 104–4); addition of R307–401–10(6) as • section 110 of the Clean Air Act (CAA). Does not have Federalism submitted by Utah on November 5, implications as specified in Executive DATES: This rule is effective on June 28, 2019. Order 13132 (64 FR 43255, August 10, 2021. IV. Incorporation by Reference 1999); ADDRESSES: The EPA has established a • Is not an economically significant docket for this action under Docket ID In this document, the EPA is regulatory action based on health or No. EPA–R08–OAR–R08–2021–0056. finalizing regulatory text that includes safety risks subject to Executive Order All documents in the docket are listed incorporation by reference. In 13045 (62 FR 19885, April 23, 1997); on the http://www.regulations.gov accordance with requirements of 1 CFR • Is not a significant regulatory action website. Although listed in the index, 51.5, the EPA is finalizing the subject to Executive Order 13211 (66 FR some information is not publicly incorporation by reference of the State 28355, May 22, 2001); available, e.g., CBI or other information of Utah’s State Implementation Plan as • Is not subject to requirements of whose disclosure is restricted by statute. described in sections I and III of this section 12(d) of the National Certain other material, such as preamble. The EPA has made, and will Technology Transfer and Advancement copyrighted material, is not placed on continue to make, these materials Act of 1995 (15 U.S.C. 272 note) because the internet and will be publicly generally available through application of those requirements would available only in hard copy form. www.regulations.gov and at the EPA be inconsistent with the CAA; and Publicly available docket materials are Region 8 Office (please contact the • Does not provide EPA with the available through http:// person identified in the FOR FURTHER discretionary authority to address, as www.regulations.gov, or please contact INFORMATION CONTACT section of this appropriate, disproportionate human the person identified in the FOR FURTHER preamble for more information). health or environmental effects, using INFORMATION CONTACT section for Therefore, these materials have been additional availability information. approved by the EPA for inclusion in 1 62 FR 27968 (May 22, 1997).
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practicable and legally permissible States prior to publication of the rule in Lead, Nitrogen dioxide, Ozone, methods, under Executive Order 12898 the Federal Register. A major rule Particulate matter, Reporting and (59 FR 7629, February 16, 1994). cannot take effect until 60 days after it recordkeeping requirements, Sulfur In addition, the SIP is not approved is published in the Federal Register. oxides, Volatile organic compounds. to apply on any Indian reservation land This action is not a ‘‘major rule’’ as Dated: May 20, 2021. or in any other area where EPA or an defined by 5 U.S.C. 804(2). Debra H. Thomas, Indian tribe has demonstrated that a Under section 307(b)(1) of the Clean Acting Regional Administrator, Region 8. tribe has jurisdiction. In those areas of Air Act, petitions for judicial review of Indian country, the rule does not have this action must be filed in the United 40 CFR part 52 is amended as follows: tribal implications and will not impose States Court of Appeals for the PART 52—APPROVAL AND substantial direct costs on tribal appropriate circuit by July 26, 2021. PROMULGATION OF governments or preempt tribal law as Filing a petition for reconsideration by IMPLEMENTATION PLANS specified by Executive Order 13175 (65 the Administrator of this final rule does FR 67249, November 9, 2000). not affect the finality of this action for ■ 1. The authority for citation for part 52 The Congressional Review Act, 5 the purposes of judicial review nor does continues to read as follows: U.S.C. 801 et seq., as added by the Small it extend the time within which a Business Regulatory Enforcement petition for judicial review may be filed, Authority: 42 U.S.C. 7401 et seq. Fairness Act of 1996, generally provides and shall not postpone the effectiveness Subpart TT—Utah that before a rule may take effect, the of such rule or action. This action may agency promulgating the rule must not be challenged later in proceedings to ■ 2. In § 52.2320, amend the table in submit a rule report, which includes a enforce its requirements (see section paragraph (c) by revising the entry copy of the rule, to each House of the 307(b)(2)). ‘‘R307–401–10’’ under the heading Congress and to the Comptroller General List of Subjects in 40 CFR Part 52 entitled ‘‘R307–401. Permit: New and of the United States. EPA will submit a Modified Sources’’ to read as follows: report containing this action and other Environmental protection, Air required information to the U.S. Senate, pollution control, Carbon monoxide, § 52.2320 Identification of plan. the U.S. House of Representatives, and Greenhouse gases, Incorporation by * * * * * the Comptroller General of the United reference, Intergovernmental relations, (c) * * *
State Rule No. Rule title effective Final rule Comments date citation, date
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R307–401 Permit: New and Modified Sources
******* R307–401–10 ... Source Category Exemptions ...... 08/02/2018 [insert Federal Register citation], 5/27/ 2021.
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* * * * * State Implementation Plan (SIP) that Infrastructure and Ozone Section, 214– [FR Doc. 2021–11189 Filed 5–26–21; 8:45 am] pertains to the Texas Diesel Emissions 665–6645, [email protected]. Out of BILLING CODE 6560–50–P Reduction Incentive Program, submitted an abundance of caution for members of on August 13, 2020. the public and our staff, the EPA Region DATES: This rule is effective on June 28, 6 office will be closed to the public to ENVIRONMENTAL PROTECTION 2021. reduce the risk of transmitting COVID– AGENCY ADDRESSES: The EPA has established a 19. Please call or email the contact listed above if you need alternative 40 CFR Part 52 docket for this action under Docket ID No. EPA–R06–OAR–2020–0713. All access to material indexed but not [EPA–R06–OAR–2020–0713; FRL–10024– documents in the docket are listed on provided in the docket. 03–Region 6] the https://www.regulations.gov SUPPLEMENTARY INFORMATION: website. Although listed in the index, Throughout this document ‘‘we,’’ ‘‘us,’’ Air Plan Approval; Texas; Revisions to some information is not publicly and ‘‘our’’ means the EPA. the Texas Diesel Emissions Reduction available, e.g., Confidential Business Incentive Program Information or other information whose I. Background AGENCY: Environmental Protection disclosure is restricted by statute. The background for this action is Agency (EPA). Certain other material, such as discussed in detail in our March 16, copyrighted material, is not placed on ACTION: Final rule. 2021 proposal (86 FR 14396). In that the internet. Publicly available docket document, we proposed to approve a SUMMARY: Pursuant to the Federal Clean materials are available electronically revision to the Texas SIP that pertains Air Act (CAA or the Act), the through https://www.regulations.gov. to the Texas Diesel Emissions Reduction Environmental Protection Agency (EPA) FOR FURTHER INFORMATION CONTACT: Carl Incentive Program. Specifically, we is approving a revision to the Texas Young, EPA Region 6 Office, proposed to approve revisions to 30
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TAC 114.622 and 114.629 adopted on described in the Final Action section Technology Transfer and Advancement June 10, 2020 and submitted on August above. The EPA has made, and will Act of 1995 (15 U.S.C. 272 note) because 13, 2020. The revisions: (1) Lowered the continue to make, these materials application of those requirements would required minimum usage for grant- generally available through be inconsistent with the CAA; and funded vehicles and equipment in the www.regulations.gov (please contact the • Does not provide EPA with the eligible area from 75% to 55% and (2) FOR FURTHER person identified in the discretionary authority to address, as removed Victoria County from the list of INFORMATION CONTACT section of this appropriate, disproportionate human counties eligible for program grants. preamble for more information). health or environmental effects, using We received a comment on the Therefore, these materials have been practicable and legally permissible proposal. The original comment is in approved by EPA for inclusion in the the docket to this rulemaking action. SIP, have been incorporated by methods, under Executive Order 12898 Our response to the comment is reference by EPA into that plan, are (59 FR 7629, February 16, 1994). discussed below. fully federally enforceable under In addition, the SIP is not approved II. Response to Comments sections 110 and 113 of the CAA as of to apply on any Indian reservation land the effective date of the final rulemaking or in any other area where EPA or an Comment: A comment was received of EPA’s approval, and will be Indian tribe has demonstrated that a that supports the market based incorporated by reference in the next tribe has jurisdiction. In those areas of economic incentive strategy to reduce update to the SIP compilation. Indian country, the rule does not have diesel emissions as a step in the right V. Statutory and Executive Order tribal implications and will not impose direction, towards transitioning to substantial direct costs on tribal clean, renewable energy, and ultimately Reviews governments or preempt tribal law as mitigating climate change. The Under the Clean Air Act, the specified by Executive Order 13175 (65 commenter also asked what would Administrator is required to approve a FR 67249, November 9, 2000). incentivize the people of Victoria SIP submission that complies with the County to continue reducing their diesel provisions of the Act and applicable The Congressional Review Act, 5 emissions if they are not eligible for Federal regulations. 42 U.S.C. 7410(k); U.S.C. 801 et seq., as added by the Small grants under the State program, even 40 CFR 52.02(a). Thus, in reviewing SIP Business Regulatory Enforcement though the County is meeting current submissions, the EPA’s role is to Fairness Act of 1996, generally provides emission standards. approve state choices, provided that that before a rule may take effect, the Response: We appreciate the support they meet the criteria of the Clean Air agency promulgating the rule must for the Diesel Emissions Reduction Act. Accordingly, this action merely submit a rule report, which includes a Incentive Program (DERIP) that is approves state law as meeting Federal copy of the rule, to each House of the administered by the State of Texas. As requirements and does not impose Congress and to the Comptroller General we noted in our proposal, DERIP is a additional requirements beyond those of the United States. EPA will submit a voluntary incentive program. It is not a imposed by state law. For that reason, report containing this action and other requirement of the CAA. Its inclusion in this action: required information to the U.S. Senate, the SIP is discretionary and revisions • Is not a ‘‘significant regulatory the U.S. House of Representatives, and can be made as long as they do not action’’ subject to review by the Office the Comptroller General of the United contribute to nonattainment or interfere of Management and Budget under States prior to publication of the rule in with maintenance of the NAAQS. We Executive Orders 12866 (58 FR 51735, the Federal Register. A major rule also note that Victoria County is in October 4, 1993) and 13563 (76 FR 3821, cannot take effect until 60 days after it attainment of all the ozone NAAQS and January 21, 2011); is published in the Federal Register. the State may elect which counties • Does not impose an information This action is not a ‘‘major rule’’ as participate in this voluntary program. collection burden under the provisions defined by 5 U.S.C. 804(2). Similar to the Texas program, the EPA of the Paperwork Reduction Act (44 administers the Diesel Emission U.S.C. 3501 et seq.); Under section 307(b)(1) of the Clean Reduction Act (DERA) Program. This • Is certified as not having a Air Act, petitions for judicial review of national program offers funding for significant economic impact on a this action must be filed in the United projects that reduce diesel emissions substantial number of small entities States Court of Appeals for the from existing engines. The people of under the Regulatory Flexibility Act (5 appropriate circuit by July 26, 2021. Victoria County are eligible for grants U.S.C. 601 et seq.); Filing a petition for reconsideration by from this program. More information on • Does not contain any unfunded the Administrator of this final rule does the DERA program is available at: mandate or significantly or uniquely not affect the finality of this action for https://www.epa.gov/dera. affect small governments, described in the purposes of judicial review nor does the Unfunded Mandates Reform Act of III. Final Action it extend the time within which a 1995 (Pub. L. 104–4); petition for judicial review may be filed, • We are approving the revisions to 30 Does not have federalism and shall not postpone the effectiveness TAC 114.622 and 114.629 adopted on implications as specified in Executive of this action. This action may not be June 10, 2020 and submitted on August Order 13132 (64 FR 43255, August 10, challenged later in proceedings to 13, 2020. 1999); enforce its requirements. (See section • Is not an economically significant IV. Incorporation by Reference 307(b)(2).) regulatory action based on health or In this rule, the EPA is finalizing safety risks subject to Executive Order List of Subjects in 40 CFR Part 52 regulatory text that includes 13045 (62 FR 19885, April 23, 1997); incorporation by reference. In • Is not a significant regulatory action Environmental protection, Air accordance with requirements of 1 CFR subject to Executive Order 13211 (66 FR pollution control, Incorporation by 51.5, the EPA is finalizing the 28355, May 22, 2001); reference, Nitrogen dioxide, Ozone, incorporation by reference of the • Is not subject to requirements of Particulate matter, Reporting and revisions to the Texas regulations as section 12(d) of the National recordkeeping requirements.
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Dated: May 20, 2021. PART 52—APPROVAL AND Subpart SS—Texas David Gray, PROMULGATION OF ■ Acting Regional Administrator, Region 6. IMPLEMENTATION PLANS 2. In § 52.2270(c), amend the table titled ‘‘EPA Approved Regulations in For the reasons stated in the ■ 1. The authority citation for part 52 the Texas SIP’’ by revising the entries preamble, the Environmental Protection continues to read as follows: for ‘‘Section 114.622’’ and ‘‘Section Agency amends 40 CFR part 52 as 114.629’’ to read as follows: Authority: 42 U.S.C. 7401 et seq. follows: § 52.2270 Identification of plan. * * * * * (c) * * *
EPA APPROVED REGULATIONS IN THE TEXAS SIP
State State citation Title/subject approval/ EPA approval date Explanation submittal date
*******
Chapter 114 (Reg 4)—Control of Air Pollution From Motor Vehicles
*******
Subchapter K—Mobile Source Incentive Programs
Section 114.622 ...... Incentive Program Requirements .. 6/10/2020 5/27/2021, [Insert Federal Reg- ister citation].
******* Section 114.629 ...... Affected Counties and Implemen- 6/10/2020 5/27/2021, [Insert Federal Reg- tation Schedule. ister citation].
*******
* * * * * Warren-Sharon Area (Youngstown Area) 19103. The telephone number is (215) [FR Doc. 2021–11182 Filed 5–26–21; 8:45 am] of Pennsylvania. EPA is approving these 814–2926. Ms. Paga´n-Incle can also be BILLING CODE 6560–50–P revisions to the Pennsylvania SIP in reached via electronic mail at pagan- accordance with the requirements of the [email protected]. Clean Air Act (CAA). SUPPLEMENTARY INFORMATION: ENVIRONMENTAL PROTECTION DATES: This final rule is effective on AGENCY June 28, 2021. I. Background 40 CFR Part 52 ADDRESSES: EPA has established a On October 30, 2020 (85 FR 68826), docket for this action under Docket ID EPA published a notice of proposed [EPA–R03–OAR–2020–0320; FRL–10023– Number EPA–R03–OAR–2020–0320. All rulemaking (NPRM) for the 70–Region 3] documents in the docket are listed on Commonwealth of Pennsylvania, which the https://www.regulations.gov was later reopened to public comment Air Plan Approval; Pennsylvania; 1997 website. Although listed in the index, on March 1, 2021 (86 FR 11915). In the 8-Hour Ozone National Ambient Air some information is not publicly NPRM, EPA proposed approval of Quality Standard Second Maintenance available, e.g., confidential business Pennsylvania’s plan for maintaining the Plan for the Youngstown-Warren- information (CBI) or other information 1997 ozone NAAQS in the Youngstown Sharon Area whose disclosure is restricted by statute. Area through November 19, 2027, in AGENCY: Environmental Protection Certain other material, such as accordance with CAA section 175A. The Agency (EPA). copyrighted material, is not placed on formal SIP revision was submitted by ACTION: Final rule. the internet and will be publicly PADEP on March 10, 2020. available only in hard copy form. II. Summary of SIP Revision and EPA SUMMARY: The Environmental Protection Publicly available docket materials are Agency (EPA) is approving a state available through https:// Analysis implementation plan (SIP) revision www.regulations.gov, or please contact On October 19, 2007 (72 FR 59213, submitted by the Commonwealth of the person identified in the For Further effective November 19, 2007), EPA Pennsylvania. This revision pertains to Information Contact section for approved a redesignation request (and the Commonwealth’s plan, submitted by additional availability information. maintenance plan) from PADEP for the the Pennsylvania Department of FOR FURTHER INFORMATION CONTACT: Youngstown Area. Per CAA section Environmental Protection (PADEP), for Keila M. Paga´n-Incle, Planning & 175A(b), at the end of the eighth year maintaining the 1997 8-hour ozone Implementation Branch (3AD30), Air & after the effective date of the national ambient air quality standard Radiation Division, U.S. Environmental redesignation, the state must also (NAAQS) (referred to as the ‘‘1997 Protection Agency, Region III, 1650 submit a second maintenance plan to ozone NAAQS’’) for the Youngstown- Arch Street, Philadelphia, Pennsylvania ensure ongoing maintenance of the
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standard for an additional 10 years, and related to the maintenance of the 1997 time. If EPA’s understanding is correct, in South Coast Air Quality Management ozone NAAQS federally enforceable as EPA agrees with this fact, but does not District v. EPA,1 the D.C. Circuit held part of the Pennsylvania SIP. Other agree that this has any bearing on the that this requirement cannot be waived specific requirements of PADEP’s March approvability of the contingency for areas, like the Youngstown Area, 10, 2020 submittal and the rationale for measures or of the overall LMP. that had been redesignated to EPA’s proposed action are explained in PADEP identifies six non-regulatory attainment for the 1997 ozone NAAQS the NPRM and will not be restated here. measures and two regulatory measures. prior to revocation and that were III. EPA’s Response to Comments The two regulatory measures are designated attainment for the 2008 Received ‘‘additional controls’’ on consumer ozone NAAQS. CAA section 175A sets products and portable fuel containers. EPA received two comments on the forth the criteria for adequate The six non-regulatory measures are: October 30, 2020 NPRM, which were maintenance plans. In addition, EPA Voluntary diesel engine ‘‘chip reflash;’’ not related to air quality issues, and one has published longstanding guidance diesel retrofit for public or private local relevant comment on the March 1, 2021 that provides further insight on the onroad or offroad fleets; idling reopened NPRM. All comments content of an approvable maintenance reduction technology for Class 2 yard received are in the docket for this plan, explaining that a maintenance locomotives; idling technologies or rulemaking action. plan should address five elements: (1) strategies for truck stops, warehouses, An attainment emissions inventory; (2) Comment and other freight-handling facilities; a maintenance demonstration; (3) a The commenter asserts that the LMP accelerated turnover of lawn and garden commitment for continued air quality equipment; additional promotion of monitoring; (4) a process for verification should not be approved because ‘‘Pennsylvania identifies no actual alternative fuel for home heating and of continued attainment; and (5) a agriculture use. As stated in the contingency plan.2 PADEP’s March 10, contingency measures.’’ According to the commenter, a ‘‘contingency measure Calcagni memo, EPA’s long-standing 2020 SIP submittal fulfills interpretation is that contingency Pennsylvania’s obligation to submit a is supposed to be a known measure that can be quickly implemented by a state measures for maintenance of the second maintenance plan and addresses NAAQS are not required to be fully each of the five necessary elements. in order to prevent the violation of the adopted in order to be approved. The As discussed in the October 30, 2020, NAAQS.’’ The comment asserts that commenter refers to a recent court case NPRM, consistent with longstanding current contingency measures are EPA’s guidance,3 areas that meet certain defective because they allegedly will not vacating, among other things, the criteria may be eligible to submit a be evaluated and determined until after contingency measure provisions in limited maintenance plan (LMP) to an exceedance of the NAAQS has EPA’s rule for implementing the 2015 satisfy one of the requirements of CAA occurred, and that a ‘‘contingency ozone NAAQS, Sierra Club v. EPA, No. section 175A. Specifically, states may measure must be clearly identified and 15–1465 (D.C. Cir. January 29, 2021). It meet CAA section 175A’s requirements not an abstract promise of determining, is possible that the commenter has to ‘‘provide for maintenance’’ by at a later date, whether measures are conflated the contingency measure demonstrating that an area’s design needed and what measures would be provisions at issue in that case, which values 4 are well below the NAAQS and proposed.’’ pertained to attainment plans, and those that it has had historical stability The comment claims that EPA is at issue in this LMP, which pertain to attaining the NAAQS. EPA evaluated aware Pennsylvania has a history of not maintenance plans. The contingency Pennsylvania’s March 10, 2020 meeting its CAA requirements on time, measure provisions for maintenance and submittal for consistency with all and that it can take Pennsylvania more attainment are found in two different applicable EPA guidance and CAA than two years to implement a sections of the CAA, with substantially requirements. EPA found that the regulation, which would be too long to different wording and requirements. submittal met CAA section 175A and all prevent a violation of the NAAQS. The attainment plan contingency CAA requirements, and proposed Further, the commenter asserts that the measures provisions in CAA Section approval of the LMP for the EPA should disapprove ‘‘a state’s 172(c)(9) require that the attainment Youngstown Area as a revision to the contingency plan that merely promises plan have ‘‘specific measures’’ that can Pennsylvania SIP. The effect of this to later review conditions, determine ‘‘take effect in any such case without action makes certain commitments whether measures are necessary and further action by the State or the what they should be, and then Administrator’’ if the area fails to make 1 882 F.3d 1138 (D.C. Cir. 2018). implement them.’’ reasonable further progress or attain the 2 ‘‘Procedures for Processing Requests to NAAQS. 42 U.S.C. 7502(c)(9). Section Redesignate Areas to Attainment,’’ Memorandum Response 175A of the CAA sets forth the from John Calcagni, Director, Air Quality The commenter asserts that contingency measure requirements for Management Division, September 4, 1992 (Calcagni Memo). Pennsylvania identifies no actual maintenance areas. Section 175A(d) 3 See ‘‘Limited Maintenance Plan Option for contingency measures because the requires that the maintenance plan Nonclassifiable Ozone Nonattainment Areas’’ from measures are not yet ‘‘evaluated’’ and contain ‘‘such contingency provisions as Sally L. Shaver, Office of Air Quality Planning and ‘‘determined’’ and cannot be the Administrator deems necessary to Standards (OAQPS), dated November 16, 1994; ‘‘Limited Maintenance Plan Option for implemented before a violation of the assure that the State will promptly Nonclassifiable CO Nonattainment Areas’’ from NAAQS occurs. Because Pennsylvania correct any violation of the standard Joseph Paisie, OAQPS, dated October 6, 1995; and identifies two regulatory and six non- which occurs after the redesignation of ‘‘Limited Maintenance Plan Option for Moderate regulatory contingency measures in the area as an attainment area.’’ 42 PM10 Nonattainment Areas’’ from Lydia Wegman, OAQPS, dated August 9, 2001. general terms, EPA understands the U.S.C. 7505a(d). Unlike Section 4 The ozone design value for a monitoring site is comment’s use of the term ‘‘evaluated’’ 172(c)(9) there is no requirement under the 3-year average of the annual fourth-highest daily and ‘‘determined’’ must mean section 175A that the contingency maximum 8-hour average ozone concentrations. something like the specific measures measures be set forth with specificity or The design value for an ozone nonattainment area is the highest design value of any monitoring site identified by PADEP have not been fully that they be able to take effect without in the area. promulgated and are not in effect at this further action by EPA or the State.
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With this statutory background in which provides specific lists of Technology Transfer and Advancement mind, EPA does not agree that the plan regulatory and non-regulatory measures Act of 1995 (15 U.S.C. 272 note) because should be disapproved due to PADEP’s (not a ‘‘promise’’ to determine measures application of those requirements would ability to promulgate a contingency at a later date) that the state would be inconsistent with the CAA; and measure in sufficient time to avert a consider after evaluating and assessing • Does not provide EPA with the violation of the NAAQS. As noted what it believed to be the cause of discretionary authority to address, as previously, CAA section 175A(d) increased ozone concentrations, and the appropriate, disproportionate human mandates that a maintenance plan must specific timeframes it would use to health or environmental effects, using contain ‘‘such contingency provisions as expediently implement the various practicable and legally permissible the Administrator deems necessary to measures, meets the requirements of methods, under Executive Order 12898 assure that the State will promptly CAA section 175A. (59 FR 7629, February 16, 1994). correct any violation of the standard IV. Final Action In addition, this rule does not have which occurs after the redesignation of tribal implications as specified by the area as an attainment area.’’ EPA is approving the 1997 ozone Executive Order 13175 (65 FR 67249, (emphasis added). The statute therefore NAAQS limited maintenance plan for November 9, 2000), because the SIP is does not include any requirement that a the Youngstown Area as a revision to not approved to apply in Indian country maintenance plan’s contingency the Pennsylvania SIP. located in the State, and EPA notes that measures prevent a violation of the V. Statutory and Executive Order it will not impose substantial direct NAAQS, but rather only that those Reviews costs on tribal governments or preempt selected measures be available to tribal law. address a violation of the NAAQS after A. General Requirements it already occurs. Pennsylvania also B. Submission to Congress and the Under the CAA, the Administrator is Comptroller General elected to adopt a ‘‘warning level required to approve a SIP submission response,’’ which states that PADEP will that complies with the provisions of the The Congressional Review Act, 5 consider adopting contingency CAA and applicable Federal regulations. U.S.C. 801 et seq., as added by the Small measures if, for two consecutive years, 42 U.S.C. 7410(k); 40 CFR 52.02(a). Business Regulatory Enforcement the fourth highest eight-hour ozone Thus, in reviewing SIP submissions, Fairness Act of 1996, generally provides concentrations at any monitor in the EPA’s role is to approve state choices, that before a rule may take effect, the area are above 84 parts per billion (ppb). provided that they meet the criteria of agency promulgating the rule must But this warning level response is not the CAA. Accordingly, this action submit a rule report, which includes a required under the CAA, and therefore merely approves state law as meeting copy of the rule, to each House of the we do not agree with the commenter Federal requirements and does not Congress and to the Comptroller General that the plan should be disapproved impose additional requirements beyond of the United States. EPA will submit a based on the commenter’s concern over those imposed by state law. For that report containing this action and other the timeliness of the warning level reason, this action: required information to the U.S. Senate, response implementation. • Is not a ‘‘significant regulatory the U.S. House of Representatives, and Moreover, as a general matter, we do action’’ subject to review by the Office the Comptroller General of the United not agree that the schedules for of Management and Budget under States prior to publication of the rule in implementation of contingency Executive Orders 12866 (58 FR 51735, the Federal Register. A major rule provisions in the LMP are insufficient. October 4, 1993) and 13563 (76 FR 3821, cannot take effect until 60 days after it As noted, the CAA provides some January 21, 2011); is published in the Federal Register. degree of flexibility in assessing a • Does not impose an information This action is not a ‘‘major rule’’ as maintenance plan’s contingency collection burden under the provisions defined by 5 U.S.C. 804(2). measures—requiring that the plan of the Paperwork Reduction Act (44 C. Petitions for Judicial Review contain such contingency provisions ‘‘as U.S.C. 3501 et seq.); the Administrator deems necessary’’ to • Is certified as not having a Under section 307(b)(1) of the CAA, assure that any violations of the NAAQS significant economic impact on a petitions for judicial review of this will be ‘‘promptly’’ corrected. EPA’s substantial number of small entities action must be filed in the United States longstanding guidance for under the Regulatory Flexibility Act (5 Court of Appeals for the appropriate redesignations, the Calcagni Memo, also U.S.C. 601 et seq.); circuit by July 26, 2021. Filing a petition does not provide precise parameters for • Does not contain any unfunded for reconsideration by the Administrator what strictly constitutes ‘‘prompt’’ mandate or significantly or uniquely of this final rule does not affect the implementation of contingency affect small governments, as described finality of this action for the purposes of measures, noting that, for purposes of in the Unfunded Mandates Reform Act judicial review nor does it extend the CAA section 175A, ‘‘a state is not of 1995 (Pub. L. 104–4); time within which a petition for judicial required to have fully adopted • Does not have Federalism review may be filed, and shall not contingency measures that will take implications as specified in Executive postpone the effectiveness of such rule effect without further action by the state Order 13132 (64 FR 43255, August 10, or action. This action pertaining to in order for the maintenance plan to be 1999); Pennsylvania’s limited maintenance approved.’’ Calcagni memo at 12. • Is not an economically significant plan for the Youngstown Area may not However, the guidance does state that regulatory action based on health or be challenged later in proceedings to the plan should ensure that the safety risks subject to Executive Order enforce its requirements. (See section measures are adopted ‘‘expediently’’ 13045 (62 FR 19885, April 23, 1997); 307(b)(2).) once they are triggered, and should • Is not a significant regulatory action List of Subjects in 40 CFR Part 52May provide ‘‘a schedule and procedure for subject to Executive Order 13211 (66 FR 27, 2021June 28, 2021July 26, 2021 adoption and implementation, and a 28355, May 22, 2001); specific time limit for action by the • Is not subject to requirements of Environmental protection, Air state.’’ Id. We think the State’s plan, section 12(d) of the National pollution control, Incorporation by
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reference, Nitrogen dioxide, Ozone, PART 52—APPROVAL AND for ‘‘1997 8-Hour Ozone National Volatile organic compounds. PROMULGATION OF Ambient Air Quality Standard Second Dated: May 19, 2021. IMPLEMENTATION PLANS Maintenance Plan for the Youngstown- Warren-Sharon Area’’ at the end of the Diana Esher, ■ 1. The authority citation for part 52 table to read as follows: Acting Regional Administrator, Region III. continues to read as follows: § 52.2020 Identification of plan. For the reasons stated in the Authority: 42 U.S.C. 7401 et seq. * * * * * preamble, the EPA amends 40 CFR part Subpart NN—Pennsylvania 52 as follows: (e) * * * ■ 2. In § 52.2020, the table in paragraph (1) * * * (e)(1) is amended by adding the entry
State Name of non-regulatory SIP revision Applicable geographic submittal EPA approval date Additional explanation area date
******* 1997 8-Hour Ozone National Ambient Youngstown-Warren- 3/10/20 5/27/21, [insert Federal The Youngstown-Warren-Sharon Air Quality Standard Second Main- Sharon Area. Register citation]. area consists of Youngstown bor- tenance Plan for the Youngstown- ough in Westmoreland County, Warren-Sharon Area. Warren County, and Sharon, a city in Mercer County.
* * * * * comments, we will publish a timely I. Background [FR Doc. 2021–11166 Filed 5–26–21; 8:45 am] withdrawal in the Federal Register BILLING CODE 6560–50–P informing the public that the rule will Following internal procurement not take effect. management reviews, GSA identified the need to improve certain ADDRESSES: Submit comments in credentialing administration processes GENERAL SERVICES response to GSAR Case 2020–G525 to: ADMINISTRATION Regulations.gov: https:// for contractors. GSA is amending the www.regulations.gov. Submit comments GSAR to clarify the personal identity [GSAR Case 2020–G525; Docket No. 2021– verification requirements in GSAR 0012; Sequence No. 1] via the Federal eRulemaking portal by searching for ‘‘GSAR Case 2020–G525’’. Clause 552.204–9. The clause currently RIN 3090–AK26 Select the link ‘‘Comment Now’’ that references a very broad credentialing corresponds with GSAR Case 2020– website, which does not clearly identify General Services Administration G525. Follow the instructions provided the requirements for contractors to Acquisition Regulation; Personal at the ‘‘Comment Now’’ screen. Please follow. Identity Verification Requirements include your name, company name (if II. Authority for This Rulemaking Clarification any), and ‘‘GSAR Case 2020–G525’’ on AGENCY: Office of Acquisition Policy, your attached document. If your Title 40 of the United States Code General Services Administration (GSA). comment cannot be submitted using (U.S.C.) Section 121 authorizes GSA to https://www.regulations.gov, call or issue regulations, including the GSAR, ACTION: Direct final rule. email the points of contact in the FOR to control the relationship between GSA SUMMARY: The General Services FURTHER INFORMATION CONTACT section of and contractors. this document for alternate instructions. Administration (GSA) is amending the III. Discussion of the Rule General Services Administration Instructions: Please submit comments Acquisition Regulation (GSAR) to only and cite GSAR Case 2020–G525, in GSA is amending the GSAR to clarify the requirements for Personal all correspondence related to this case. specifically reference the Office of Identity Verification (PIV). This direct Comments received generally will be Mission Assurance CIO P 2181.1 GSA final rule revises a GSAR clause to posted without change to https:// HSPD–12 Personal Identity Verification provide a more specific reference to the www.regulations.gov, including any and Credentialing Handbook rather than location of the GSA credentialing personal and/or business confidential just the general website for handbook. GSA is also moving language information provided. To confirm credentialing. The change to reference addressing internal operating receipt of your comment(s), please the Handbook will allow for contractor procedures around option exercise from check https://www.regulations.gov, personnel to easily find the information the GSAR to the non-regulatory General approximately two to three days after needed related to PIV cards and will Services Administration Acquisition submission to verify posting. eliminate issues that could arise in the Manual (GSAM). FOR FURTHER INFORMATION CONTACT: Ms. event that the website link becomes DATES: This direct final rule is effective Vernita Misidor, Procurement Analyst, broken. GSA is also moving text dealing on July 26, 2021 without further notice at 202–357–9681 or email at gsarpolicy@ with the exercise of options from the unless adverse comments are received. gsa.gov, for clarification of content. For GSAR to the non-regulatory GSAM. This Interested parties should submit written information pertaining to status or move is being made because the comments to the Regulatory Secretariat publication schedules, contact the language only addresses responsibilities as noted below on or before June 28, Regulatory Secretariat at 202–501–4755. of Contracting Officers in preparing 2021 to be considered in the formation Please cite GSAR Case 2020–G525. documentation. As such, it is not of the final rule. If GSA receives adverse SUPPLEMENTARY INFORMATION: regulatory material.
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IV. Executive Order 12866 and 13563 impact on a substantial number of small (b) Determine that the option price is entities within the meaning of the fair and reasonable. Executive Orders (E.O.s) 12866 and Regulatory Flexibility Act, 5 U.S.C. 601, (c) The consideration of other factors 13563 direct agencies to assess all costs et seq. as prescribed by FAR 17.207(c)(3) and benefits of available regulatory should also include consideration of alternatives and, if regulation is VII. Paperwork Reduction Act any tiered solutions (see subpart 507.71) necessary, to select regulatory or mandated solutions that were approaches that maximize net benefits The direct final rule does not contain otherwise not available at the time of (including potential economic, any information collection requirements award. environmental, public health and safety that require the approval of the Office of (d) Conduct a Personal Identity effects, distributive impacts, and Management and Budget under the Verification card review to determine equity). E.O. 13563 emphasizes the Paperwork Reduction Act (44 U.S.C. the need for continued access, see importance of quantifying both costs chapter 35). 504.1370(c). This function may be and benefits, of reducing costs, of List of Subjects in 48 CFR Parts 517 and delegated to the COR. harmonizing rules, and of promoting 552 flexibility. This rule has been reviewed Government procurement. PART 552—SOLICITATION and determined by OMB not to be a PROVISIONS AND CONTRACT significant regulatory action and, Jeffrey A. Koses, CLAUSES therefore, was not subject to review Senior Procurement Executive, Office of under section 6(b) of E.O. 12866, Acquisition Policy, Office of Governmentwide ■ 3. Amend section 552.204–9 by Regulatory Planning and Review, dated Policy, General Services Administration. revising the date of the clause and September 30, 1993. Therefore, GSA amends 48 CFR parts paragraph (a) to read as follows: V. Congressional Review Act 517 and 552 as set forth below: 552.204–9 Personal Identity Verification The Congressional Review Act, 5 ■ 1. The authority citation for 48 CFR Requirements. U.S.C. 801 et seq., as amended by the parts 517 and 552 continues to read as * * * * * follows: Small Business Regulatory Enforcement Personal Identity Verification Fairness Act of 1996, generally provides Authority: 40 U.S.C. 121(c). Requirements (Jun, 2021) that before a ‘‘major rule’’ may take effect, the agency promulgating the rule PART 517—SPECIAL CONTRACTING (a) The contractor shall comply with must submit a rule report, which METHODS GSA personal identity verification includes a copy of the rule, to each requirements, identified in the CIO P House of the Congress and to the ■ 2. Revise section 517.207 to read as 2181.1 GSA HSPD–12 Personal Identity Comptroller General of the United follows: Verification and Credentialing States. A major rule cannot take effect Handbook, if contractor employees 517.207 Exercise of options. until 60 days after it is published in the require access to GSA controlled Federal Register. This rule has been In addition to the requirements of facilities or information systems to reviewed and determined by OMB not FAR 17.207, the contracting officer must perform contract requirements. The to be a ‘‘major rule’’ under 5 U.S.C. also: contractor can find the CIO policy and 804(2). (a) Document the contract file with additional information at http:// the rationale for an extended contractual www.gsa.gov/hspd12. VI. Regulatory Flexibility Act relationship if the contractor’s * * * * * GSA does not expect this direct final performance rating under the contract is [FR Doc. 2021–11109 Filed 5–26–21; 8:45 am] rule to have a significant economic less than satisfactory. BILLING CODE 6820–61–P
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Proposed Rules Federal Register Vol. 86, No. 101
Thursday, May 27, 2021
This section of the FEDERAL REGISTER • Hand Delivery: Deliver to Mail 11.35, the FAA will post all comments contains notices to the public of the proposed address above between 9 a.m. and 5 received, without change, to https:// issuance of rules and regulations. The p.m., Monday through Friday, except www.regulations.gov, including any purpose of these notices is to give interested Federal holidays. personal information you provide. The persons an opportunity to participate in the For service information identified in agency will also post a report rule making prior to the adoption of the final this NPRM, contact MHI RJ Aviation rules. summarizing each substantive verbal ULC, 12655 Henri-Fabre Blvd., Mirabel, contact received about this NPRM. Que´bec J7N 1E1 Canada; Widebody Confidential Business Information DEPARTMENT OF TRANSPORTATION Customer Response Center North America toll-free telephone +1–844– CBI is commercial or financial Federal Aviation Administration 272–2720 or direct-dial telephone +1– information that is both customarily and 514–855–8500; fax +1–514–855–8501; actually treated as private by its owner. 14 CFR Part 39 email [email protected]; internet Under the Freedom of Information Act https://mhirj.com. You may view this (FOIA) (5 U.S.C. 552), CBI is exempt [Docket No. FAA–2021–0382; Project from public disclosure. If your Identifier MCAI–2021–00382–T] service information at the FAA, Airworthiness Products Section, comments responsive to this NPRM RIN 2120–AA64 Operational Safety Branch, 2200 South contain commercial or financial 216th St., Des Moines, WA. For information that is customarily treated Airworthiness Directives; MHI RJ information on the availability of this as private, that you actually treat as Aviation ULC (Type Certificate material at the FAA, call 206–231–3195. private, and that is relevant or Previously Held by Bombardier, Inc.) responsive to this NPRM, it is important Airplanes Examining the AD Docket that you clearly designate the submitted comments as CBI. Please mark each AGENCY: Federal Aviation You may examine the AD docket at page of your submission containing CBI Administration (FAA), DOT. https://www.regulations.gov by searching for and locating Docket No. as ‘‘PROPIN.’’ The FAA will treat such ACTION: Notice of proposed rulemaking FAA–2021–0382; or in person at Docket marked submissions as confidential (NPRM). Operations between 9 a.m. and 5 p.m., under the FOIA, and they will not be SUMMARY: The FAA proposes to adopt a Monday through Friday, except Federal placed in the public docket of this new airworthiness directive (AD) for holidays. The AD docket contains this NPRM. Submissions containing CBI certain MHI RJ Aviation ULC Model NPRM, any comments received, and should be sent to Antariksh Shetty, CL–600–2C10 (Regional Jet Series 700, other information. The street address for Aerospace Engineer, Airframe and 701 & 702), CL–600–2C11 (Regional Jet Docket Operations is listed above. Propulsion Section, FAA, New York Series 550), CL–600–2D15 (Regional Jet FOR FURTHER INFORMATION CONTACT: ACO Branch, 1600 Stewart Avenue, Series 705), CL–600–2D24 (Regional Jet Antariksh Shetty, Aerospace Engineer, Suite 410, Westbury, NY 11590; Series 900), and CL–600–2E25 (Regional Airframe and Propulsion Section, FAA, telephone 516–228–7300; fax 516–794– Jet Series 1000) airplanes. This New York ACO Branch, 1600 Stewart 5531; email [email protected]. proposed AD was prompted by a Avenue, Suite 410, Westbury, NY Any commentary that the FAA receives determination that new airworthiness 11590; telephone 516–228–7300; fax which is not specifically designated as CBI will be placed in the public docket limitations for structural inspections 516–794–5531; email 9-avs-nyaco-cos@ for this rulemaking. and safe life components are necessary. faa.gov. This proposed AD would require SUPPLEMENTARY INFORMATION: Background revising the existing maintenance or Transport Canada Civil Aviation Comments Invited inspection program, as applicable, to (TCCA), which is the aviation authority incorporate new airworthiness The FAA invites you to send any for Canada, has issued TCCA AD CF– limitations. The FAA is proposing this written relevant data, views, or 2020–53, dated December 7, 2020 (also AD to address the unsafe condition on arguments about this proposal. Send referred to after this as the Mandatory these products. your comments to an address listed Continuing Airworthiness Information, DATES: The FAA must receive comments under ADDRESSES. Include ‘‘Docket No. or the MCAI), to correct an unsafe on this proposed AD by July 12, 2021. FAA–2021–0382; Project Identifier condition for certain MHI RJ Aviation ADDRESSES: You may send comments, MCAI–2021–00382–T’’ at the beginning ULC Model CL–600–2C10 (Regional Jet using the procedures found in 14 CFR of your comments. The most helpful Series 700, 701 & 702), CL–600–2C11 11.43 and 11.45, by any of the following comments reference a specific portion of (Regional Jet Series 550), CL–600–2D15 methods: the proposal, explain the reason for any (Regional Jet Series 705), CL–600–2D24 • Federal eRulemaking Portal: Go to recommended change, and include (Regional Jet Series 900), and CL–600– https://www.regulations.gov. Follow the supporting data. The FAA will consider 2E25 (Regional Jet Series 1000) instructions for submitting comments. all comments received by the closing airplanes. You may examine the MCAI • Fax: 202–493–2251. date and may amend the proposal in the AD docket at https:// • Mail: U.S. Department of because of those comments. www.regulations.gov by searching for Transportation, Docket Operations, Except for Confidential Business and locating Docket No. FAA–2021– M–30, West Building Ground Floor, Information (CBI) as described in the 0382. Room W12–140, 1200 New Jersey following paragraph, and other This proposed AD was prompted by Avenue SE, Washington, DC 20590. information as described in 14 CFR a determination that new airworthiness
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limitations for structural inspections The FAA has determined that revising The Proposed Amendment and safe life components are necessary. the maintenance or inspection program Accordingly, under the authority The FAA is proposing this AD to takes an average of 90 work-hours per delegated to me by the Administrator, address reduced structural integrity and operator, although the FAA recognizes the FAA proposes to amend 14 CFR part reduced controllability of the airplane. that this number may vary from operator 39 as follows: See the MCAI for additional background to operator. In the past, the FAA has information. estimated that this action takes 1 work- PART 39—AIRWORTHINESS hour per airplane. Since operators Related Service Information Under 1 DIRECTIVES incorporate maintenance or inspection CFR Part 51 program changes for their affected ■ 1. The authority citation for part 39 MHI RJ Aviation ULC has issued MHI fleet(s), the FAA has determined that a continues to read as follows: RJ Service Bulletin 670BA–05–001, per-operator estimate is more accurate Authority: 49 U.S.C. 106(g), 40113, 44701. dated August 27, 2020. This service than a per-airplane estimate. Therefore, information describes new the FAA estimates the total cost per § 39.13 [Amended] airworthiness limitations for structural operator to be $7,650 (90 work-hours × ■ 2. The FAA amends § 39.13 by adding inspections and safe life components. $85 per work-hour). the following new airworthiness directive: This service information is reasonably Authority for This Rulemaking available because the interested parties MHI RJ Aviation ULC (Type Certificate have access to it through their normal Title 49 of the United States Code Previously Held by Bombardier, Inc.): course of business or by the means specifies the FAA’s authority to issue Docket No. FAA–2021–0382; Project identified in the ADDRESSES section. rules on aviation safety. Subtitle I, Identifier MCAI–2021–00382–T. section 106, describes the authority of (a) Comments Due Date FAA’s Determination the FAA Administrator. Subtitle VII: The FAA must receive comments on this This product has been approved by Aviation Programs, describes in more airworthiness directive (AD) by July 12, 2021. the aviation authority of another detail the scope of the Agency’s (b) Affected ADs country, and is approved for operation authority. in the United States. Pursuant to the The FAA is issuing this rulemaking None. under the authority described in FAA’s bilateral agreement with the State (c) Applicability of Design Authority, the FAA has been Subtitle VII, Part A, Subpart III, Section 44701: General requirements. Under This AD applies to MHI RJ Aviation ULC notified of the unsafe condition airplanes identified in paragraphs (c)(1) described in the MCAI and service that section, Congress charges the FAA through (3) of this AD, certificated in any information referenced above. The FAA with promoting safe flight of civil category. is proposing this AD because the FAA aircraft in air commerce by prescribing (1) Model CL–600–2C10 (Regional Jet evaluated all the relevant information regulations for practices, methods, and Series 700, 701 & 702) and CL–600–2C11 and determined the unsafe condition procedures the Administrator finds (Regional Jet Series 550) airplanes, serial numbers 10002 and subsequent. described previously is likely to exist or necessary for safety in air commerce. This regulation is within the scope of (2) Model CL–600–2D15 (Regional Jet develop on other products of the same Series 705) and CL–600–2D24 (Regional Jet type design. that authority because it addresses an unsafe condition that is likely to exist or Series 900) airplanes, serial numbers 15001 Proposed AD Requirements in This and subsequent. develop on products identified in this (3) Model CL–600–2E25 (Regional Jet NPRM rulemaking action. Series 1000) airplanes, serial numbers 19001 This proposed AD would require Regulatory Findings and subsequent. revising the existing maintenance or The FAA determined that this (d) Subject inspection program, as applicable, to proposed AD would not have federalism Air Transport Association (ATA) of incorporate new airworthiness implications under Executive Order America Code 05, Periodic Inspections. limitations. 13132. This proposed AD would not (e) Unsafe Condition This proposed AD would require have a substantial direct effect on the This AD was prompted by a determination revisions to certain operator States, on the relationship between the maintenance documents to include new that new airworthiness limitations for national Government and the States, or structural inspections and safe life actions (e.g., inspections). Compliance on the distribution of power and components are necessary. The FAA is with these actions is required by 14 CFR responsibilities among the various issuing this AD to address reduced structural 91.403(c). For airplanes that have been levels of government. integrity and reduced controllability of the previously modified, altered, or repaired For the reasons discussed above, I airplane. in the areas addressed by this proposed certify this proposed regulation: (f) Compliance AD, the operator may not be able to (1) Is not a ‘‘significant regulatory accomplish the actions described in the Comply with this AD within the action’’ under Executive Order 12866, compliance times specified, unless already revisions. In this situation, to comply (2) Will not affect intrastate aviation done. with 14 CFR 91.403(c), the operator in Alaska, and must request approval for an alternative (3) Will not have a significant (g) Maintenance or Inspection Program Revision method of compliance according to economic impact, positive or negative, paragraph (i)(1) of this proposed AD. on a substantial number of small entities Within 180 days after the effective date of under the criteria of the Regulatory this AD, revise the existing maintenance or Costs of Compliance inspection program, as applicable, to Flexibility Act. The FAA estimates that this AD, if incorporate the airworthiness limitations for List of Subjects in 14 CFR Part 39 structural inspections and safe life adopted as proposed, would affect 554 components specified in paragraphs (g)(1) airplanes of U.S. registry. The FAA Air transportation, Aircraft, Aviation and (2) of this AD. estimates the following costs to comply safety, Incorporation by reference, (1) The task number, model effectivity, with this proposed AD: Safety. threshold, repeat cut-in, repeat, and task type
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for the Section 2 structural inspections 514–855–8500; fax +1–514–855–8501; email U.S. Department of State, telephone specified in paragraph 2.B.(2)(a) of the [email protected]; internet https:// (202) 663–1809; email Accomplishment Instructions of MHI RJ mhirj.com. You may view this service [email protected]. Service Bulletin 670BA–05–001, dated information at the FAA, Airworthiness ATTN: Regulatory Change, ITAR August 27, 2020. Products Section, Operational Safety Branch, (2) The task number, part number, model 2200 South 216th St., Des Moines, WA. For Section 120.39: Regular Employee. effectivity, and discard time for the Section information on the availability of this SUPPLEMENTARY INFORMATION: In March 3 safe life components specified in paragraph material at the FAA, call 206–231–3195. 2020, the President declared a national 2.B.(3)(a) of the Accomplishment Instructions emergency as a result of the COVID–19 of MHI RJ Service Bulletin 670BA–05–001, Issued on May 21, 2021. Gaetano A. Sciortino, pandemic. Subsequently, the dated August 27, 2020. Department announced a temporary Deputy Director for Strategic Initiatives, (h) No Alternative Actions and Intervals Compliance & Airworthiness Division, suspension, modification, and exception After the existing maintenance or Aircraft Certification Service. through July 31, 2020, of the inspection program has been revised as requirement that a regular employee, for [FR Doc. 2021–11137 Filed 5–26–21; 8:45 am] required by paragraph (g) of this AD, no purposes of ITAR § 120.39(a)(2), work at BILLING CODE 4910–13–P alternative actions (e.g., inspections) or a company’s facilities. The temporary intervals may be used unless the actions and measure allowed individuals to work intervals are approved as an alternative remotely provided they are not located method of compliance (AMOC) in DEPARTMENT OF STATE accordance with the procedures specified in in Russia or a country listed in ITAR paragraph (i)(1) of this AD. 22 CFR Part 120 § 126.1 (85 FR 25287, May 1, 2020), and still be considered regular employees (i) Other FAA AD Provisions [Public Notice: 11406] under the ITAR. The Department The following provisions also apply to this RIN 1400–AF17 requested and received comments AD: regarding the efficacy and duration of (1) Alternative Methods of Compliance International Traffic in Arms this temporary measure (85 FR 35376, (AMOCs): The Manager, New York ACO Branch, FAA, has the authority to approve Regulations: Regular Employee June 10, 2020). Many commenters, one industry association, and several AMOCs for this AD, if requested using the AGENCY: Department of State. procedures found in 14 CFR 39.19. In individual entities endorsed the accordance with 14 CFR 39.19, send your ACTION: Proposed rule. telework provisions and requested that request to your principal inspector or this measure be effective until the end SUMMARY: The Department of State responsible Flight Standards Office, as of the year, if not extended indefinitely. proposes to amend the International appropriate. If sending information directly Additionally, many commenters Traffic in Arms Regulations (ITAR) to to the manager of the certification office, mentioned that this temporary measure send it to ATTN: Program Manager, update the definition of regular allowed industry to continue their Continuing Operational Safety, FAA, New employee to allow subject persons to business activities despite COVID–19 as York ACO Branch, 1600 Stewart Avenue, work remotely, and to clarify the many employees could work remotely. Suite 410, Westbury, NY 11590; telephone contractual relationships that meet the 516–228–7300; fax 516–794–5531. Before In response, this temporary measure definition of regular employee. using any approved AMOC, notify your was extended until December 31, 2020 appropriate principal inspector, or lacking a DATES: Send comments on or before July (85 FR 45513, July 29, 2020). principal inspector, the manager of the 26, 2021. The Department is proposing to responsible Flight Standards Office. ADDRESSES: Interested parties may amend ITAR § 120.39 permanently to (2) Contacting the Manufacturer: For any submit comments by one of the requirement in this AD to obtain instructions allow certain individuals to work following methods: remotely, and further proposes to clarify from a manufacturer, the instructions must • be accomplished using a method approved Email: DDTCPublicComments@ the contractual relationships that meet by the Manager, New York ACO Branch, state.gov, with the subject line ‘‘ITAR the definition of regular employee. The FAA; or Transport Canada Civil Aviation Amendment: Regular Employee’’ Department recognizes that the (TCCA); or MHI RJ Aviation ULC’s TCCA • Internet: At www.regulations.gov, workplace environment is evolving, Design Approval Organization (DAO). If search for this document using Docket therefore, the current ‘‘regular approved by the DAO, the approval must DOS–2021–0009. employee’’ criterion that an individual include the DAO-authorized signature. Comments received after the must work at a company’s facilities will (j) Related Information acceptance date may be considered if be removed in the revised definition to (1) Refer to Mandatory Continuing feasible. Those submitting comments allow for remote work. The Department Airworthiness Information (MCAI) TCCA AD should not include any personally also proposes to set forth clear criteria CF–2020–53, dated December 7, 2020, for identifying information they do not that will allow regulated entities to treat related information. This MCAI may be desire to be made public or information certain contractual staff as regular found in the AD docket on the internet at for which a claim of confidentiality is employees for the purposes of the ITAR, https://www.regulations.gov by searching for asserted. Comments and/or transmittal provided those individuals are and locating Docket No. FAA–2021–0382. emails will be made available for public (2) For more information about this AD, sufficiently subject to the employer’s contact Antariksh Shetty, Aerospace inspection and copying after the close of control such that the Department can Engineer, Airframe and Propulsion Section, the comment period via the Directorate hold the regulated employer responsible FAA, New York ACO Branch, 1600 Stewart of Defense Trade Controls website at for the individual’s actions. Avenue, Suite 410, Westbury, NY 11590; www.pmddtc.state.gov. Parties who Further, the Department proposes to telephone 516–228–7300; fax 516–794–5531; wish to comment anonymously may codify the meaning of a ‘‘long term email [email protected]. submit comments via contractual relationship’’ in ITAR (3) For service information identified in www.regulations.gov, leaving § 120.39(a)(2) by clarifying in the this AD, contact MHI RJ Aviation ULC, 12655 identifying fields blank. Henri-Fabre Blvd., Mirabel, Que´bec J7N 1E1 regulations that individuals must be Canada; Widebody Customer Response FOR FURTHER INFORMATION CONTACT: Ms. providing services to an entity under a Center North America toll-free telephone +1– Engda Wubneh, Foreign Affairs Officer, contract for a term of one year or more 844–272–2720 or direct-dial telephone +1– Office of Defense Trade Controls Policy, (ITAR § 120.39(a)(2)(i)). The goal of this
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provision is to minimize the risk of Therefore, no actions are deemed costs on Indian tribal governments, and diversion of U.S. defense articles. The necessary under the provisions of the will not preempt tribal law. delineation of a contract for one year or Unfunded Mandates Reform Act of Accordingly, Executive Order 13175 more was selected in part based on the 1995. does not apply to this rulemaking. Department’s expectation that a long- Executive Orders 12372 and 13132 Paperwork Reduction Act term contractor will receive superior orientation and training from a This rulemaking will not have This rulemaking does not impose or regulated entity upon onboarding, and substantial direct effects on the States, revise any information collections the ability to absorb and apply training on the relationship between the subject to 44 U.S.C. chapter 35. National Government and the States, or materials and adhere to compliance List of Subjects in 22 CFR Part 120 policies and procedures (e.g., ITAR- on the distribution of power and related training) is more likely to occur responsibilities among the various Arms and munitions, Classified with at least a year of experience on the levels of government. Therefore, in information, Exports. job. For those individuals not in a ‘‘long accordance with Executive Order 13132, For the reasons set forth above, title term contractual relationship’’ with a it is determined that this proposed 22, chapter I, subchapter M, part 120 of regulated entity (i.e., where the contract amendment does not have sufficient the Code of Federal Regulations is is less than one year), the Department federalism implications to require proposed to be amended as follows: will allow such individuals to be treated consultations or warrant the preparation as regular employees provided that, in of a federalism summary impact PART 120—PURPOSE AND addition to the control and non- statement. The regulations DEFINITIONS disclosure considerations described in implementing Executive Order 12372 ■ 1. The authority citation for part 120 ITAR § 120.39(a)(3), the individual also regarding intergovernmental continues to read as follows: maintains an active security clearance consultation on Federal programs and approved by the United States or by the activities do not apply to this Authority: Secs. 2, 38, and 71, Pub. L. 90– government of the entity to which the rulemaking. 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, individual’s services are provided. 2797); 22 U.S.C. 2794; 22 U.S.C. 2651a; Pub. Executive Orders 12866 and 13563 L. 105–261, 112 Stat. 1920; Pub. L. 111–266; Lastly, although employment type is not Executive Orders 12866 and 13563 Section 1261, Pub. L. 112–239; E.O. 13637, explicitly referenced in the definition, 78 FR 16129. individuals providing services pursuant direct agencies to assess all costs and to a contractual relationship can include benefits of available regulatory ■ 2. Section 120.39 is revised to read as independent contractors, seconded alternatives and, if regulation is follows: necessary, to select regulatory employees, individuals provided by a § 120.39 Regular employee. staffing agency, or contractors provided approaches that maximize net benefits (a) Regular employee means: by a contracting agency. (including potential economic, environmental, public health and safety (1) An individual permanently and Regulatory Analysis and Notices effects, distributed impacts, and equity). directly employed by an entity; or (2) An individual providing services Administrative Procedure Act This rule’s scope does not impose additional regulatory requirements or to an entity: The Department of State is of the obligations; therefore, the Department (i) Under a contract with a term of one opinion that controlling the import and believes costs associated with this rule year or more; export of defense articles and services is will be minimal. Although the (ii) Who works under the entity’s a foreign affairs function of the United Department cannot determine based on direction and control; States Government and that rules available data how many fewer licenses (iii) Who works full time for the implementing this function are exempt will be submitted as a result of this rule, entity; from sections 553 (rulemaking) and 554 the amendment to the definition will (iv) Who is subject to the entity’s (adjudications) of the Administrative inherently relieve the licensing burden compliance policies and procedures; Procedure Act (APA), pursuant to 5 for any exporter utilizing it in a and U.S.C. 553(a)(1). Since the Department qualifying scenario. Executive Order (v) Who executes a nondisclosure is of the opinion that this rule is exempt 13563 emphasizes the importance of agreement with the entity that provides from 5 U.S.C 553, it is the view of the quantifying both costs and benefits, of assurances that the individual will not Department that the provisions of reducing costs, of harmonizing rules, transfer any defense articles to persons Section 553(d) do not apply to this and of promoting flexibility. This rule or entities unless specifically authorized rulemaking. has not been designated a ‘‘significant by the entity; or (3) An individual providing services Regulatory Flexibility Act regulatory action’’ by the Office and Information and Regulatory Affairs to an entity: Since this rule is exempt from the under Executive Order 12866. (i) Under a contract with a term of less notice-and-comment provisions of 5 than one year; U.S.C. 553(b), it does not require Executive Order 12988 (ii) Who maintains an active security analysis under the Regulatory The Department of State has reviewed clearance approved by the United States Flexibility Act. this rulemaking in light of Executive or by the government of the entity to which the individual is providing Unfunded Mandates Reform Act of 1995 Order 12988 to eliminate ambiguity, minimize litigation, establish clear legal services; This rulemaking does not involve a standards, and reduce burden. (iii) Who works under the entity’s mandate that will result in the direction and control; expenditure by State, local, and tribal Executive Order 13175 (iv) Who works full time for the governments, in the aggregate, or by the The Department of State has entity; private sector, of $100 million or more determined that this rulemaking will (v) Who is subject to the entity’s in any year and it will not significantly not have tribal implications, will not compliance policies and procedures; or uniquely affect small governments. impose substantial direct compliance and
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(vi) Who executes a nondisclosure DATES: The Department will consider all control over their labor organizations agreement with the entity that provides written comments submitted on or and ensure a proper accounting of labor assurances that the individual will not before July 26, 2021. organization funds. Labor organization transfer any defense articles to persons ADDRESSES: You may submit comments, members are better able to monitor their or entities unless specifically authorized identified by RIN 1245–AA12, only by labor organization’s financial affairs and by the entity. the following method: Internet—Federal to make informed choices about the (4) A secondment from one entity to eRulemaking Portal. Electronic leadership of their labor organization another meets the definitions described comments may be submitted through and its direction when labor in paragraphs (a)(2) and (3) of this http://www.regulations.gov. To locate organizations disclose financial section. the proposed rule, use RIN 1245–AA12 information as required by the LMRDA. (b) Nothing in this section shall be or key words such as ‘‘T–1,’’ ‘‘Labor- By reviewing a labor organization’s construed to provide authorization for Management Standards’’ or ‘‘Trust financial reports, a member may the export, retransfer, or reexport of Annual Reports’’ to search documents ascertain the labor organization’s defense articles or defense services. accepting comments. Follow the priorities and whether they are in instructions for submitting comments. accord with the member’s own priorities Choo S. Kang, Please be advised that comments and those of fellow members. At the Acting Assistant Secretary, Bureau of received will be posted without change same time, this transparency promotes International Security and Nonproliferation, both the labor organization’s own Department of State. to http://www.regulations.gov, including any personal information provided. interests as a democratic institution and [FR Doc. 2021–11053 Filed 5–26–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: the interests of the public and the BILLING CODE 4710–05–P Andrew Davis, Chief of the Division of government. Furthermore, the LMRDA’s Interpretations and Standards, Office of reporting and disclosure provisions, Labor-Management Standards, U.S. together with the fiduciary duty DEPARTMENT OF LABOR Department of Labor, 200 Constitution provision, 29 U.S.C. 501, which directly Avenue NW, Room N–5609, regulates the primary conduct of labor Office of Labor-Management organization officials, operate to Standards Washington, DC 20210, (202) 693–0123 (this is not a toll-free number), (800) safeguard a labor organization’s funds from depletion by improper or illegal 29 CFR Parts 403 and 408 877–8339 (TTY/TDD), OLMS-Public@ dol.gov. means. Timely and complete reporting RIN 1245–AA12 also helps deter labor organization SUPPLEMENTARY INFORMATION: officers or employees from embezzling Rescission of Labor Organization I. Statutory Authority or otherwise making improper use of such funds. Annual Financial Report for Trusts in The Department’s statutory authority Which a Labor Organization Is is set forth in section 208 of the B. The LMRDA’s Reporting and Other Interested, Form T–1 LMRDA, 29 U.S.C. 438. Section 208 of Requirements AGENCY: Office of Labor-Management the LMRDA provides that the Secretary When it enacted the LMRDA in 1959, Standards, Department of Labor. of Labor ‘‘shall have authority to issue, a bipartisan Congress made the amend, and rescind rules and ACTION: Notice of proposed rulemaking; legislative finding that in the labor and request for comments. regulations prescribing the form and management fields ‘‘there have been a publication of reports required to be number of instances of breach of trust, SUMMARY: This document proposes to filed under [the Act] and such other corruption, disregard of the rights of withdraw the final rule published in the reasonable rules and regulations . . . as individual employees, and other failures Federal Register on March 6, 2020, 85 he may find necessary to prevent the to observe high standards of FR 13414 (Mar. 6, 2020) (2020 Form circumvention or evasion of such responsibility and ethical conduct T–1 rule), which established the Form reporting requirements.’’ which require further and T–1, Trust Annual Report, required to The Secretary has delegated his supplementary legislation that will be filed by labor organizations about authority under the LMRDA to the afford necessary protection of the rights certain trusts in which they are Director of the Office of Labor- and interests of employees and the interested pursuant to the Labor- Management Standards (OLMS) and public generally as they relate to the Management Reporting and Disclosure permitted re-delegation of such activities of labor organizations, Act (LMRDA). Upon further review of authority. See Secretary’s Order employers, labor relations consultants, the 2020 Form T–1 rule, including the 03–2012 (Oct. 19, 2012), published at 77 and their officers and representatives.’’ pertinent facts and legally relevant FR 69375 (Nov. 16, 2012). 29 U.S.C. 401(b). The statute was policy considerations surrounding that II. Background designed to remedy these various ills rulemaking, the Department of Labor through a set of integrated provisions (Department) proposes to withdraw the A. Introduction aimed at labor organization governance rule implementing the Form T–1, In enacting the LMRDA in 1959, and management. These include a ‘‘bill because it believes that the trust Congress sought to protect the rights of rights’’ for labor organization reporting required under the rule is and interests of employees, labor members, which provides for equal overly broad and is not necessary to organizations and the public generally voting rights, freedom of speech and prevent the circumvention and evasion as they relate to the activities of labor assembly, and other basic safeguards for of the Title II reporting requirements. organizations, employers, labor relations labor organization democracy, see 29 Moreover, upon further consideration, consultants, and their officers, U.S.C. 411–415; financial reporting and the Department is concerned that the employees, and representatives. The disclosure requirements for labor 2020 rulemaking record was insufficient LMRDA’s various reporting provisions organizations, their officers and to justify the separate trust reporting are designed to empower labor employees, employers, labor relations requirements as set forth in the 2020 organization members by providing consultants, and surety companies, see Form T–1 rule. them the means to maintain democratic 29 U.S.C. 431–436, 441; detailed
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procedural, substantive, and reporting Employee Rights, 59 Colum. L. Rev. 96 maintains: (1) A public disclosure room requirements relating to labor (1959). where copies of such reports filed with organization trusteeships, see 29 U.S.C. Financial reporting and disclosure OLMS may be reviewed and; (2) an 461–466; detailed procedural from labor organizations were conceived online public disclosure site, where requirements for the conduct of as partial remedies for these improper copies of such reports filed since the elections of labor organization officers, practices. As noted in a key Senate year 2000 are available for the public’s see 29 U.S.C. 481–483; safeguards for Report on the legislation, disclosure review. would discourage questionable practices labor organizations, including bonding In addition to prescribing the form (‘‘The searchlight of publicity is a strong requirements, the establishment of and publication of the LMRDA reports, deterrent.’’), aid labor organization fiduciary responsibilities for labor the Secretary is authorized to issue governance (labor organizations will be organization officials and other regulations that prevent labor unions able ‘‘to better regulate their own representatives, criminal penalties for and others from avoiding their reporting affairs’’ because ‘‘members may vote out embezzlement from a labor responsibilities. Section 208 authorizes of office any individual whose personal organization, a prohibition on certain the Secretary of Labor to issue, amend, financial interests conflict with his loans by a labor organization to its and rescind rules and regulations to duties to members’’), facilitate legal officers or employees, prohibitions on implement the LMRDA’s reporting action by members against ‘‘officers who employment by a labor organization of violate their duty of loyalty to the provisions, including ‘‘prescribing certain convicted felons, and members’’, and create a record (‘‘the reports concerning trusts in which a prohibitions on payments to employees, reports will furnish a sound factual labor organization is interested’’ as she labor organizations, and labor basis for further action in the event that may ‘‘find necessary to prevent the organization officers and employees for other legislation is required’’). S. Rep. circumvention or evasion of [the prohibited purposes by an employer or No. 187 (1959) 16 reprinted in 1 NLRB LMRDA’s] reporting requirements.’’ 29 labor relations consultant, see 29 U.S.C. Legislative History of the Labor- U.S.C. 438. In other words, the Secretary 501–505; and prohibitions against Management Reporting and Disclosure may require separate trust reporting extortionate picketing, retaliation for Act of 1959, 412. only if: (1) The union has an interest in exercising protected rights, and The Department has developed a trust and (2) reporting is determined deprivation of LMRDA rights by several forms for implementing the to be necessary to prevent the violence, see 29 U.S.C. 522, 529, 530. LMRDA’s financial reporting circumvention or evasion of LMRDA reporting requirements. 29 U.S.C. 438. The LMRDA was the direct outgrowth requirements. The annual reports of a Congressional investigation required by section 201(b) of the Act, 29 III. Proposal To Rescind the March 6, conducted by the Select Committee on U.S.C. 431(b) (Form LM–2, Form LM–3, 2020 Final Rule Establishing the Form Improper Activities in the Labor or and Form LM–4), contain information T–1 Management Field, commonly known as about a labor organization’s assets; the McClellan Committee, chaired by liabilities; receipts; disbursements; A. History of the Form T–1 loans to officers, employees, and Senator John McClellan of Arkansas. In The Form T–1 report was first 1957, the committee began a highly business enterprises; payments to each officer; and payments to each employee proposed on December 27, 2002, as one publicized investigation of labor part of a proposal to extensively change organization racketeering and of the labor organization paid more than $10,000 during the fiscal year. The the Form LM–2. 67 FR 79280 (Dec. 27, corruption; and its findings of financial reporting detail required of labor 2002). The rule was proposed under the abuse, mismanagement of labor organizations, as the Secretary has authority of Section 208, which permits organization funds, and unethical established by rule, varies depending on the Secretary to issue such rules conduct provided much of the impetus the amount of the labor organization’s ‘‘prescribing reports concerning trusts in for enactment of the LMRDA’s remedial annual receipts. 29 CFR 403.4. which a labor organization is provisions. See generally Benjamin The labor organization’s president interested’’ as he may ‘‘find necessary to Aaron, The Labor-Management and treasurer (or its corresponding prevent the circumvention or evasion of Reporting and Disclosure Act of 1959, officers) are personally responsible for [the LMRDA’s] reporting requirements.’’ 73 Harv. L. Rev. 851, 851–55 (1960). filing the reports and for any statement 29 U.S.C. 438. Following consideration During the investigation, the committee in the reports known by them to be of public comments, on October 9, 2003, uncovered a host of improper financial false. 29 CFR 403.6. These officers are the Department published a final rule arrangements between officials of also responsible for maintaining records enacting extensive changes to the Form several international and local labor in sufficient detail to verify, explain, or LM–2 and establishing a Form T–1. 68 organizations and employers (and labor clarify the accuracy and completeness of FR 58374 (Oct. 9, 2003) (2003 Form T– consultants aligned with the employers) the reports for not less than five years 1 rule). The 2003 Form T–1 rule whose employees were represented by after the filing of the forms. 29 CFR eliminated the requirement that unions the labor organizations in question or 403.7. A labor organization ‘‘shall make report on subsidiary organizations on might be organized by them. Similar available to all its members the the Form LM–2, but it mandated that arrangements were also found to exist information required to be contained in each labor organization filing a Form between labor organization officials and such reports’’ and ‘‘shall . . . permit LM–2 report also file a separate report the companies that handled matters such member[s] for just cause to to ‘‘disclose assets, liabilities, receipts, relating to the administration of labor examine any books, records, and and of a significant trust in which the organization benefit funds. See accounts necessary to verify such labor organization is interested,’’ generally Interim Report of the Select report[s].’’ 29 CFR 403.8(a). increasing labor organizations’ reporting Committee on Improper Activities in the The reports are public information. 29 requirements generally and expanding Labor or Management Field, S. Report U.S.C. 435(a). The Secretary is charged the types of trusts for which reporting No. 85–1417 (1957); see also William J. with providing for the inspection and would be required. 68 FR at 58477. The Isaacson, Employee Welfare and Benefit examination of the financial reports, 29 reporting labor organization would Plans: Regulation and Protection of U.S.C. 435(b). For this purpose, OLMS make this disclosure by filing a separate
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Form T–1 for each significant trust in emphasized that Section 208 authority District of Columbia vacated this rule which it was interested. Id. at 58524. is the only basis for LMRDA trust due to a failure to provide a new notice To support the assertion that trust reporting, that this authority is limited and comment period. AFL–CIO v. Chao, reporting was ‘‘necessary to prevent the to preventing circumvention or evasion 496 F. Supp. 2d 76 (D.D.C. 2007). The circumvention or evasion of [the of Title II reporting, and that ‘‘the district court did not engage in a LMRDA’s] reporting requirements,’’ the statute doesn’t provide general authority substantive review of the 2006 rule, but 2003 Form T–1 rule developed the to require trusts to demonstrate that the court noted that the AFL–CIO ‘‘significant trust in which the labor they operate in a manner beneficial to demonstrated that ‘‘the absence of a organization is interested’’ test. It used union members.’’ Id. at 390. fresh comment period. . .constituted the section 3(l) statutory definition of ‘‘a However, the court recognized that prejudicial error’’ and that the AFL–CIO trust in which a labor organization is reports on trusts that reflect a labor objected with ‘‘reasonable specificity’’ interested’’ coupled with an organization’s financial condition and to warrant relief vacating the rule. Id. at administrative determination of when a operations are within the Department’s 90–92. trust is deemed ‘‘significant.’’ 68 FR at rulemaking authority, including trusts The Department issued a proposed 58477–78. The LMRDA defines a ‘‘trust ‘‘established by one or more unions or rule for a revised Form T–1 on March in which a labor organization is through collective bargaining 4, 2008. 73 FR 11754 (Mar. 4, 2008). interested’’ as: agreements calling for employer After notice and comment, the 2008 contributions, [where] the union has Form T–1 final rule was issued on A trust or other fund or organization (1) which was created or established by a labor retained a controlling management role October 2, 2008. 73 FR 57412. The 2008 organization, or one or more of the trustees in the organization,’’ and also those Form T–1 rule took effect on January 1, or one or more members of the governing ‘‘established by one or more unions 2009. Under that rule, Form T–1 reports body of which is selected or appointed by a with union members’ funds because would have been filed no earlier than labor organization, and (2) a primary purpose such establishment is a reasonable March 31, 2010, for fiscal years that of which is to provide benefits for the indicium of union control of that trust.’’ began no earlier than January 1, 2009. members of such labor organization or their Id. The court acknowledged that the Pursuant to AFL–CIO v. Chao, the beneficiaries. Id. (quoting 29 U.S.C. 402(l)). Department’s findings in support of its 2008 Form T–1 rule stated that labor The 2003 Form T–1 rule set forth an rule were based on particular situations organizations with total annual receipts administrative determination that stated where reporting about trusts would be of $250,000 or more must file a Form T– that a ‘‘trust will be considered necessary to prevent evasion of the 1 for those section 3(l) trusts in which significant’’ and therefore subject to the related labor organizations’ own the labor organization, either alone or in Form T–1 reporting requirement under reporting obligations. Id. at 387–88. One combination with other labor the following conditions: example included a situation where organizations, had management control (1) The labor organization had annual ‘‘trusts [are] funded by union members’ or financial dominance. 73 FR at 57412. receipts of $250,000 or more during its most funds from one or more unions and For purposes of the rule, a labor recent fiscal year, and (2) the labor employers, and although the unions organization had management control if organization’s financial contribution to the retain a controlling management role, no the labor organization alone, or in trust or the contribution made on the labor individual union wholly owns or combination with other labor organization’s behalf, or as a result of a dominates the trust, and therefore the organizations, selected or appointed the negotiated agreement to which the labor use of the funds is not reported by the majority of the members of the trust’s organization is a party, is $10,000 or more governing board. Further, for purposes annually. Id. at 58478. related union.’’ Id. at 389 (emphasis added). In citing these examples, the of the rule, a labor organization had The portions of the 2003 rule relating court explained that ‘‘absent financial dominance if the labor to the Form T–1 were vacated by the circumstances involving dominant organization alone, or in combination D.C. Circuit in AFL–CIO v. Chao, 409 control over the trust’s use of union with other labor organizations, F.3d 377, 389–391 (D.C. Cir. 2005). The members’ funds or union members’ contributed more than 50 percent of the court held that the form ‘‘reaches funds constituting the trust’s trust’s receipts during the annual information unrelated to union predominant revenues, a report on the reporting period. Significantly, the rule reporting requirements and mandates trust’s financial condition and treated contributions made to a trust by reporting on trusts even where there is operations would not reflect on the an employer pursuant to CBA as no appearance that the union’s related union’s financial condition and constituting contributions by the labor contribution of funds to an independent operations.’’ Id. at 390. For this reason, organization that was party to the organization could circumvent or evade while acknowledging that there are agreement. union reporting requirements by, for circumstances under which the Additionally, the 2008 Form T–1 rule example, permitting the union to Secretary may require a report, the court provided exemptions to the Form T–1 maintain control of the funds.’’ Id. at disapproved of a broader application of filing requirements. No Form T–1 was 389. The court also vacated the Form T– the rule to require reports by any labor required for a trust: (1) Established as a 1 portions of the 2003 rule because its organization simply because the labor political action committee (PAC) fund if significance test failed to establish organization satisfied a reporting publicly available reports on the PAC reporting based on domination or threshold (a labor organization with fund were filed with Federal or state managerial control of assets subject to annual receipts of at least $250,000 that agencies; (2) established as a political LMRDA Title II jurisdiction. contributes at least $10,000 to a section organization for which reports were The court reasoned that the 3(l) trust with annual receipts of at least filed with the IRS under section 527 of Department failed to explain how the $250,000). Id. the IRS code; (3) required to file a Form test—i.e., selection of one member of a In light of the decision by the D.C. 5500 under ERISA; or (4) constituting a board and a $10,000 contribution to a Circuit and guided by its opinion, the federal employee health benefit plan trust with $250,000 in receipts—could Department issued a revised Form T–1 that was subject to the provisions of the give rise to circumvention or evasion of final rule on September 29, 2006. 71 FR Federal Employees Health Benefits Act Title II reporting requirements. Id. at 57716 (Sept. 29, 2006) (2006 Form T–1 (FEHBA), 5 U.S.C. 8901 et seq. 390. In so holding, the court rule). The U.S. District Court for the Similarly, the rule clarified that no
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Form T–1 was required for any trust that https://www.reginfo.gov/public/do/ trust for which an audit was conducted met the statutory definition of a labor eAgendaViewRule? in accordance with prescribed standards organization, 29 U.S.C. 402(i), and filed pubId=201810&RIN=1245-AA09. On and the audit is made publicly a Form LM–2, Form LM–3, or Form May 30, 2019 the Department proposed available. A labor organization choosing LM–4 or was an entity that the LMRDA to establish a Form T–1 Trust Annual to use this option must complete and exempts from reporting. Id. Report to capture financial information file the first page of the Form T–1 and In the Spring 2009 and Fall 2009 pertinent to ‘‘trusts in which a labor a copy of the audit. Id. Regulatory Agendas, the Department organization is interested’’ (‘‘section 3(l) Unlike the 2008 rule, the 2020 rule notified the public of its intent to trusts’’). See 84 FR 25130. After notice exempts unions from reporting on the initiate rulemaking proposing to rescind and comment, the Department Form T–1 their subsidiary the Form T–1 and to require reporting published the final Rule on March 6, organizations, retaining the requirement of wholly owned, wholly controlled, 2020. 85 FR 13414. that unions must report their and wholly financed (‘‘subsidiary’’) Under this rule, and similar to the subsidiaries on the union’s Form LM–2 organizations on their Form LM–2 or 2008 rule, the Department requires a report. Id. Also unlike the 2008 rule, the LM–3 reports. See http:// labor organization with total annual 2020 rule permits the parent union (i.e., www.reginfo.gov/public/do/ receipts of $250,000 or more (and, the national/international or eAgendaViewRule? which therefore is obligated to file a intermediate union) to file the Form T– pubId=200904&RIN=1215-AB75 and Form LM–2 Labor Organization Annual 1 report for covered trusts in which both http://www.reginfo.gov/public/do/ Report) to also file a Form T–1, under the parent union and its affiliates meet eAgendaViewRule? certain circumstances, for each trust of the financial or managerial domination pubId=200904&RIN=1215-AB75. the type defined by section 3(l) of the test. Id. The affiliates must continue to Due to the proposed rescission, on LMRDA, 29 U.S.C. 402(l) (defining identify the trust in their Form LM–2 December 3, 2009, the Department ‘‘trust in which a labor organization is report, and also state in their Form LM– issued a notice of proposed extension of interested’’). 85 FR 13417. Such labor 2 report that the parent union will file filing due date to delay for one calendar organizations must file where the labor a Form T–1 report for the trust. Id. The year the filing due dates for Form T–1 organization during the reporting 2020 rule also allows a single union to reports required to be filed during period, either alone or in combination voluntarily file the Form T–1 on behalf calendar year 2010. 74 FR 63335. On with other labor organizations, (1) of itself and the other unions that December 30, 2009, following comment, selects or appoints the majority of the collectively contribute to a multiple- the Department published a rule members of the trust’s governing board union trust, relieving the Form T–1 extending for one year the filing due or (2) contributes more than 50 percent obligation on other unions. Id. date of all Form T–1 reports required to of the trust’s receipts. Id. When B. Reasons for the Proposal To Rescind be filed during calendar year 2010. 74 applying this financial or managerial the March 6, 2020 Form T–1 Final Rule FR 69023. dominance test, contributions made Subsequently, on February 2, 2010, pursuant to a collective bargaining The Department is proposing to the Department published a Notice of agreement (CBA) shall be considered the rescind the 2020 Form T–1 rule for two Proposed Rulemaking (NPRM) labor organization’s contributions. Id. In reasons. First, the Department believes proposing to rescind the Form T–1. 75 its final rule, the Department stated that that the trust reporting required under FR 5456. After notice and comment, the the rule helped bring the reporting the rule is overly broad, as it includes Department published the final rule on requirements for labor organizations and exclusively employer-funded trusts. December 1, 2010. In its rescission, the section 3(l) trusts in line with Employer-funded trusts are not funds of Department stated that it considered the contemporary expectations for the a labor organization, subject to the reporting required under the rule to be disclosure of financial information and LMRDA’s Title II reporting overly broad and not necessary to prevent the circumvention or evasion of requirements. Accordingly, required prevent circumvention or evasion of the LMRDA’s reporting requirements reporting of such employer-funded Title II reporting requirements. The through funds over which labor trusts is not necessary to prevent the Department concluded that the scope of organizations exercise domination. 85 circumvention and evasion of the Title the 2008 Form T–1 rule was overbroad FR 13415. II reporting requirements. Second, the because it covered many trusts, such as Like the 2008 rule, exemptions are Department has reviewed the 2020 those funded by employer provided for a trust that is a political rulemaking record and is concerned that contributions, without an adequate action committee (‘‘PAC’’) or a political the separate reporting requirements set showing that reporting for such trusts is organization (the latter within the forth in the 2020 Form T–1 rule are not necessary to prevent the circumvention meaning of 26 U.S.C. 527). No T–1 form justified in light of the burden they or evasion of the Title II reporting is required for federal employee health impose. requirements. See 75 FR 74936. benefit plans subject to the provision of In the Spring and Fall Regulatory the Federal Employees Health Benefits The 2020 Form T–1 Rule Is Overbroad Agendas for 2017 and 2018, the Act (FEHBA), any for-profit commercial Under the Act, the Secretary has the Department notified the public of its bank established or operating pursuant authority to ‘‘issue, amend, and rescind intent to initiate rulemaking reinstating to the Bank Holding Act of 1956, 12 rules and regulations prescribing the the Form T–1 Trust Annual Report. See U.S.C. 1843, or credit unions. 85 FR form and publication of reports required https://www.reginfo.gov/public/do/ 13418. Similar to the 2008 rule, but to be filed under this title and such eAgendaViewRule? unlike the 2003 or 2006 rules, the 2020 other reasonable rules and regulations pubId=201704&RIN=1245-AA09, T–1 rule includes an exemption for (including rules concerning trusts in https://www.reginfo.gov/public/do/ section 3(l) trusts that are part of which a labor organization is interested) eAgendaViewRule? employee benefit plans that file a Form as he may find necessary to prevent the pubId=201710&RIN=1245-AA09, 5500 Annual Return/Report under the circumvention or evasion of such https://www.reginfo.gov/public/do/ Employee Retirement Income Security reporting requirements.’’ 29 U.S.C. 438. eAgendaViewRule? Act of 1974 (‘‘ERISA’’). Id. Additionally, The Secretary’s regulatory authority pubId=201804&RIN=1245-AA09, and a partial exemption is provided for a thus includes the reporting mandated by
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the Act and discretionary authority to reporting of union money subject to these moneys would not ordinarily require reporting on trusts falling within Title II. relate to the condition and operations of the statutory definition of a trust ‘‘in As explained in the 2020 Form T–1 the union. And in addition, by which a labor organization is rule, section 201 of the LMRDA requires definition, Taft-Hartley funds may not interested.’’ 29 U.S.C. 402(l). The that unions ‘‘file annual, public reports have union managerial dominance Secretary’s discretion to require separate with the Department, detailing the because ‘‘employees and employers are trust reporting applies to trusts if: (1) union’s cash flow during the reporting equally represented in the The union has an interest in a trust as period, and identifying its assets and administration of such fund[s], together defined by 29 U.S.C. 402(l) and (2) liabilities, receipts, salaries and other with such neutral persons as the reporting is determined to be necessary direct or indirect disbursements to each representatives of the employers and the to prevent the circumvention or evasion officer and all employees receiving representatives of employees may agree of Title II reporting requirements. 29 $10,000 or more in aggregate from the upon.’’ See 29 U.S.C. 186(c)(5)(B). U.S.C. 438. As both the Department and union, direct or indirect loans (in excess Disclosure of such funds is thus the court recognized, this is a two part of $250 aggregate) to any officer, unnecessary to ensure that unions requirement. See AFL–CIO v. Chao, 409 employee, or member, any loans (of any comply with their own financial F.3d 377, 386–87 (D.C. Cir. 2005) amount) to any business enterprise, and reporting requirements under the (discussion of two-part test). other disbursements.’’ 85 FR at 13414 LMRDA. Consequently, the Department A key feature of the Secretary’s (citing 29 U.S.C. 431(b)). Further, now proposes to rescind the 2020 Form discretionary authority to require trust section 201 requires that such T–1 rule as overly broad, as it applies reporting is the requirement that the information shall be filed ‘‘in such to Taft-Hartley plans, by requiring Secretary conclude that such reporting detail as may be necessary to disclose [a reporting in instances where a union is is ‘‘necessary’’ to prevent circumvention labor organization’s] financial condition not in a position to use a trust to or evasion of a labor organization’s and operations.’’ 85 FR at 13414 (citing circumvent or evade its reporting requirement to report on its finances Id.). Significantly, each financial requirement. under the LMRDA. The Department transaction to be reported is one that In an apparent acknowledgement that now believes that the 2020 Form T–1 reflects upon the union’s financial the 2020 Form T–1 rule, as it relates to rule was overly broad, requiring condition and operations, not the the Taft-Hartley plans, was premised financial reporting by many trusts, financial condition and operations of upon policies in addition to preventing including trusts funded by employers another entity. circumvention of Title II reporting, the Thus, under the Act, the Secretary pursuant to collective bargaining final rule stated that, ‘‘[b]y establishing may require trust reporting when he agreements, without an adequate reporting for their trusts comparable to concludes it is necessary to prevent the that for their own funds, the Form T– showing that such a change is necessary circumvention or evasion of labor 1 will prevent the unions from to prevent circumvention or evasion of organization’s Title II reporting circumventing or evading their the reporting requirements. requirements. See 29 U.S.C. 208. The reporting requirements, ensuring In particular, the rule provided that, Title II reporting requirements for a financial transparency for all funds for purposes of evaluating whether labor organization require it ‘‘to disclose dominated by the unions.’’ 85 FR at payments to a trust indicate that the its financial condition and operations.’’ 13419. By emphasizing that the 2020 union is financially dominant over the 29 U.S.C. 201(b)(emphasis added). Form T–1 would establish reporting for trust, payments made by employers to Consequently, trust reporting is ‘‘trusts’’ comparable to the reporting for set up trusts under Section 302(c) of the permissible to prevent a labor union ‘‘union funds,’’ the rule appears to have LMRA, 29 U.S.C. 186(c) (Taft-Hartley from using a trust to circumvent provided for more general reporting funds) should be treated as funds of the reporting of the labor union’s finances. than would be ‘‘necessary to prevent’’ union. Taft-Hartley funds are created Like the 2008 Form T–1 rule, the 2020 the circumvention of LMRDA reporting and maintained through employer Form T–1 rule did not adequately requirements. Therefore, since the contributions paid to a trust fund, address the ‘‘need’’ part of the two-part statute calls for trust reporting just to pursuant to a collective bargaining test when it presumed that employer prevent the circumvention or evasion of agreement, and must have equal contributions establish labor union the union’s reporting requirements, the numbers of union and management financial domination of a trust. Indeed, financial transparency goal here exceeds trustees, who owe a duty of loyalty to after review, the Department proposes what the statute demands. the trust. Taft-Hartley funds are that the money contributed by the The 2020 final rule states that the established for the ‘‘sole and exclusive employer to a Taft-Hartley fund not be Form T–1 ‘‘will make it more difficult benefit of the employees’’ and are considered the property of the union, for a labor organization to avoid, simply exempt from the statutory prohibition and thus its disclosure would not by transferring money from the labor against an employer paying money to ‘‘disclose [the union’s] financial organization to a trust, the basic employees, representatives, or labor condition and operations.’’ 29 U.S.C. reporting obligation that applies if the organizations. See 29 U.S.C. 186(a) and 201(b). Conversely, a union’s funds had been retained by the labor (c)(5). nondisclosure of such funds would not organization.’’ 85 FR 13418. However, The Department recognizes that be an evasion of the union’s reporting the rule provided no evidence that labor section 3(l) ‘‘trusts in which a union is requirement. The Department now organizations were transferring their interested’’ term is sufficiently broad to proposes that such ordinary employer own funds to Taft-Hartley trusts, and, by encompass Taft-Hartley plans funded by funds, not within the control of the definition, Taft-Hartley funds do not employer contributions. However, as union, would in no instance be reported have union managerial dominance. explained above, this is only the first by a union under the LMRDA reporting Thus, it is not apparent how such funds part of the section 208 analysis. The requirements. Such payments are would meet the Form T–1 dominance second part of the analysis requires that generally paid by the employer to the test. In an apparent acknowledgment of the Secretary determine that the Taft-Hartley trust for the sole and this dilemma, the Department argued in reporting is necessary to prevent exclusive benefit of the employees, and the 2020 Final Rule that ‘‘the money an circumvention or evasion of the it appears that the payment and use of employer contributes to such trusts
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pursuant to a CBA might otherwise have Rulemaking Record Does Not Support a report with another agency. Indeed, been paid directly to a labor 2020 Form T–1 Rule in Light of Burden the 2020 rule discusses primarily organization’s members in the form of Imposed apprenticeship and training and similar increased wages and benefits, the The 2020 rule imposed significant Taft-Hartley funds. However, such trusts members on whose behalf the financial burdens on Form LM–2 filing labor typically already file detailed disclosure transaction was negotiated have an organizations. The Department reports, such as the Form 5500 with the interest in knowing what funds were estimated that there will be at least 810 Department’s Employee Benefits contributed, how the money was Form LM–2 organizations filing a Form Security Administration (EBSA) and managed, and how it was spent.’’ 85 FR T–1 report. 85 FR 13437. In the first year Form 990 with the Internal Revenue 13418. Assuming this is so, these of reporting Form T–1 filers would Service (IRS), which provide 3 underlying wages and benefits would spend approximately 121.38 hours per comparable reporting to the Form T–1. not have been reported on a Form LM– report, which results in a total of Both IRS Form 990 and EBSA form 5500 require comprehensive reporting of 2. Therefore, it is not apparent that 251,256.6 burden hours. 85 FR 13433. In financial information such as assets, payment of these potential wages and subsequent years, Form T–1 filers would spend approximately 84.12 hours liabilities, officer and director benefits to a trust involves the payments, leases, and other financial circumvention or evasion of Title II per report, which would result in 174,128.4 additional burden hours. Id. transactions.4 These forms provide the reporting. Thus, with respect to these type of financial information that funds, it is not clear from the final rule The total expected first-year costs of the Form T–1 are $15,009,801, and in interested parties such as union how the Form T–1 will ‘‘close a subsequent years the total cost would be members could use to monitor the use reporting gap where labor organization $10,385,820.1 85 FR 13437. These of trust funds in order to prevent finances related to LMRDA section 3(l) burdens add to existing Form LM–2 circumvention or evasion of Title II trusts were not disclosed to members, recordkeeping and reporting burdens, reporting obligations and to detect and the public, or the Department.’’ and the union members ultimately bear deter fraud. Thus, the Department now (emphasis added) 84 FR 25416. these costs. Despite the burden imposed believes that the Form T–1 may have In AFL–CIO v. Chao, the Court of by the 2020 rule, the Department did established a largely redundant Appeals for the D.C. Circuit held that not engage in an in-depth study into reporting regime. the 2003 Form T–1 ‘‘reaches whether the Form T–1 would provide Further, the 2020 rule did not information unrelated to union needed or desired information to labor adequately explain why the Form T–1 reporting requirements and mandates organization members or help detect or exempted the EBSA Form 5500 and certain IRS filings, such as those filed by reporting on trusts even where there is deter labor-management fraud. Upon political organizations under 26 U.S.C. no appearance that the union’s review, the Department is concerned 527, but not trusts that file the Form 990 contribution of funds to an independent that the 2020 rule’s record did not with the IRS. The 2020 rule focused on organization could circumvent or evade provide sufficient evidentiary support to justify the significant reporting burden the unique nature of the union reporting union reporting requirements.’’ AFL– required under the LMRDA, and the CIO v. Chao, 409 F.3d at 389. The imposed on labor organizations. The Department invites comment on this Department continues to hold that IRS Department proposes that the 2020 point. Form 990 by labor organizations does Form T–1 rule may be overly broad in First, in issuing the 2020 rule the not provide a substitute for Form LM– the same manner, requiring many labor Department did not undertake a study to 2, LM–3, and LM–4 reporting by labor organizations to file the Form T–1 for determine whether the 2020 rule was organizations. However, trusts are not independent Taft-Hartley trusts, even necessary to prevent circumvention or labor organizations, and the Department where there is no apparent means by evasion of Title II reporting obligations, is, therefore, concerned that the 2020 which the union could use the trust as whether the Form T–1 would detect or rule did not provide a justification as to a means of circumventing or evading its deter fraud, or whether the 2020 rule’s why such reporting—as well as the Title II reporting requirements. rulemaking record established what other types of reporting exemptions that Furthermore, the Department members may want or need or even the 2020 rule provided—is not a rescinded the Form T–1 in 2010 for the offer suggestions as to how members sufficient substitute for Form T–1 same lack of statutory authority. See 75 would use the information to self- reporting. See 85 FR 13425–26. 2 Second, adding to the burden on the FR 74938. While the 2020 rule govern their unions. In terms of filing unions, the information necessary acknowledged this issue, the rule did benefits to union members, they will to complete the report is in the control not adequately address this legal continue to receive detailed information of the trust, not the reporting union, concern. Indeed, in an acknowledgment about their union’s finances, including the identity and contact information of notwithstanding that many if not most that employer contributions to a trust do the union’s trusts, through the annual of the trusts on which they are required not constitute the circumvention or Form LM–2 report available on the to report are operated jointly with evasion of labor organization funds, the OLMS website. In particular, members employers. Furthermore, trusts are 2020 rule argued that Form T–1 will see whether the trust already files under no legal obligation to provide reporting for Taft-Hartley trusts could their records to the union for the sake prevent the circumvention of employer 1 The 10-year annualized cost of the rule would of the union’s reporting requirement. or labor organization officer or be $10,285,704 at a 3 percent discount rate and The 2020 rule offered no factual support employee reporting under LMRDA $9,608,788 at a 7 percent discount rate. 85 FR suggesting that trusts, whose trustees Sections 202 and 203. See 85 FR 13422. 13438. 2 See the Department’s rescission of Form LM–2 may have a fiduciary obligation to the However, the 2020 rule provided no changes, in 2009, based, in part, on the lack of a support for this conclusion. Moreover, study into the potential benefits and burdens of 3 See https://www.irs.gov/charities-non-profits/ the logical conclusion of such argument earlier, 2003 Form LM–2 changes prior to annual-filing-and-forms promulgating even more expansive Form LM–2 4 See id.; see also https://www.dol.gov/agencies/ is that the employer should file the trust reporting requirements in 2009. See 74 FR 52406– ebsa/employers-and-advisers/plan-administration- report, not the labor organization. 09. and-compliance/reporting-and-filing/form-5500.
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trust, would agree to provide their officials associated with the NTC, public would notice the connection. See records to the union. Compiling such pursuant to the Taft-Hartley Act, for 85 FR 13418–19. It is just as likely, records and providing them to the union unlawful employer payments to UAW however, that union members or the would constitute a significant annual officials. See 29 U.S.C. 186. Since the public may already recognize this expense and a significant amount of lost LMRDA Section 202 and 203 reporting financial connection more directly via time that should be devoted to the requirements would require disclosure the IRS Form 990, Schedule L administration of the trust. It is unclear of these payments, and require the (Transactions with Interested Persons).6 how a union could compel a trust that parties to file reports pursuant to the Thus, the Form 990 actually provides refuses to provide records, and thus it Department’s Form LM–30 Labor greater transparency in this regard than is equally unclear why trustees would Organization Officer and Employee would the Form T–1, which undercuts approve complying with union requests. Report and Form LM–10 Employer this rationale as a basis for supporting Additionally, upon further review, the Report, the Department already had a Form T–1 reporting requirement. Department now considers the Form T– investigatory authority and access to Additionally, the 2020 rule reviewed 1 reporting regime as almost necessary financial information to Form LM–2 reports from FY 17 and unworkable from the perspective of the effectively investigate this matter. See offered examples purportedly justifying filing labor unions and the Department, 29 U.S.C. 432–433 and 531. the rule, but after careful consideration, since it may result in multiple unions Additionally, the general public, the Department believes that such filing for a single trust or determining including members of labor examples do not adequately support the which union would file for the others, organizations, already has access to rulemaking. See 85 FR 13419. For thereby taking on the legal obligations reports containing similar, if not example, the 2020 rule cited a local associated with the form. The 2020 rule identical, information that would be union that made expenditures to a acknowledged this problem by included on the Form T–1, and the credit union. However, the 2020 rule including a provision allowing one Department already has the necessary exempted credit unions from the Form union to file the Form T–1 report for the investigatory authority to identify and T–1 reporting requirements because other unions, but the Department now eradicate the specific fraud that the existing law already provides detailed considers this solution as unworkable. Form T–1 is meant to combat. For transparency and oversight. The 2020 The Department invites comment on example, the NTC filed a Form 990 that rule also mentioned a local union this point, as well as the points of the listed three of the six UAW officials making payments to a trust that preceding paragraphs. who took unlawful payments from FCA constitutes an information technology Third, in terms of detecting and under Part VII (Compensation of (IT) service corporation established by deterring fraud or preventing the Officers, Directors, Trustees, Key the local union to provide it with IT circumvention and evasion of Title II Employees, Highest Compensated services. But after further review, the reporting obligations, the 2020 rule did Individuals, and Independent local union reported on its Form LM–2 not sufficiently demonstrate how the Contractors), and the trust should have that the trust already files the IRS Form Form T–1 would further these goals. reported payments to two other UAW 1065. Another example discussed Initially, as explained above, because of officials’ sham charities on Schedule I payments from a union to a labor the redundant nature of much of this (Grants and Other Assistance to college; but the labor college files a reporting, it is not apparent that the Organizations, Governments, and Form 990, which provides the necessary Form T–1 would provide any additional Individuals in the United States).5 transparency the Form T–1 sought. information necessary for OLMS to track Moreover, the 2020 rule also cited Further, the Department believes that fraud. Existing reporting regimes examples of fraud involving full implementation and enforcement of already provide valuable information. apprenticeship and training plans and the Form T–1 would actually deprive Further, OLMS has a well-established other ERISA-covered entities, which the Department of resources needed to history of effectively enforcing the EBSA uncovered with its existing administer and enforce effectively the LMRDA and combatting labor- enforcement authority pursuant to LMRDA, since the Department would management fraud. See the OLMS ERISA. See 85 FR 13419–20. need to expend significant resources enforcement results: https:// The 2020 rule provided other creating and maintaining an electronic www.dol.gov/agencies/olms/ examples and hypothetical situations as Form T–1; provide compliance enforcement. Indeed, in recent years purportedly demonstrating the need of assistance to unions and trusts on such and as discussed in the 2020 rule, the the Form T–1 to detect and deter filing and related recordkeeping Department played a key role in fraudulent activity. However, upon requirements; and pursue delinquent securing over a dozen indictments and additional review, these examples do Form T–1 reports, particularly for convictions in the UAW-Fiat Chrysler of not seem to demonstrate a need for the unions unable to obtain timely (if at all) America (FCA) National Training Center Form T–1. For example, the 2020 rule the necessary information from the (NTC) scandal, without the Form T–1. offered a hypothetical example of a trust trust. The Department invites comment See 85 FR 13421. While the 2020 rule making a $15,000 payment to a printing on this point and the points of the relies heavily on these UAW-Fiat company owned by a union official. In preceding paragraphs. Chrysler of America convictions as such a situation, the ownership of the Therefore, in light of the foregoing grounds for adopting the Form T–1, printing company would not actually concerns, the Department proposes to after consideration, the Department now appear on the Form T–1, but the 2020 rescind the rule implementing the Form believes that those cases do not provide rule postulated that members or the T–1 because it believes that, as it support for the 2020 rule and that, concerns Taft-Hartley plans, the trust instead, the ability to obtain such results 5 See OLMS FY 18 Annual Report. While the reporting required under the rule is without the Form T–1 undercuts the Form 990s filed by the trust did not properly report overly broad and thus not necessary to ‘‘need’’ for imposing a new reporting these payments, the Department of Justice secured prevent the circumvention and evasion burden. Working jointly with the indictments covering conspiring to defraud the United States by preparing and filing false tax of the Title II reporting requirements. Department of Justice and others, the returns for the NTC that concealed millions of Department of Labor secured dollars in prohibited payments directed to UAW 6 See: https://www.irs.gov/forms-pubs/about- convictions of management and union officials. schedule-l-form-990.
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Further, the Department also proposes V. Regulatory Procedures costs incurred by labor organizations to rescission, as it has reviewed the 2020 file the Form T–1 reports in subsequent Executive Orders 12866 (Regulatory rulemaking record and no longer views Planning and Review) and 13563 years (assuming that filers have already the separate reporting requirements as (Improving Regulation and Review) incurred many of the first year costs set forth in the 2020 Form T–1 rule as discussed in the 2020 Final Rule). If the justified in light of the burden they Under Executive Order (E.O.) 12866, Department rescinds the Form T–1, as impose. The Department invites the Office of Management and Budget proposed, the affected labor comments on its proposal to rescind the (OMB)’s Office of Information and organizations would save these future 2020 Form T–1 rule. Regulatory Affairs (OIRA) determines costs. Using data from LM–2 filings, the whether a regulatory action is Department estimated, in the 2020 Form IV. Specific Proposed Changes to the significant and, therefore, subject to the T–1 final rule, that there are at least 810 Form LM–2 Instructions and the requirements of E.O. 12866 and OMB total affected labor organizations (i.e., LMRDA Regulations review.7 Section 3(f) of E.O. 12866 LM–2 filers with trusts for which they defines a ‘‘significant regulatory action’’ A. Changes to the Form LM–2 as an action that is likely to result in a must submit at least 1 Form T–1). The Department estimated in the 2020 final To implement the rescission of the rule that (1) has an annual effect on the economy of $100 million or more, or rule that each affected labor Form T–1, the Department proposes to organization would be responsible for make the following changes to the Form adversely affects in a material way a sector of the economy, productivity, an average of 2.56 Form T–1 filings. LM–2 Labor Organization Annual Additionally, each affected labor Report: competition, jobs, the environment, public health or safety, or State, local or organization would spend 1. Section IX—Labor Organizations In tribal governments or communities (also approximately 84.12 hours in each Trusteeship: The Department proposes to referred to as economically significant); subsequent year to fill out the Form T– revise this section to remove any reference to (2) creates serious inconsistency or 1.8 The average hourly wage for Form the Form T–1. otherwise interferes with an action T–1 filers, as with Form LM–2 filers, 2. Section XI—Completing Form LM–2: taken or planned by another agency; (3) includes: $37.89 for an accountant, The Department proposes changes to the materially alters the budgetary impacts $20.25 for a bookkeeper or clerk, $25.15 instructions to Item 10 (Trusts or Funds). The of entitlement grants, user fees, or loan for a Form LM–2 filing union secretary- instructions for Item 10 would be changed to programs, or the rights and obligations treasurer or treasurer, and $29.21 for the remove any reference to the Form T–1, of recipients thereof; or (4) raises novel Form LM–2 filing president, although basic information about the trust legal or policy issues arising out of legal respectively.9 The weighted average would still be required, as would a cite to mandates, the President’s priorities, or hourly wage is $36.53.10 To account for any report filed for the trust with another the principles set forth in E.O. 12866. fringe benefits and overhead costs, as government agency, such as the Department’s OMB has determined that this rule is well as any other unknown costs or Employee Benefits Security Administration significant under section 3(f) of E.O. increases in the wage average, the (EBSA) or the Internal Revenue Service (IRS). 12866. Pursuant to the Congressional average hourly wage has been The public can view the proposed Review Act (5 U.S.C. 801 et seq.), OIRA multiplied by 1.63, so the fully loaded × Form LM–2 changes in the has designated this rule as not a ‘major hourly wage is $59.54 ($36.53 1.63 = accompanying ICR, pursuant to the rule’, as defined by 5 U.S.C. 804(2). $59.54).11 E.O. 13563 directs agencies to propose PRA. See Part V (Regulatory Therefore, the cost for each Form T– or adopt a regulation only upon a Procedures), PRA section. 1 filer in subsequent years would be reasoned determination that its benefits $12,822 (2.56 × 84.12 × $59.54 = B. Changes to the LMRDA Regulations justify its costs; the regulation is tailored $12,822), which would be eliminated if to impose the least burden on society, the Department rescinds the Form T–1, As described in the below regulatory consistent with achieving the regulatory procedures section, and in order to objectives; and in choosing among as proposed. implement the rescission of the 2020 alternative regulatory approaches, the Form T–1 rule, the Department proposes agency has selected those approaches 8 For more details, see the Paperwork Reduction to remove the references to the Form T– Act section below. that maximize net benefits. E.O. 13563 9 Wage rates are derived from 2018 data; more 1 located in the Department’s LMRDA recognizes that some benefits are specifically, the president and treasurer wage rates regulations at 29 CFR part 403. difficult to quantify and provides that, are determined from FY 19 Form LM–2 report Additionally, as described in the below where appropriate and permitted by filings, while the accountant and bookkeeper wage regulatory procedures section, the rates come from 2018 Bureau of Labor Statistics law, agencies may consider and discuss (BLS) data available at: https://www.bls.gov/oes/ Department proposes to require qualitatively values that are difficult or 2018/may/oes_nat.htm. mandatory electronic filing for labor impossible to quantify, including 10 The weighted average calculates the wage rate organizations that submit simplified equity, human dignity, fairness, and per hour weighted according to the percentage of annual reports pursuant to 29 CFR distributive impacts. time that the Form T–1’s completion will demand 403.4(b). The Department’s experience of each official/employee: 90 percent of the Form A. Costs of the Form T–1 for Labor T–1 burden hours will be completed by an with Form LM–2, LM–3, and LM–4 accountant, 5 percent by the bookkeeper, 4 percent reporting demonstrates that labor Organizations by the union’s treasurer/secretary-treasurer, and 1 organizations can submit such reports As described in the 2020 Form T–1 percent by the union president. electronically with little difficulty and final rule, the Form T–1 is filed by Form 11 The use of 1.63 accounts for 17 percent for overhead and 46 percent for fringe. In the case of with burden reductions for the labor LM–2 filing labor organizations with the 46 percent for fringe, see the following link to organization filers and the Department. trusts that meet the dominance test, if BLS data showing that wages and salaries represent Further, the public benefits from more those labor organizations are not 68.6 percent (.686) of compensation (https:// timely disclosure on the OLMS website. otherwise exempted from filing. Cost www.bls.gov/news.release/ecec.t02.htm). Dividing total compensation by the 68.6 percent represented The Department anticipates such savings discussed below concern the by wages and salaries is equivalent to a 1.46 benefits for electronic simplified annual multiplier. Adding a 17 percent multiplier (.17) for reports, as well. 7 See 58 FR 51735 (September 30, 1993). overhead equals 1.63.
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B. Summary of Costs constitute a ‘‘substantial’’ number of and benefits. Further, the form requires The proposed rule would save 810 small entities. See 85 FR 13439. labor organizations to allocate the time Form LM–2 filers a total of $10,385,820 Therefore, a regulatory flexibility their officers and employees spend annually. The 10-year annualized cost is analysis under the Regulatory according to functional categories, as expected to be $10,285,704 at a 3 Flexibility Act is not required. The well as the payments that each of these percent discount rate and $9,608,788 at Secretary has certified this conclusion officers and employees receive, and it a 7 percent discount rate. to the Chief Counsel for Advocacy of the requires the itemization of certain Small Business Administration. transactions totaling $5,000 or more. It C. Benefits must include reporting of loans to Unfunded Mandates Reform As explained more fully in the officers, employees and business preamble to this proposed rule, the This proposed rule does not include enterprises; existence of any trusts; Department proposes to rescind the any Federal mandate that may result in payments to each officer; and payments Form T–1, as it proposes that the 2020 increased expenditures by State, local, to each employee of the labor Form T–1 rule does not prevent the and tribal governments, in the aggregate, organization paid more than $10,000, in circumvention or evasion of the LMRDA of $100 million or more, or in increased addition to other information. The reporting requirements, nor does it expenditures by the private sector of Secretary also has prescribed simplified detect or deter labor-management fraud $100 million or more. annual reports for smaller labor organizations. Form LM–3 may be filed or corruption. Rather, the Department Paperwork Reduction Act believes that existing reporting by unions with $10,000 or more, but requirements adequately address these A. Summary of the Proposed Rule less than $250,000 in annual receipts, and Form LM–4 may be filed by unions concerns. Further, rescission of the 2020 The following is a summary of the with less than $10,000 in annual Form T–1 rule would provide labor need for and objectives of the proposed receipts. A local union that has no organizations with additional resources rule. A more complete discussion of assets, liabilities, receipts, or to devote to existing reporting various aspects of the proposal is found disbursements, and which is not in requirements. in the preamble. trusteeship, is not required to file an The proposed rule would rescind the D. Alternatives annual report if its parent union files a Form T–1 Trust Annual Report As potential alternatives to rescinding simplified annual report on its behalf. In established by final rule on March 6, the Form T–1, the Department could order to be eligible for this simplified 2020. maintain the existing Form T–1 or annual reporting, the local must be The LMRDA was enacted to protect propose a scaled back version. The governed solely by a uniform the rights and interests of employees, retention of the Form T–1 would retain constitution and bylaws filed with labor organizations and the public the burdens discussed in the 2020 Form OLMS by its parent union and its T–1 rule, and the Department now generally as they relate to the activities members must be subject to uniform considers that these burdens are not of labor organizations, employers, labor fees and dues applicable to all members justified by the purported benefits. relations consultants, and labor of the local unions for which the parent Rather, the Department now believes organization officers, employees, and union files simplified reports. The that existing reporting provides much if representatives. Provisions of the parent union must submit annually to not all of the potential benefits of the LMRDA include financial reporting and OLMS certain basic information about Form T–1. Further, while a scaled back disclosure requirements for labor the local, including the names of all Form T–1 would reduce such burdens, organizations and others as set forth in officers, together with a certification the Department did not consider this Title II of the Act. See 29 U.S.C. 431– signed by the president and treasurer of approach, since the current Form T–1 36, 441. Under Section 201(b) of the the parent union. already contains multiple exemptions Act, 29 U.S.C. 431(b), labor On March 6, 2020, the Department and burden-reduction components. organizations are required to file for issued a final rule establishing the Form public disclosure annual financial T–1 Trust Annual Report, which Regulatory Flexibility Act reports, which are to contain prescribes the form and content of The Regulatory Flexibility Act of information about a labor organization’s annual reporting by unions concerning 1980, 5 U.S.C. 601 et seq., requires assets, liabilities, receipts, and entities defined in Section 3(l) of the agencies to prepare regulatory flexibility disbursements. LMRDA as ‘‘trusts in which a labor analyses, and to develop alternatives The Department has developed organization is interested.’’ 85 FR wherever possible, in drafting several forms to implement the union 13414. The objective of this proposed regulations that will have a significant annual reporting requirements of the rule is to rescind the Form T–1 Trust impact on a substantial number of small LMRDA. The reporting detail required Annual Report, as the Department has entities. The Department has of labor organizations, as the Secretary determined that it is overbroad and not determined that this proposed rule will has established by rule, varies necessary to prevent the circumvention not have a significant economic impact depending on the amount of the labor and evasion of the Title II requirements. on a substantial number of small organization’s annual receipts. The Further, the Department has reviewed entities, as the proposed rule contains Form LM–2 Annual Report is the most the 2020 rulemaking record and no no collection of information and detailed of the annual labor organization longer views the separate reporting relieves the additional burden imposed reports, and is required to be filed by requirements as set forth in the 2020 upon labor organizations through the labor organizations with $250,000 or Form T–1 rule as justified in light of the rescission of the regulations published more in annual receipts. The Form LM– burden they impose. The rescission of on March 6, 2020. Additionally, the 2 requires certain receipts and the Form T–1 would constitute a 2020 Form T–1 rule’s Final Regulatory disbursements to be reported by decrease in reporting burdens for those Flexibility Analysis stated that functional categories, such as labor organizations associated with subsequent year costs would place a representational activities; political reportable trusts. As detailed in the significant impact on 8.94% of small activities and lobbying; contributions, 2020 Form T–1 rule, the Form T–1 unions, which is below the threshold to gifts, and grants; union administration; represented a total burden, for the
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estimated 810 Form LM–2 filers affected and the dollar amount for 16 categories 1 does not provide as much detail by the rule, of approximately 251,257 of disbursements such as payments to regarding assets and liabilities of trusts hours in the first year and 174,128 in officers and repayment of loans as the Form LM–2 requires. For the subsequent years. 85 FR at 13433. obtained (Items 50–65). example, although Form T–1 Items 16 Additionally, the projected total cost on Schedules 1–10 requires detailed and 17 correspond directly to Form LM– filers in the first year was approximately information and itemization on assets 2 Items 13 and 15, and the information $15 million in the first year and and liabilities, such as loans receivable required in Form T–1 Items 18–20 is approximately $10.4 million in and payable and the sale and purchase required in a different format in Form subsequent years. 85 FR at 13437. The of investments and fixed assets. There LM–2, Schedules 2 and 8–10, there is proposed rule eliminates these burdens are also nine supporting schedules also significant information required on and costs for future years. The proposed (Schedules 11–12, 14–20) for receipts the Form LM–2 and not on the Form T– rule would also eliminate any first-year and disbursements that provide 1. Chief of the material excluded on the costs that unions have not yet incurred. members of labor organizations with Form T–1 is the detailed information more detailed information by general regarding assets and liabilities required B. Overview of Trust Reporting on Form groupings or bookkeeping categories to by Form LM–2, Schedules 1–10. In sum, T–1 identify their purpose. Labor under the proposed rule unions would Every labor organization whose total organizations are required to track their need to report such information on the annual receipts are $250,000 or more receipts and disbursements in order to Form LM–2, while they would not need and those organizations that are in correctly group them into the categories to do so under the existing Form T–1. trusteeship must currently file an on the current form. Additionally, the Department annual financial report using the current The Form T–1 provides similar but provided the public with separate Form LM–2, Labor Organization Annual not identical reporting and disclosure burden analyses for the Form LM–2 and Report, within 90 days after the end of for section 3(l) trusts, currently the Form T–1, in addition to the other the labor organization’s fiscal year, to including subsidiaries, of Form LM–2 forms required to be filed with the disclose their financial condition and filing labor organizations. The Form T– Department under the LMRDA. These operations for the preceding fiscal year. 1 requires information such as: Losses analyses include the time for reviewing The current instructions state that or shortages of funds or other property the respective set of instructions, receipts of an LMRDA section 3(l) trust (Item 16); acquisition or disposal of any searching existing data sources, in which the labor organization is goods or property in any manner other gathering and maintaining data needed, interested (as described in Information than by purchase or sale (Item 17); creating needed accounting procedures, Item 10) should not be included in the whether or not the trusts liquidated, purchasing software, and completing total annual receipts of the labor reduced, or wrote-off any liabilities and reviewing the collection of organization when determining which without full payment of principal and information. This proposed rule form to file, unless the 3(l) trust is a interest (Item 18); whether the trust eliminates the need for a Form T–1 subsidiary organization of the union. extended any loan or credit during the burden analysis, as it proposes to See Form LM–2 Instructions, Part II: reporting period to any officer or eliminate that form and its separate What Form to File. employee of the reporting labor reporting regime. Thus, many of the The current Form LM–2 consists of 21 organization at terms below market rates areas analyzed in other LMRDA questions that identify the labor (Item 19); whether the trust liquidated, reporting and disclosure burden organization and provide basic reduced, or wrote-off any loans analyses are not relevant to this information (in primarily a yes/no receivable due from officers or discussion, as the existence and basic format); a statement of 11 financial employees of the reporting labor structure and procedures of the present items on different assets and liabilities organization without full receipt of Form LM–2 reporting regime is not (Statement A); a statement of receipts principal and interest (Item 20); and the amended by this proposed rule. and disbursements (Statement B); and aggregate totals of assets, liabilities, 20 supporting schedules (Schedules 1– receipts, and disbursements (Items 21– C. Methodology for the Burden 10, Assets and Liabilities related 24). Additionally, the union must report Estimates schedules; Schedules 11–12 and 14–20, detailed itemization and other Initially, as stated above, this receipts and disbursements related information regarding receipts in document proposes a reduction of schedules; and Schedule 13, which Schedule 1, disbursements in Schedule burden hours for respondents included details general membership 2, and disbursements to officers and within ICR 1245–0003, as a result of the information). employees of the trust in Schedule 3. proposed rescission of the Form T–1. The Form LM–2 requires such Although the Form T–1 has a higher The proposed rescission of the Form T– information as: Whether the labor reporting threshold for receipts and 1 would result in a reduction of organization has any trusts (Item 10); disbursements than does the Form LM– 174,128.4 hours in future years that an whether the labor organization has a 2, it provides nearly identical estimated 2,292 Form LM–2 filers political action committee (Item 11); information regarding receipts and would incur. 85 FR 13433. Additionally, whether the labor organization disbursements as does the Form LM–2. the proposed rule would eliminate the discovered any loss or shortage of funds For example, unions must itemize total cost to filers of $10,385,820 in (Item 13); the number of members (Item receipts of trusts with virtually identical subsequent years. See 85 FR at 13437. 20); rates of dues and fees (Item 21); the detail on Form T–1, Schedule 1, as does The accompanying ICR discusses dollar amount for seven asset categories, the Form LM–2 on its Schedule 14. changes to the other LMRDA forms and such as accounts receivable, cash, and Further, the information required on instructions included within ICR 1245– investments (Items 22–28); the dollar Form T–1 Schedules 2 and 3 correspond 0003, such as proposed mandatory amount for four liability categories, such almost directly to the information electronic filing for Forms LM–15, 15A, as accounts payable and mortgages required on Form LM–2 Schedules 15– 16, 30, and Form S–1 as well payable (Items 30–33); the dollar 20 and 11–12, respectively, although the clarification concerning the OLMS use amount for 13 categories of receipts format does not directly correlate. of email addresses for the signatories of such as dues and interest (Items 36–49); However, as discussed earlier, Form T– each of the forms included within the
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ICR. As explained in the ICR, the respondents and the government cost ■ 3. Amend § 403.4 by revising Department does not believe that such associated with this collection of paragraphs (b)(3) and (6) introductory revisions will result in a change to the information; text to read as follows: burden estimates, since electronic filing • enhance the quality, utility, and does not result in greater burden than clarity of the information to be § 403.4 Simplified annual reports for smaller labor organizations. paper filing and filers already provide collected; and email addresses as part of the electronic • minimize the burden of the * * * * * filing process. collection of information on those who (b) * * * are to respond, including through the (3) The national organization with D. Conclusion use of appropriate automated, which it is affiliated assumes As the proposed rule requires a electronic, mechanical, or other responsibility for the accuracy of a revision to an existing information technological collection techniques or statement filed electronically, through collection, the Department is other forms of information technology, the electronic filing system made submitting, contemporaneous with the e.g., permitting electronic submissions available on the Office of Labor- publication of this document, an ICR to of responses. Management Standards website, remove the Form T–1 and its associated Comments submitted in response to covering each local labor organization burden from OMB Control Number this document will be considered, covered by § 403.4(b) and containing the 1245–0003. A copy of this ICR, with summarized and/or included in the ICR following information with respect to applicable supporting documentation, the Department will submit to OMB for each local organization: including among other items a approval; they will also become a matter (i) The name and designation number description of the likely respondents, of public record. Commenters are or other identifying information; proposed frequency of response, and encouraged not to submit sensitive (ii) The file number which the Office estimated total burden may be obtained information (e.g., confidential business of Labor-Management Standards has free of charge from the RegInfo.gov information or personally identifiable assigned to it; information such as a social security (iii) The mailing address; website at https://www.reginfo.gov/ (iv) The beginning and ending date of number). public/do/PRAOMBHistory? the reporting period which must be the ombControlNumber=1245-0003 or from Small Business Regulatory Enforcement same as that of the report for the the Department by contacting Andrew Fairness Act of 1996 national organization; Davis on 202–693–0123 (this is not a This proposed rule would not (v) The names and titles of the toll-free number)/email: OLMS-Public@ president and treasurer or dol.gov. constitute a major rule as defined by section 804 of the Small Business corresponding principal officers as of Agency: DOL—Office of Labor- the end of the reporting period; Management Standards (OLMS). Regulatory Enforcement Fairness Act of Type of Review: Revision of a 1996. This proposed rule will not result * * * * * currently approved collection. in an annual effect on the economy of (6) The national organization with OMB Control Number: 1245–0003. $100,000,000 or more; a major increase which it is affiliated assumes Title of Collection: Labor Organization in costs or prices; or significant adverse responsibility for the accuracy of, and and Auxiliary Reports. effects on competition, employment, submits with its simplified annual Affected Public: Private Sector— investment, productivity, innovation, or reports filed electronically pursuant to businesses or other for-profits and not- on the ability of the United States-based § 403.4(b)(3) for the affiliated local labor for-profit institutions. companies to compete with foreign- organizations, the following certification Estimated Number of Respondents: based companies in domestic and properly completed and signed by the 33,021. export markets. president and treasurer of the national Estimated Number of Annual organization: List of Subjects Responses: 35,297. § 403.5 [Amended] Frequency of Response: Varies. 29 CFR Part 403 ■ Estimated Total Annual Burden 4. In § 403.5, remove paragraph (d). Labor unions, Reporting and Hours: 4,644,849. recordkeeping requirements, Trusts. § 403.8 [Amended] Estimated Total Annual Other Burden ■ 5. In § 403.8, remove paragraph (b)(3). Cost: $0. 29 CFR Part 408 The Department invites comments on Labor unions, Reporting and PART 408—LABOR ORGANIZATION all aspects of the PRA analysis. Written recordkeeping requirements, Trusts and TRUSTEESHIP REPORTS comments must be submitted on or trustees. before July 26, 2021. The Department is ■ 6. The authority citation for part 408 particularly interested in comments Accordingly, the Department continues to read as follows: proposes to amend part 403 of 29 CFR that: Authority: Secs. 202, 207, 208, 73 Stat. • Evaluate whether the proposed Chapter IV as set forth below: 525, 529 (29 U.S.C. 432, 437, 438); collection of information is necessary PART 403—LABOR ORGANIZATION Secretary’s Order No. 03–2012, 77 FR 69376, November 16, 2012. for the proper performance of the ANNUAL FINANCIAL REPORTS functions of the agency, including ■ 7. Revise § 408.5 to read as follows: whether the information will have ■ 1. The authority citation for part 403 practical utility; continues to read as follows: § 408.5 Annual financial report. • the accuracy of the agency’s During the continuance of a estimate of the burden of the proposed Authority: Secs. 201, 207, 208, 301, 73 trusteeship, the labor organization Stat. 524, 529, 530 (29 U.S.C. 431, 437, 438, collection of information, including the 461); Secretary’s Order No. 03–2012, 77 FR which has assumed trusteeship over a validity of the methodology and 69376, November 16, 2012. subordinate labor organization, shall file assumptions used, and the agency’s with the Office of Labor-Management estimates evaluate associated with the § 403.2 [Amended] Standards on behalf of the subordinate annual burden cost incurred by ■ 2. In § 403.2, remove paragraph (d). labor organization the annual financial
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report required by part 403 of this SUPPLEMENTARY INFORMATION: respond to any significant comments chapter, signed by the president and and has final rule in effect in time for I. Table of Abbreviations treasurer or corresponding principal the scheduled event. officers of the labor organization which CFR Code of Federal Regulations The purpose of this rulemaking is to has assumed such trusteeship, and the COTP Captain of the Port protect event participants, non- trustees of the subordinate labor DHS Department of Homeland Security participants, and transiting vessels FR Federal Register before, during, and after the scheduled organization on Form LM–2. NPRM Notice of proposed rulemaking event. The Coast Guard proposes this Signed in Washington, DC, this 19th day of PATCOM Patrol Commander May 2021. § Section rulemaking under authority in 46 U.S.C. 70034 (previously 33 U.S.C. 1231). Jeffrey R. Freund, U.S.C. United States Code Director, OLMS. II. Background, Purpose, and Legal III. Discussion of Proposed Rule [FR Doc. 2021–10975 Filed 5–26–21; 8:45 am] Basis The COTP Maryland-National Capital BILLING CODE P On April 21, 2021, Tiki Lee’s Dock Region is proposing to establish special Bar of Sparrows Point, MD, and David local regulations from 4 p.m. on July 9, Schultz Airshows LLC of Clearfield, PA, 2021 through 4 p.m. on July 11, 2021. DEPARTMENT OF HOMELAND notified the Coast Guard that they will There is no alternate date planned for SECURITY be conducting the 1st Annual Shootout this event. The regulated area would on the River Airshow—Sparrows Point cover all navigable waters of Back River, Coast Guard from 2 p.m. to 3 p.m. on July 10, 2021, within an area bounded by a line and July 11, 2021. The event also connecting the following points: from 33 CFR Part 100 includes a practice demonstration from the shoreline at Lynch Point at latitude ° ′ ″ ° ′ [Docket Number USCG–2021–0292] 3 p.m. to 4 p.m. on July 9, 2021. High 39 14 46 N, longitude 076 26 23’’ W, speed, low-flying civilian and military thence northeast to Porter Point at RIN 1625–AA08 aircraft air show performers will operate latitude 39°15′13″ N, longitude within a designated, marked aerobatics 076°26′11″ W, thence north along the Special Local Regulation; Back River, shoreline to Walnut Point at latitude Baltimore County, MD box located on Back River, between Lynch Point to the south and Walnut 39°17′06″ N, longitude 076°27′04″ W, AGENCY: Coast Guard, DHS. Point to the north. The event is being thence southwest to the shoreline at ° ′ ″ ACTION: Notice of proposed rulemaking. held adjacent to Tiki Lee’s Dock Bar, latitude 39 16 41 N, longitude 4309 Shore Road, Sparrows Point, in 076°27′31″ W, thence south along the SUMMARY: The Coast Guard is proposing Baltimore County, MD. Details of the shoreline to the point of origin, located to establish temporary special local event were provided to the Coast Guard in Baltimore County, MD. The regulated regulations for certain waters of Back by the sponsoring organization on May area is approximately 4,200 yards in River. This action is necessary to 5, 2021, changing the practice length and 1,200 yards in width. provide for the safety of life on these demonstration from 5 p.m. to 6 p.m. on This proposed rule provides navigable waters located in Baltimore July 9, 2021. Hazards from the air show additional information about areas County, MD, during activities associated include risks of injury or death resulting within the regulated area and their with an air show event from July 9, from aircraft accidents, dangerous definitions. These areas include 2021, through July 11, 2021. This projectiles, hazardous materials spills, ‘‘Aerobatics Box’’ and ‘‘Spectator Area.’’ proposed rulemaking would prohibit falling debris, and near or actual contact The proposed size of the regulated persons and vessels from entering the among participants and spectator area is intended to ensure the safety of regulated area unless authorized by the vessels or waterway users if normal life on these navigable waters before, Captain of the Port Maryland-National vessel traffic were to interfere with the during, and after activities associated Capital Region or the Coast Guard Event event. Additionally, such hazards with the air show, scheduled from 5 Patrol Commander. We invite your include participants operating near a p.m. to 6 p.m. on July 9, 2021, and from comments on this proposed rulemaking. designated navigation channel, as well 2 p.m. to 3 p.m. both days on July 10, 2021, and July 11, 2021. The COTP and DATES: Comments and related material as operating adjacent to waterside must be received by the Coast Guard on residential communities. The Captain of the Coast Guard Event Patrol or before June 11, 2021. the Port (COTP) Maryland-National Commander (PATCOM) would have Capital Region has determined that authority to forbid and control the ADDRESSES: You may submit comments potential hazards associated with the air movement of all vessels and persons, identified by docket number USCG– including event participants, in the 2021–0292 using the Federal show would be a safety concern for anyone intending to operate within regulated area. When hailed or signaled eRulemaking Portal at https:// by an official patrol, a vessel or person www.regulations.gov. See the ‘‘Public certain waters of Back River in Baltimore County, MD, operating in or in the regulated area would be required Participation and Request for near the event area. to immediately comply with the Comments’’ portion of the The Coast Guard is requesting that directions given by the COTP or Event SUPPLEMENTARY INFORMATION section for interested parties provide comments PATCOM. If a person or vessel fails to further instructions on submitting within a shortened comment period of follow such directions, the Coast Guard comments. 15 days instead of the more typical 30 may expel them from the area, issue FOR FURTHER INFORMATION CONTACT: If days for this notice of proposed them a citation for failure to comply, or you have questions about this proposed rulemaking. The Coast Guard believes both. rulemaking, call or email Mr. Ron the 15-day comment period still Except for 1st Annual Shootout on the Houck, U.S. Coast Guard Sector provides for a reasonable amount of River Airshow—Sparrows Point Maryland-National Capital Region; time for interested parties to review the participants and vessels already at telephone 410–576–2674, email D05- proposal and provide informed berth, a vessel or person would be DG-SectorMD-NCR-MarineEvents@ comments on it while also ensuring that required to get permission from the uscg.mil. the Coast Guard has time to review and COTP or Event PATCOM before
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entering the regulated area. Vessel This regulatory action determination C. Collection of Information operators would be able to request is based on the location, size and This proposed rule would not call for permission to enter and transit through duration of the regulated area, which a new collection of information under the regulated area by contacting the would impact a small designated area of the Paperwork Reduction Act of 1995 Event PATCOM on VHF–FM channel Back River for 9 total enforcement (44 U.S.C. 3501–3520). 16. Vessel traffic would be able to safely hours. This waterway supports mainly transit the regulated area once the Event recreational vessel traffic, which at its D. Federalism and Indian Tribal PATCOM deems it safe to do so. A peak, occurs during the summer season. Governments vessel within the regulated area must The Coast Guard would issue a A rule has implications for federalism operate at safe speed that minimizes Broadcast Notice to Mariners via VHF– under Executive Order 13132 wake. A person or vessel not registered FM marine channel 16 about the status (Federalism), if it has a substantial with the event sponsor as a participant of the regulated area. Moreover, the rule direct effect on the States, on the or assigned as official patrols would be would allow vessels to seek permission relationship between the National considered a spectator. Official Patrols to enter the regulated area, and vessel Government and the States, or on the are any vessel assigned or approved by traffic would be able to safely transit the distribution of power and the Commander, Coast Guard Sector regulated area once the Event PATCOM responsibilities among the various Maryland-National Capital Region with deems it safe to do so. levels of government. We have analyzed a commissioned, warrant, or petty this proposed rule under that Order and officer on board and displaying a Coast B. Impact on Small Entities have determined that it is consistent Guard ensign. Official Patrols enforcing with the fundamental federalism this regulated area can be contacted on The Regulatory Flexibility Act of principles and preemption requirements VHF–FM channel 16 and channel 22A. 1980, 5 U.S.C. 601–612, as amended, described in Executive Order 13132. If permission is granted by the COTP requires Federal agencies to consider Also, this proposed rule does not have or Event PATCOM, a person or vessel the potential impact of regulations on tribal implications under Executive would be allowed to enter the regulated small entities during rulemaking. The Order 13175 (Consultation and area or pass directly through the term ‘‘small entities’’ comprises small Coordination with Indian Tribal regulated area as instructed. Vessels businesses, not-for-profit organizations Governments) because it would not would be required to operate at a safe that are independently owned and have a substantial direct effect on one or speed that minimizes wake while operated and are not dominant in their more Indian tribes, on the relationship within the regulated area. A spectator fields, and governmental jurisdictions between the Federal Government and vessel must not loiter within the with populations of less than 50,000. Indian tribes, or on the distribution of navigable channel while within the The Coast Guard certifies under 5 U.S.C. power and responsibilities between the regulated area. Official patrol vessels 605(b) that this proposed rule would not Federal Government and Indian tribes. would direct spectators to the have a significant economic impact on If you believe this proposed rule has designated spectator area. Only a substantial number of small entities. implications for federalism or Indian tribes, please call or email the person participant vessels would be allowed to While some owners or operators of listed in the FOR FURTHER INFORMATION enter the aerobatics box. The Coast vessels intending to transit the safety CONTACT section. Guard would publish a notice in the zone may be small entities, for the Fifth Coast Guard District Local Notice reasons stated in section IV.A above, E. Unfunded Mandates Reform Act to Mariners and issue a marine this proposed rule would not have a The Unfunded Mandates Reform Act information broadcast on VHF–FM significant economic impact on any of 1995 (2 U.S.C. 1531–1538) requires marine band radio announcing specific vessel owner or operator. Federal agencies to assess the effects of event dates and times. If you think that your business, their discretionary regulatory actions. In The regulatory text we are proposing organization, or governmental particular, the Act addresses actions appears at the end of this document. jurisdiction qualifies as a small entity that may result in the expenditure by a IV. Regulatory Analyses and that this rule would have a State, local, or tribal government, in the significant economic impact on it, aggregate, or by the private sector of We developed this proposed rule after please submit a comment (see $100,000,000 (adjusted for inflation) or considering numerous statutes and ADDRESSES) explaining why you think it more in any one year. Though this Executive orders related to rulemaking. qualifies and how and to what degree proposed rule would not result in such Below we summarize our analyses this rule would economically affect it. an expenditure, we do discuss the based on a number of these statutes and effects of this rule elsewhere in this Executive orders, and we discuss First Under section 213(a) of the Small preamble. Amendment rights of protestors. Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104–121), F. Environment A. Regulatory Planning and Review we want to assist small entities in We have analyzed this proposed rule Executive Orders 12866 and 13563 understanding this proposed rule. If the under Department of Homeland direct agencies to assess the costs and rule would affect your small business, Security Directive 023–01, Rev. 1, benefits of available regulatory organization, or governmental associated implementing instructions, alternatives and, if regulation is jurisdiction and you have questions and Environmental Planning necessary, to select regulatory concerning its provisions or options for COMDTINST 5090.1 (series), which approaches that maximize net benefits. compliance, please call or email the guide the Coast Guard in complying This NPRM has not been designated a person listed in the FOR FURTHER with the National Environmental Policy ‘‘significant regulatory action,’’ under INFORMATION CONTACT section. The Coast Act of 1969 (42 U.S.C. 4321–4370f), and Executive Order 12866. Accordingly, Guard will not retaliate against small have made a preliminary determination the NPRM has not been reviewed by the entities that question or complain about that this action is one of a category of Office of Management and Budget this proposed rule or any policy or actions that do not individually or (OMB). action of the Coast Guard. cumulatively have a significant effect on
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the human environment. This proposed the proposed rule. We may choose not 076°26′34.7″ W, thence south to latitude rule involves implementation of to post off-topic, inappropriate, or 39°16′05.0″ N, longitude 076°26′31.1″ regulations within 33 CFR part 100 duplicate comments that we receive. If W, thence west to latitude 39°16′04.4″ applicable to organized marine events you go to the online docket and sign up N, longitude 076°26′37.4″ W, thence on the navigable waters of the United for email alerts, you will be notified north to the point of origin. States that could negatively impact the when comments are posted or a final (b) Definitions. As used in this safety of waterway users and shore side rule is published. section— activities in the event area lasting for 9 Aerobatics Box is an area described by List of Subjects in 33 CFR Part 100 total enforcement hours. Normally such a line bound by coordinates provided in actions are categorically excluded from Marine safety, Navigation (water), latitude and longitude that outlines the further review under paragraph L61 of Reporting and recordkeeping boundary of a aerobatics box within the Appendix A, Table 1 of DHS Instruction requirements, Waterways. regulated area defined by this section. Manual 023–01–001–01, Rev. 1. We For the reasons discussed in the Captain of the Port (COTP) Maryland- seek any comments or information that preamble, the Coast Guard is proposing National Capital Region means the may lead to the discovery of a to amend 33 CFR part 100 as follows: Commander, U.S. Coast Guard Sector significant environmental impact from Maryland-National Capital Region or this proposed rule. PART 100—SAFETY OF LIFE ON any Coast Guard commissioned, warrant NAVIGABLE WATERS or petty officer who has been authorized G. Protest Activities by the COTP to act on his behalf. The Coast Guard respects the First ■ 1. The authority citation for part 100 Event Patrol Commander or Event Amendment rights of protesters. continues to read as follows: PATCOM means a commissioned, Protesters are asked to call or email the Authority: 46 U.S.C. 70041; 33 CFR 1.05– warrant, or petty officer of the U.S. person listed in the FOR FURTHER 1. Coast Guard who has been designated INFORMATION CONTACT section to ■ 2. Add § 100.501T05–0292 to read as by the Commander, Coast Guard Sector coordinate protest activities so that your follows: Maryland-National Capital Region. message can be received without Official Patrol means any vessel jeopardizing the safety or security of § 100.501T05–0292 1st Annual Shootout assigned or approved by Commander, people, places, or vessels. on the River Airshow—Sparrows Point, Coast Guard Sector Maryland-National Back River, Baltimore County, MD. Capital Region with a commissioned, V. Public Participation and Request for (a) Locations. All coordinates are warrant, or petty officer on board and Comments based on datum WGS 1984. (1) displaying a Coast Guard ensign. We view public participation as Regulated area. All navigable waters of Participant means all persons and essential to effective rulemaking, and Back River, within an area bounded by vessels registered with the event will consider all comments and material a line connecting the following points: sponsor as participating in the ‘‘1st received during the comment period. from the shoreline at Lynch Point at Annual Shootout on the River Your comment can help shape the latitude 39°14′46″ N, longitude Airshow—Sparrows Point’’ event, or outcome of this rulemaking. If you 076°26′23″ W, thence northeast to Porter otherwise designated by the event submit a comment, please include the Point at latitude 39°15′13″ N, longitude sponsor as having a function tied to the docket number for this rulemaking, 076°26′11″ W, thence north along the event. indicate the specific section of this shoreline to Walnut Point at latitude Spectator means a person or vessel document to which each comment 39°17′06″ N, longitude 076°27′04″ W, not registered with the event sponsor as applies, and provide a reason for each thence southwest to the shoreline at participants or assigned as official suggestion or recommendation. latitude 39°16′41″ N, longitude patrols. We encourage you to submit 076°27′31″ W, thence south along the Spectator Area is an area described by comments through the Federal shoreline to the point of origin, located a line bound by coordinates provided in eRulemaking Portal at https:// in Baltimore County, MD. The latitude and longitude that outlines the www.regulations.gov. If your material aerobatics box and spectator area are boundary of a spectator area within the cannot be submitted using https:// within the regulated area. regulated area defined by this part. www.regulations.gov, call or email the (2) Aerobatics Box. The aerobatics box (c) Special local regulations. (1) The person in the FOR FURTHER INFORMATION is a polygon in shape measuring COTP Maryland-National Capital CONTACT section of this document for approximately 5,000 feet in length by Region or Event PATCOM may forbid alternate instructions. 1,000 feet in width. The area is bounded and control the movement of all vessels We accept anonymous comments. by a line commencing at position and persons, including event Comments we post to https:// latitude 39°16′01.2″ N, longitude participants, in the regulated area. www.regulations.gov will include any 076°27′05.7″ W, thence east to latitude When hailed or signaled by an official personal information you have 39°16′04.7″ N, longitude 076°26′53.7″ patrol, a vessel or person in the provided. For more about privacy and W, thence south to latitude 39°15′16.9″ regulated area shall immediately submissions in response to this N, longitude 076°26′35.2″ W, thence comply with the directions given by the document, see DHS’s eRulemaking west to latitude 39°15′13.7″ N, longitude patrol. Failure to do so may result in the System of Records notice (85 FR 14226, 076°26′47.2″ W, thence north to the Coast Guard expelling the person or March 11, 2020). point of origin. vessel from the area, issuing a citation Documents mentioned in this NPRM (3) Spectator Area. The designated for failure to comply, or both. The COTP as being available in the docket, and spectator area is a polygon in shape Maryland-National Capital Region or public comments, will be in our online measuring approximately 1,000 yards in Event PATCOM may terminate the docket at https://www.regulations.gov length by 500 feet in width. The area is event, or a participant’s operations at and can be viewed by following that bounded by a line commencing at any time the COTP Maryland-National website’s instructions. We review all position latitude 39°16′33.7″ N, Capital Region or Event PATCOM comments received, but we will only longitude 076°26′40.7″ W, thence east to believes it necessary to do so for the post comments that address the topic of latitude 39°16′34.5″ N, longitude protection of life or property.
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(2) Except for participants and vessels ENVIRONMENTAL PROTECTION Protection Agency, Region 4, 61 Forsyth already at berth, a person or vessel AGENCY Street SW, Atlanta, Georgia 30303–8960. within the regulated area at the start of The telephone number is (404) 562– enforcement of this section must 40 CFR Part 52 9088. Ms. Bell can also be reached via immediately depart the regulated area. [EPA–R04–OAR–2020–0676; FRL–10024– electronic mail at [email protected]. (3) A spectator must contact the Event 31–Region 4] SUPPLEMENTARY INFORMATION: PATCOM to request permission to Air Plan Approval; SC; Updates to I. What is EPA proposing? either enter or pass through the Ambient Air Quality Standards On April 24, 2020, SC DHEC regulated area. The Event PATCOM, and submitted a SIP revision to EPA for official patrol vessels enforcing this AGENCY: Environmental Protection approval that includes a non- regulated area, can be contacted on Agency (EPA). substantive formatting change and the marine band radio VHF–FM channel 16 ACTION: Proposed rule. removal of a sentence describing test (156.8 MHz) and channel 22A (157.1 methods for gaseous fluorides from MHz). If permission is granted, the SUMMARY: The Environmental Protection South Carolina Regulation Standard No. spectator must enter the designated Agency (EPA) is proposing to approve a 2—Ambient Air Quality Standards.1 Spectator Area or pass directly through State Implementation Plan (SIP) EPA is proposing to approve these the regulated area as instructed by Event revision submitted by the State of South changes submitted by South Carolina on PATCOM. A vessel within the regulated Carolina, through the South Carolina April 24, 2020 pursuant to the CAA. area must operate at safe speed that Department of Health and II. Background minimizes wake. A spectator vessel Environmental Control (SC DHEC or Department), on April 24, 2020. The SIP must not loiter within the navigable SC DHEC has requested approval of revision proposes a non-substantive channel while within the regulated area. two changes to South Carolina formatting change and the removal of an Regulation 61–62.5, Standard No. 2— (4) Only participant vessels are outdated sentence regarding test Ambient Air Quality Standards. First, allowed to enter the aerobatics box. methods for gaseous fluorides from SC DHEC proposes to update the (5) A person or vessel that desires to South Carolina’s ambient air quality formatting of references to the Code of transit, moor, or anchor within the standards regulation. EPA is proposing Federal Regulations (CFR) by adding the regulated area must obtain authorization to approve these changes pursuant to word ‘‘Part’’ to CFR references in this from the COTP Maryland-National the Clean Air Act (CAA or Act) and regulation. This is a non-substantive, Capital Region or Event PATCOM. A implementing federal regulations. ministerial change. Second, SC DHEC person or vessel seeking such DATES: Comments must be received on proposes to remove a sentence permission can contact the COTP or before June 28, 2021. referencing test methods for gaseous Maryland-National Capital Region at ADDRESSES: Submit your comments, fluorides from this regulation. EPA telephone number 410–576–2693 or on identified by Docket ID No. EPA–R04– previously approved removal of Marine Band Radio, VHF–FM channel OAR–2020–0676 at standards applicable to gaseous 16 (156.8 MHz) or the Event PATCOM www.regulations.gov. Follow the online fluorides (as hydrogen flouride) from on Marine Band Radio, VHF–FM instructions for submitting comments. South Carolina Regulation 61–62.5, Standard No. 2—Ambient Air Quality channel 16 (156.8 MHz). Once submitted, comments cannot be edited or removed from Regulations.gov. Standards, on June 29, 2017. See 82 FR (6) The Coast Guard will publish a EPA may publish any comment received 29414. EPA’s June 29, 2017 action was notice in the Fifth Coast Guard District to its public docket. Do not submit premised on the fact that SC DHEC Local Notice to Mariners and issue a electronically any information you regulates hydrogen fluoride under South marine information broadcast on VHF– consider to be Confidential Business Carolina Regulation 61–62.5, Standard FM marine band radio announcing Information (CBI) or other information No. 8—Toxic Air Pollutants, which is specific event dates and times. whose disclosure is restricted by statute. not part of South Carolina’s SIP.2 (d) Enforcement officials. The Coast Multimedia submissions (audio, video, Although EPA’s prior action approved Guard may be assisted with marine etc.) must be accompanied by a written SC DHEC’s request to remove standards for gaseous fluorides (as hydrogen event patrol and enforcement of the comment. The written comment is fluoride) from South Carolina regulated area by other federal, state, considered the official comment and Regulation 61–62.5, Standard No. 2— and local agencies. should include a discussion of all points you wish to make. EPA will generally Ambient Air Quality Standards, this (e) Enforcement period. This section not consider comments or comment prior action did not remove the related will be enforced from 4 p.m. to 7 p.m. contents located outside of the primary language describing testing standards on July 9, 2021, from 1 p.m. to 4 p.m. submission (i.e., on the web, cloud, or for gaseous fluorides that was contained on July 10, 2021, and, from 1 p.m. to 4 other file sharing system). For in this same regulation. SC DEHC’s p.m. on July 11, 2021. additional submission methods, the full EPA public comment policy, 1 On April 24, 2020, SC DHEC also submitted to Dated: May 21, 2021. EPA SIP revisions to Regulations: 61–62.1, Section David E. O’Connell, information about CBI or multimedia I—Definitions; 61–62.1, Section II—Permit submissions, and general guidance on Captain, U.S. Coast Guard, Captain of the Requirements; 61–62.1, Section III—Emission making effective comments, please visit Inventory and Emissions Statement; 61–62.1, Port Maryland-National Capital Region. www2.epa.gov/dockets/commenting- Section IV—Source Tests; 61–62.1, Section V— Credible Emissions; 61–62.5, Standard 5.2—Control [FR Doc. 2021–11214 Filed 5–26–21; 8:45 am] epa-dockets. of Oxides of Nitrogen (NOX); 61–62.5, Standard 7— BILLING CODE 9110–04–P FOR FURTHER INFORMATION CONTACT: Prevention of Significant Deterioration; and 61– Tiereny Bell, Air Regulatory 62.5, Standard 7.1—Nonattainment New Source Review (NSR). EPA will address these SIP revisions Management Section, Air Planning and in separate actions. Implementation Branch, Air and 2 Hydrogen fluoride is a hazardous air pollutant Radiation Division, U.S. Environmental (HAP).
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current proposal to remove the language meet the applicable requirements of additional requirements beyond those from this regulation regarding test sections 110 of the CAA and applicable imposed by state law, this proposed rule methods for gaseous fluorides would regulatory requirements at 40 CFR part for the State of South Carolina does not correct this inconsistency by removing 51. have Tribal implications as specified by this remaining language from South Executive Order 13175 (65 FR 67249, VI. Statutory and Executive Order Carolina Regulation 61–62.5, Standard November 9, 2000). Therefore, this Reviews No. 2—Ambient Air Quality Standards. action will not impose substantial direct Under the CAA, the Administrator is III. Analysis of the State’s Submittal costs on Tribal governments or preempt required to approve a SIP submission Tribal law. The Catawba Indian Nation The analysis previously provided by that complies with the provisions of the (CIN) Reservation is located within the EPA in its June 29, 2017 action Act and applicable Federal regulations. boundary of York County, South approving removal of gaseous fluorides See 42 U.S.C. 7410(k); 40 CFR 52.02(a). Carolina. Pursuant to the Catawba (as hydrogen fluoride) from South Thus, in reviewing SIP submissions, Indian Claims Settlement Act, S.C. Code Carolina Regulation 61–62.5, Standard EPA’s role is to approve state choices, Ann. 27–16–120 (Settlement Act), ‘‘all No. 2—Ambient Air Quality Standards, provided that they meet the criteria of state and local environmental laws and remains applicable today. Gaseous the CAA. This proposed action merely regulations apply to the [Catawba Indian fluorides (as hydrogen fluoride) are not proposes to approve state law as Nation] and Reservation and are fully criteria pollutants. They are hazardous meeting Federal requirements and does enforceable by all relevant state and air pollutants, which SC DHEC regulates not propose to impose additional local agencies and authorities.’’ The CIN under South Carolina Regulation 61– requirements beyond those imposed by also retains authority to impose 62.5, Standard No. 8—Toxic Air state law. For that reason, this proposed regulations applying higher Pollutants, a regulation that is outside of action: environmental standards to the • South Carolina’s SIP. Approving the Is not a significant regulatory action Reservation than those imposed by state removal of this language from the South subject to review by the Office of law or local governing bodies, in Carolina SIP is appropriate because Management and Budget under accordance with the Settlement Act. there are no primary or secondary Executive Orders 12866 (58 FR 51735, national ambient air quality standards October 4, 1993) and 13563 (76 FR 3821, List of Subjects in 40 CFR Part 52 related to this pollutant and because the January 21, 2011); Environmental protection, Air testing standards for gaseous fluorides • Does not impose an information pollution control, Incorporation by do not function in the SIP because EPA collection burden under the provisions reference, Intergovernmental relations, previously removed the standards for of the Paperwork Reduction Act (44 Reporting and recordkeeping these pollutants from the SIP. The U.S.C. 3501 et seq.); requirements, Volatile organic remaining changes to South Carolina • Is certified as not having a compounds. Regulation 61–62.5, Standard No. 2— significant economic impact on a Authority: 42 U.S.C. 7401 et seq. Ambient Air Quality Standards are non- substantial number of small entities substantive formatting changes. For under the Regulatory Flexibility Act (5 Dated: May 20, 2021. these reasons, this SIP revision would U.S.C. 601 et seq.); John Blevins, not interfere with any applicable • Does not contain any unfunded Acting Regional Administrator, Region 4. requirement concerning attainment and mandate or significantly or uniquely [FR Doc. 2021–11113 Filed 5–26–21; 8:45 am] reasonable further progress or any other affect small governments, as described BILLING CODE 6560–50–P CAA requirement pursuant to CAA in the Unfunded Mandates Reform Act section 110(l). of 1995 (Pub. L. 104–4); • Does not have Federalism IV. Incorporation by Reference FEDERAL COMMUNICATIONS implications as specified in Executive COMMISSION In this document, EPA is proposing to Order 13132 (64 FR 43255, August 10, include in a final EPA rule regulatory 1999); 47 CFR Parts 2, 15, 25, 27, and 101 text that includes incorporation by • Is not an economically significant reference. In accordance with regulatory action based on health or [WT Docket No. 20–443; GN Docket No. 17– 183; DA 21–519; FR ID 27322] requirements of 1 CFR 51.5, EPA is safety risks subject to Executive Order proposing to incorporate by reference 13045 (62 FR 19885, April 23, 1997); • Expanding Flexible Use of the 12.2– South Carolina Regulation 61–62.5, Is not a significant regulatory action 12.7 GHz Band Standard No. 2—Ambient Air Quality subject to Executive Order 13211 (66 FR Standards, state effective on April 24, 28355, May 22, 2001); AGENCY: Federal Communications 2020. EPA has made and will continue • Is not subject to requirements of Commission. to make these materials generally Section 12(d) of the National ACTION: Proposed rule; denial of further available through www.regulations.gov Technology Transfer and Advancement extension of deadlines for filing and at the EPA Region 4 office (please Act of 1995 (15 U.S.C. 272 note) because comments and reply comments. contact the person identified in the FOR application of those requirements would FURTHER INFORMATION CONTACT section of be inconsistent with the CAA; and SUMMARY: In this document, the this preamble for more information). • Does not provide EPA with the Commission denies the request of discretionary authority to address, as WorldVu Satellites Limited (ONEWEB), V. Proposed Action appropriate, disproportionate human Kepler Communications, SpaceX EPA is proposing to approve SC health or environmental effects, using Holdings, LLC, Intelsat License LLC, DEHC’s April 24, 2020 SIP submittal practicable and legally permissible and SES S.A., for a further extension of proposing revisions to South Carolina methods, under Executive Order 12898 the comment and reply comment Regulation 61–62.5, Standard No. 2— (59 FR 7629, February 16, 1994). deadlines for the proposed rule Ambient Air Quality Standards and Because this proposed rule merely published in the Federal Register. incorporate those revisions into the SIP. approves state law as meeting Federal DATES: A further extension of the NPRM EPA has determined that these revisions requirements and does not impose comment and reply comment deadlines,
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filed on April 26, 2021, was denied on Wireless Telecommunication Bureau has received both opposition 10 and May 4, 2021. The deadlines for filing (Bureau) released an Order on March 29, support.11 comments and reply comments in this 2021, allowing an additional 30 days to 3. RS Access opposes the Further proceeding continue to be May 7, 2021, file comments and replies (Extension Extension Request, which it views as and June 7, 2021, respectively, as Order).4 The Bureau agreed with the claiming that RS Access is somehow published at 86 FR 20111, April 16, parties that a 30-day extension was obliged to file comments before the 2021. ‘‘warranted to provide commenters with deadline for initial comments. RS Access states that it ‘‘is preparing ADDRESSES: Federal Communications additional time to prepare comments comments in anticipation of the May 7, Commission, 45 L Street NE, and reply comments that fully respond 2021 deadline for initial comments, Washington, DC 20554. to the complex economic, engineering, which will include a coexistence study FOR FURTHER INFORMATION CONTACT: 5 and policy issues raised in the NPRM.’’ demonstrating the feasibility of sharing Madelaine Maior of the Wireless The Bureau, however, declined the 12 between co-primary systems in the Telecommunications Bureau, GHz Alliance’s request to suspend the 12.2–12.7 GHz band.’’ 12 The 5G for Broadband Division, at 202–418–1466 deadlines until RS Access, LLC (RS 12GHz Coalition also opposes the or [email protected]; or Simon Access) provided certain technical Further Extension Request, arguing that Banyai of the Wireless analyses, noting that such action might it is inappropriate because the Bureau Telecommunications Bureau, be rendered moot by the grant of the dismissed this same request in the Broadband Division, at 202–418–1443 Extension Request.6 Extension Order.13 or [email protected]. 4. The Commission denies the Further SUPPLEMENTARY INFORMATION: This is a 2. On April 26, 2021, the 12 GHz Alliance filed a request for a further Extension Request. As set forth in § 1.46 summary of the Commission’s Order, 14 extension of the comment and reply of the Commission’s rules, the WT Docket No. 20–443; GN Docket No. Commission does not routinely grant comment deadlines (Further Extension 17–183; DA 21–519, adopted and extensions of time for filing comments released on May 4, 2021. The full text Request) 7 stating that, as previously of this document is available at https:// explained, ‘‘the submission of the RS 10 Letter from Trey Hanbury, Counsel to RS docs.fcc.gov/public/attachments/DA-21- Sharing Studies is a gating criteria with Access LLC (RS Access), to Marlene H. Dortch, 519A1.pdf. For a full text of the NPRM respect to the ability of satellite Secretary, FCC, WT Docket No. 20–443, et al., at 2 document,1 visit the FCC’s Electronic stakeholders to prepare meaningful (filed Apr. 28, 2021) (RS Access Opposition); Letter from Chip Pickering, CEO, INCOMPAS, et al., to Comment Filing System (ECFS) website comments and that absent [that Marlene H. Dortch, Secretary, FCC, WT Docket No. at http://www.fcc.gov/ecfs. (Documents submission] a further extension of the 20–443, et al., at 2 (filed Apr. 28, 2021) (5G for will be available electronically in ASCII, comment cycle may be required.’’ 8 The 12GHz Coalition Opposition) (calling themselves Microsoft Word, and/or Adobe Acrobat.) the ‘‘5G for 12GHz Coalition’’, the Opposition filers 12 GHz Alliance notes that in the include INCOMPAS, Public Knowledge, DISH, Alternative formats are available for Extension Order, the Bureau ‘‘hoped Computer & Communications Industry Association people with disabilities (braille, large that this issue would ‘be rendered moot’ (CCIA), RS Access, Open Technology Institute at New America, Federated Wireless, AtLink, print, electronic files, audio format), by by the extension of the comment sending an email to [email protected] or Cambridge Broadband Networks Group Ltd. cycle.’’ 9 The Further Extension Request (CBNG), Center for Education Innovations (CEI), calling the Commission’s Consumer and Center for Rural Strategies, Etheric Networks, Governmental Affairs Bureau at (202) GeoLinks, Go Long Wireless, Granite 418–0530 (voice), (202) 418–0432 Telecommunications, mmWave Tech, Resound Networks, Rural Wireless Association (RWA), Tel (TTY). Net Worldwide, Tilson, White Cloud Technologies, I. Background Xiber and X-Lab). 11 See Letter from David Goldman, Director of 1. On January 15, 2021, the Satellite Policy, Space Exploration Technologies Commission released a NPRM seeking Corp. (SpaceX), to Marlene H. Dortch, Secretary, input on the feasibility of allowing FCC, WT Docket No. 20–443, et al., at 2 (filed Apr. flexible-use services in the 12.2–12.7 28, 2021) (‘‘SpaceX and the 12 GHz Alliance have 4 See Expanding Flexible Use of the 12.2–12.7 previously explained that RS Access’s failure to GHz band (12 GHz band) while submit the Secret Studies into the record deprives GHz Band, et al., WT Docket No. 20–443, et al., other 12 GHz Band stakeholders the opportunity to protecting incumbents from harmful Order, DA 21–370 (WTB Mar. 29, 2021), 86 FR interference.2 In response to an review, analyze, and meaningfully respond to the 20111, April 16, 2021 (Extension Order) (extended Secret Studies in the comment cycle established by unopposed motion filed by CCIA, et al. deadlines for comments and reply comments to the Commission.’’). See also Letter from David for an extension of time to file May 7, 2021, and June 7, 2021, respectively). Goldman, Director of Satellite Policy, Space X, to comments and replies to the NPRM,3 the 5 Extension Order at para. 3. Marlene H. Dortch, Secretary, FCC, WT Docket No. 6 Extension Order at n.6 citing Letter from Ruth 20–443, et al., at 1 (the 12 GHz Alliance ‘‘reasonably requested an opportunity to review these studies as 1 Expanding Flexible Use of the 12.2–12.7 GHz Pritchard-Kelly, Senior Advisor, ONEWEB, et al. part of the normal comment cycle,’’ at 2 (‘‘to Band, Notice of Proposed Rulemaking, FCC 21–13. (‘‘12 GHz Alliance’’) to Marlene H. Dortch, promote fairness and a fully considered record, RS 2 See Expanding Flexible Use of the 12.2–12.7 Secretary, FCC, at 1 (Mar. 23, 2021). The 12 GHz Access should at least provide a schedule for the GHz Band, et al., WT Docket No. 20–443, Notice of Alliance is WorldVu Satellites Limited submission of the Secret Studies into the record.’’) Proposed Rulemaking, 36 FCC Rcd 606 (2021) (‘‘OneWeb’’), Kepler Communications, SpaceX (filed Apr. 30, 2021). (NPRM). The comment and reply comment Holdings, LLC (‘‘SpaceX’’), Intelsat License LLC, 12 deadlines were set at 30 and 60 days after RS Access Opposition at 1. ‘‘The satellite publication in the Federal Register. Publication and SES S.A. See, e.g., March 23, 2021, letter at 1. licensees, of course, remain free to prepare their occurred on March 8, 2021, which made the 7 See Letter from Ruth Pritchard-Kelly, Senior own technical analyses purporting to show that original deadlines April 7, 2021, and May 7, 2021, Advisor, ONEWEB, et al. (‘‘12 GHz Alliance’’) to their systems are incapable of sharing with mobile respectively. See Federal Communications Marlene H. Dortch, Secretary, FCC, at 1 (Apr. 26, licensees in the band. The satellite licensees can Commission, Expanding Flexible Use of the 12.2– 2021) (Further Extension Request). submit their comments and studies either in the initial round of filings due May 7, 2021, or as a 12.7 GHz Band, 86 FR 13266, Mar. 8, 2021. 8 Further Extension Request at 1–2 (citing Letter 3 response to the submission of RS Access and other See Motion of Computer & Communications from Ruth Pritchard-Kelly, Senior Advisor, Industry Association (CCIA), INCOMPAS, Open interested parties during the reply round that will ONEWEB, et al., (‘‘12 GHz Alliance’’) to Marlene H. Technology Institute at New America, and Public follow 30 days later, or both.’’ Id. at 1–2 (footnote Knowledge for Extension of Time, WT Docket No. Dortch, Secretary, FCC, at 1 (Mar. 23, 2021)). omitted). 20–443, et al., at 1 (filed Mar. 19, 2021) (Extension 9 Further Extension Request at 1–2 quoting 13 5G for 12GHz Coalition Opposition at 2. Motion). Extension Order at n.6. 14 47 CFR 1.46.
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in rulemaking proceedings. In this Telecommunication Union (ITU) in Earth Exploration-Satellite Service proceeding, the Bureau has already 2019 (WRC–19) regarding the 24.25– (EESS) passive systems in the 23.6–24.0 granted a 30-day extension of comment 27.5 GHz band. Specifically, OET and GHz band from harmful interference. To and reply deadlines to allow parties WTB seek comment on aligning the protect EESS passive systems, WRC–19 additional time to develop submissions FCC’s rules with the unwanted modified a footnote to the International that address complex issues raised in emissions limits into the passive 23.6– Table of Allocations to specify that the Notice.15 Because a further 24.0 GHz band that were adopted at Resolution 750 (Rev. WRC–19) applies extension of time would only delay WRC–19. to the 24.25–27.5 GHz band. Resolution receipt of these comments and parties DATES: Comments are due on or before 750 specifies unwanted emission limits will have time to reply to these June 28, 2021, and reply comments are as the amount of power that may be submissions, the Commission is not due on or before July 26, 2021. radiated into any 200 megahertz of the persuaded that such an extension is ADDRESSES: Federal Communications 23.6–24.0 GHz passive band by IMT warranted. To the extent that members Commission, 45 L Street NE, base stations and IMT mobile stations of the 12 GHz Alliance have input on Washington, DC 20554. operating in the 24.25–27.5 GHz band. whether filings in the comment stage FOR FURTHER INFORMATION CONTACT: Resolution 750 specifies unwanted demonstrate the feasibility of sharing in Nicholas Oros, Office of Engineering emission limits in terms of Total this band, they may submit such input and Technology, 202–418–0636, Radiated Power (TRP) that currently at the reply stage and in subsequent ex [email protected] or John Schauble apply to IMT stations and stricter parte presentations. The Commission of the Wireless Telecommunications emission limits that are effective for therefore denies the Further Extension Bureau, at (202) 418–0797, or IMT stations brought into use after Request. The deadlines for filing [email protected]. September 1, 2027. These unwanted comments and reply comments in this emission limits are shown in Table 1. SUPPLEMENTARY INFORMATION: This is a proceeding continue to be May 7, 2021, summary of the Commission’s and June 7, 2021, respectively. TABLE 1—WRC–19 RESOLUTION 750 document, Public Notice, DA 21–482, II. Ordering Clause ET Docket No. 21–186, GN Docket No. UNWANTED EMISSIONS PERMITTED WITHIN ANY 200 MEGAHERTZ IN THE 5. Accordingly, it is ordered that, 14–177, released April 26, 2021. The pursuant to section 4(i) of the full text of this document is available for 23.6–24 GHZ PASSIVE BAND Communications Act of 1934, as public inspection and can be downloaded at: https://www.fcc.gov/ Type of Current TRP limits after amended, 47 U.S.C. 154(i), 0.131, 0.331, station TRP limits Sept. 1, 2027 and § 1.46 of the Commission’s rules, 47 document/oet-wtb-seek-comment- CFR 0.131, 0.331, and § 1.46, the emission-limits-2425-275-ghz-band or IMT Base Further Extension Request filed by by using the search function for ET Stations ¥33 dBW ¥39 dBW WorldVu Satellites Limited (ONEWEB), Docket No. 21–186 on the Commission’s IMT Mobile Kepler Communications, SpaceX ECFS web page at www.fcc.gov/ecfs. Stations ¥29 dBW ¥35 dBW Holdings, LLC, Intelsat License LLC, Synopsis and SES S.A., on April 26, 2021, is 1. In 2017, the Commission 3. The WRC–19 Final Acts updated denied. established service rules for fixed and the ITU Radio Regulations, including Federal Communications Commission. mobile operation in the 24.25–24.45 Resolution 750. The National Amy Brett, GHz and 24.75–25.25 GHz bands Telecommunications and Information Acting Chief of Staff, Wireless (collectively, 24 GHz band) under the Administration (NTIA), FCC, and the Telecommunications Bureau. Upper Microwave Flexible Use Service Department of State share responsibility for implementing the WRC Final Acts in [FR Doc. 2021–11066 Filed 5–26–21; 8:45 am] (UMFUS). The Commission applied the the United States. The Commission has BILLING CODE 6712–01–P UMFUS rules, including the technical rules, to the 24 GHz band. The UMFUS authority to implement the changes to rules specify that emissions outside of a the Radio Regulations through its FEDERAL COMMUNICATIONS licensee’s assigned frequency block rulemaking proceedings. Given the COMMISSION must be limited to ¥13 dBm/MHz. With importance of limiting unwanted respect to the passive systems operating emissions into the passive 23.6–24.0 47 CFR Parts 2 and 30 in the 23.6–24 GHz band, the GHz band, OET and WTB seek to develop a record on implementing the [ET Docket No. 21–186; GN Docket No. 14– Commission noted that ongoing 177; DA 21–482; FRS 27278] international studies include analyses to changes to the emission limit in determine International Mobile Resolution 750 applicable to active Emission Limits for the 24.25–27.5 GHz Telecommunications (IMT) out-of-band services in the 24 GHz band. Band emission limits necessary to protect 4. OET and WTB seek comment AGENCY: Federal Communications passive sensors onboard weather broadly on implementing certain of the Commission (FCC). satellites in that band, and it WRC–19 outcomes with respect to the 24.25–27.5 GHz band. Noting that the ACTION: Requests for comments. acknowledged that the Commission’s UMFUS rules might be revisited once United States is a signatory to the treaty SUMMARY: In this document, The Office these international studies have been text of the Radio Regulations, OET and of Engineering and Technology (OET) completed. WTB seek comment on modifying the and the Wireless Telecommunications 2. WRC–19 allocated 24.25–25.25 GHz Commission’s rules in response to the Bureau (WTB) seek comment on to mobile (except aeronautical) on a unwanted emission limits and implementing certain of the decisions of primary basis in Regions 1 and 2, international allocation table footnotes the World Radiocommunication globally identified the 24.25–27.5 GHz adopted for the 24.25–27.5 GHz band at Conference held by the International band for IMT, and established limits of the WRC–19. These rule changes could unwanted emissions that apply to IMT include, for example, adding footnotes 15 Extension Order at para. 3. in the 24.25–27.5 GHz band to protect to the United States Table of Frequency
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Allocations or aligning the will be able to deploy mobile services. 1700 Wells Fargo Capitol Center, Commission’s technical rules. Licensees will also have the freedom to Raleigh, North Carolina 27601. 5. Appropriate out-of-band emission implement point-to-point and point-to- FOR FURTHER INFORMATION CONTACT: limits in the 24.25–27.5 GHz band are multipoint systems. The unwanted Joyce Bernstein, Media Bureau, at (202) important to protect passive sensing emission limits of Resolution 750 apply 418–1647 or [email protected]. operations in the 23.6–24.0 GHz band. only to IMT base stations and mobile SUPPLEMENTARY INFORMATION: In support The limits adopted at WRC–19 are to be stations. The Commission’s rules do not of its channel substitution request, the measured within a 200-megahertz define IMT and do not require that Petitioner states that the Commission bandwidth within the 400-megahertz equipment complying with a particular has recognized that VHF channels have 23.6–24 GHz passive band. For technical standard be used in a band certain propagation characteristics that comparison with the Resolution 750 licensed under the UMFUS rules. If the pose challenges for their use in unwanted emission limit, a signal at Commission were to adopt the emission providing digital television service, ¥13 dBm/MHz (conductive or TRP) limits in Resolution 750 for the 24.25– including propagation characteristics would result in ¥20 dBW within a 200- 27.5 GHz band, how should it determine that allow undesired signals and noise megahertz bandwidth. However, OET to what stations these limits will apply? to be receivable at relatively far and WTB note that the ¥13 dBm/MHz Should they only apply to systems that distances and nearby electrical devices emission limit applies at the edge of the meet the definition of IMT as specified to cause interference. Petitioner states UMFUS band—i.e., 24.25 GHz. Given by the ITU? Should the rules apply to this, OET and WTB seek to understand that it has attempted to address the point-to-point and point-to-multipoint station’s reception issues through what level of emissions can be expected equipment licensed under the UMFUS within the 23.6–24 GHz band from multiple technical avenues, including rules? Should any mobile UMFUS requesting a waiver of the permissible UMFUS transmitters, and whether and equipment be required to comply with to what extent harmful interference to power limits set forth in the these unwanted emission limits Commission’s rules, but continues to passive systems operating in the 23.6– regardless of the technology used, the 24.0 GHz band is expected to occur from receive numerous complaints of poor or application, and the density of no reception from viewers. In addition, new 5G deployments at the current deployment? UMFUS limit. while the proposed channel 19 facility 6. Recognizing that the unwanted Federal Communications Commission. will result in a slight reduction emission limits in Resolution 750 and Ronald T. Repasi, (approximately 9.4 kilometers) in the current out-of-band emission limits Acting Chief, Office of Engineering and WGEM–TV’s noise limited contour, the in the UMFUS rules are specified Technology. Petitioner states that use of the Longley- differently, and further recognizing the [FR Doc. 2021–10536 Filed 5–26–21; 8:45 am] Rice propagation model indicates that two-phased approach for the unwanted BILLING CODE 6712–01–P the proposed channel 19 facility will emissions limits that were adopted in have an extended terrain-limited service WRC–19, OET and WTB seek throughout the gap area, and thus, there information on whether and how FEDERAL COMMUNICATIONS will be no loss of service. equipment intended for use under the COMMISSION This is a synopsis of the UMFUS rules in the 24.25–24.45 GHz Commission’s Notice of Proposed and 24.75–25.25 GHz bands can be 47 CFR Part 73 Rulemaking, MB Docket No. 21–219; designed to conform to the Resolution RM–11907; DA 21–583, adopted May 750 limits—both the current limits and [MB Docket No. 21–219; RM–11907; DA 21– 17, 2021, and released May 17, 2021. the more restrictive limits that apply to 583; FR ID 28088] The full text of this document is new equipment brought into use after available for download at https:// September 1, 2027. Can licensees meet Television Broadcasting Services, www.fcc.gov/edocs. To request materials the WRC–19 TRP limits by the relevant Quincy, Illinois in accessible formats (braille, large print, computer diskettes, or audio deadlines? Is it possible that licensees AGENCY: Federal Communications ¥ recordings), please send an email to can meet the 39 dBW limit for IMT Commission. base stations and the ¥35 dBW limit for [email protected] or call the Consumer & IMT mobile stations prior to 2027? What ACTION: Proposed rule. Government Affairs Bureau at (202) 418–0530 (VOICE), (202) 418–0432 steps, if any, can the Commission take SUMMARY: The Commission has before it (TTY). to help accelerate development and a petition for rulemaking filed by This document does not contain deployment of equipment that complies WGEM License, LLC (Petitioner), the information collection requirements with the post-2027 limits? licensee of WGEM–TV (NBC), channel 7. OET and WTB note that Resolution subject to the Paperwork Reduction Act 10, Quincy, Illinois. The Petitioner 750 specifies TRP as the only means of of 1995, Public Law 104–13. In addition, requests the substitution of channel 19 meeting the required emission limits. therefore, it does not contain any for channel 10 at Quincy in the DTV Are there any difficulties in performing proposed information collection burden Table of Allotments. over the air TRP measurements at such ‘‘for small business concerns with fewer low signal levels in the 24.25–24.45 DATES: Comments must be filed on or than 25 employees,’’ pursuant to the GHz and 24.75–25.25 GHz bands? before June 28, 2021 and reply Small Business Paperwork Relief Act of Consistent with the current UMFUS comments on or before July 12, 2021. 2002, Public Law 107–198, see 44 U.S.C. rules, should a conductive power ADDRESSES: Federal Communications 3506(c)(4). Provisions of the Regulatory methodology also be included as an Commission, Office of the Secretary, 45 Flexibility Act of 1980, 5 U.S.C. 601– alternative means for equipment L Street NE, Washington, DC 20554. In 612, do not apply to this proceeding. certification? addition to filing comments with the Members of the public should note 8. The UMFUS rules allow licensees FCC, interested parties should serve that all ex parte contacts are prohibited flexibility as to the services they will counsel for the Petitioner as follows: from the time a Notice of Proposed deploy and the architecture of their Patrick Cross, Esq., Brooks, Pierce, Rulemaking is issued to the time the networks. Under these rules licensees McLendon, Humphrey & Leonard, LLP, matter is no longer subject to
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Commission consideration or court Commission proposes to amend 47 CFR Community Channel No. review, see 47 CFR 1.1208. There are, part 73 as follows: however, exceptions to this prohibition, which can be found in § 1.1204(a) of the PART 73—RADIO BROADCAST ***** Commission’s rules, 47 CFR 1.1204(a). SERVICES See §§ 1.415 and 1.420 of the Commission’s rules for information ■ 1. The authority citation for part 73 ILLINOIS regarding the proper filing procedures continues to read as follows: for comments, 47 CFR 1.415 and 1.420. Authority: 47 U.S.C. 154, 155, 301, 303, 307, 309, 310, 334, 336, 339. ***** List of Subjects in 47 CFR Part 73 ■ 2. In § 73.622(i), amend the Post- Television. Quincy ...... 19, 32, *34 Transition Table of DTV Allotments Federal Communications Commission. under Illinois by revising the entry for ***** Thomas Horan, Quincy to read as follows: Chief of Staff, Media Bureau. § 73.622 Digital television table of [FR Doc. 2021–10859 Filed 5–26–21; 8:45 am] Proposed Rule allotments. BILLING CODE 6712–01–P For the reasons discussed in the * * * * * preamble, the Federal Communications (i) * * *
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Notices Federal Register Vol. 86, No. 101
Thursday, May 27, 2021
This section of the FEDERAL REGISTER displays a currently valid OMB control DEPARTMENT OF AGRICULTURE contains documents other than rules or number. proposed rules that are applicable to the Submission for OMB Review; public. Notices of hearings and investigations, Rural Housing Service Comments Requested committee meetings, agency decisions and rulings, delegations of authority, filing of Title: 7 CFR 1951–E, Servicing of The Department of Agriculture will petitions and applications and agency Community and Direct Business submit the following information statements of organization and functions are Programs Loans and Grants. collection requirement(s) to OMB for examples of documents appearing in this OMB Control Number: 0575–0066. review and clearance under the section. Summary of Collection: Rural Paperwork Reduction Act of 1995, Development (Agency) is the credit Public Law 104–13 on or after the date agency for agriculture and rural of publication of this notice. Comments DEPARTMENT OF AGRICULTURE development for the U.S. Department of are requested regarding: Whether the Submission for OMB Review; Agriculture. The Community Facilities collection of information is necessary Comment Request program is authorized to make loans for the proper performance of the and grants for the development of functions of the agency, including The Department of Agriculture has essential community facilities primarily whether the information will have submitted the following information serving rural residents. The Direct practical utility; the accuracy of the collection requirement(s) to OMB for Business and Industry Program is agency’s estimate of burden including review and clearance under the authorized to make loans to improve, the validity of the methodology and Paperwork Reduction Act of 1995, develop, or finance business, industry, assumptions used; ways to enhance the Public Law 104–13. Comments are and employment, and improve the quality, utility and clarity of the requested regarding: Whether the economic and environmental climate in information to be collected; and ways to collection of information is necessary rural communities. Section 331 and 335 minimize the burden of the collection of for the proper performance of the of the Consolidated Farm and Rural information on those who are to functions of the agency, including Development Act, as amended, respond, including through the use of whether the information will have authorizes the Secretary of Agriculture, appropriate automated, electronic, practical utility; the accuracy of the acting through the Agency, to establish mechanical, or other technological agency’s estimate of burden including provisions for security servicing policies collection techniques or other forms of the validity of the methodology and for the loans and grants in questions. information technology. Comments assumptions used; ways to enhance the When there is a problem, a recipient of regarding these information collections quality, utility and clarity of the the loan, grant, or loan guarantee must are best assured of having their full information to be collected; and ways to furnish financial information to aid in effect if received by June 28, 2021. minimize the burden of the collection of resolving the problem through Written comments and information on those who are to reamortization, sale, transfer, debt recommendations for the proposed respond, including through the use of restructuring, liquidation, or other information collection should be appropriate automated, electronic, means provided in the regulations. submitted within 30 days of the mechanical, or other technological Need and Use of the Information: The publication of this notice on the collection techniques or other forms of Agency will use several different forms following website www.reginfo.gov/ information technology. to collect information from applicants, public/do/PRAMain. Find this Comments regarding this information borrowers, consultants, lenders and particular information collection by collection received by June 28, 2021 attorneys. This information is used to selecting ‘‘Currently under 30-day will be considered. Written comments determine applicant/borrower eligibility Review—Open for Public Comments’’ or and recommendations for the proposed and project feasibility for various by using the search function. An agency may not conduct or information collection should be servicing actions. The information sponsor a collection of information submitted within 30 days of the enables field staff to ensure that unless the collection of information publication of this notice on the borrowers operate on a sound basis and displays a currently valid OMB control following website www.reginfo.gov/ use loan and grant funds for authorized number and the agency informs public/do/PRAMain. Find this purposes. potential persons who are to respond to particular information collection by Description of Respondents: State, the collection of information that such selecting ‘‘Currently under 30-day Local or Tribal Government; Not-for- persons are not required to respond to Review—Open for Public Comments’’ or profit institutions. the collection of information unless it by using the search function Number of Respondents: 154. displays a currently valid OMB control An agency may not conduct or Frequency of Responses: Reporting: number. sponsor a collection of information On occasion. Agricultural Marketing Service unless the collection of information Total Burden Hours: 1,663. displays a currently valid OMB control Title: Dairy Products Mandatory Sales number and the agency informs Levi S. Harrell, Reporting. potential persons who are to respond to Departmental Information Collection OMB Control Number: 0581–0274. the collection of information that such Clearance Officer. Summary of Collection: The persons are not required to respond to [FR Doc. 2021–11203 Filed 5–26–21; 8:45 am] Mandatory Price Reporting Act of 2010 the collection of information unless it BILLING CODE 3410–XV–P amended § 273(d) of the Agricultural
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Marketing Act of 1946, requiring the Register on April 22, 2009 to prepare an DEPARTMENT OF AGRICULTURE Secretary of Agriculture to establish an Environmental Impact Statement (EIS) electronic reporting system for certain for the Wildlife Conservation Strategy Rural Business-Cooperative Service manufacturers of dairy products to Forest Plan Amendment. report sales information under a FOR FURTHER INFORMATION CONTACT: Rural Housing Service mandatory dairy product reporting Questions concerning this notice should program. Data collection for cheddar be directed to Deputy Forest Supervisor Rural Utilities Service cheese, butter, dry whey, or nonfat dry Susan Howle at Payette National Forest [Docket No. RBS–21–CO–OP–0011] milk sales is limited to manufacturing Supervisors Office, 500 North Mission plants producing annually 1 million Street Building 2, McCall, ID 83638; via Notice of Funds Availability for the pounds or more of one of the surveyed telephone at 208–634–0700 or via email Rural Placemaking Innovation commodities specified in the program. at [email protected]. Challenge (RPIC) for Fiscal Year 2021 Need and Use of the Information: Individuals who use Persons engaged in manufacturing dairy telecommunication devices for the AGENCY: Rural Business-Cooperative products are required to provide the hearing-impaired (TDD) may call the Service (RBCS), Rural Utilities Service Department of Agriculture (USDA) Federal Information Relay Service (RUS), Rural Housing Service (RHS), certain information, including the price, (FIRS) at 1–800–877–8339 between 8 USDA. quantity, and moisture content, where a.m. and 8 p.m., Eastern Daylight Time, ACTION: Notice of funds availability. applicable, of dairy products sold by the Monday through Friday. SUMMARY: The Deputy Under Secretary manufacturer. Various manufacturer SUPPLEMENTARY INFORMATION: A NOI to reports are filed electronically on a prepare an EIS was first published in for Rural Development (RD) is seeking weekly basis. Additional paper forms the Federal Register on September 14, applications for the Rural Placemaking are filed by manufacturers on an annual 2007 (72 FR 52540) to amend the 2003 Innovation Challenge (RPIC) from basis to validate participation in the Land and Resource Management Plans eligible entities to provide technical mandatory reporting program. for the Boise, Payette, and Sawtooth assistance and training to rural Manufacturers and other persons storing National Forests and was corrected on communities for placemaking planning dairy products must also report December 8, 2008 (73 FR 74455) due to and implementation. This funding information on the quantity of dairy a delay in release of the three-forest opportunity will be administered by the products stored. USDA publishes Draft EIS. On April 22, 2009 (74 FR USDA Rural Development Innovation composites of the information obtained 18348), a new NOI was filed to prepare Center and is authorized by the to help industry members make a separate EIS for each forest. The Agriculture, Rural Development, Food informed marketing decisions regarding Notice of Availability for the Draft EIS and Drug Administration, and Related dairy products. The information is also for the amendment to the Payette Forest Agencies Appropriations Act, 2021, to used to establish minimum prices for Plan was published in the Federal provide up to $3 million in competitive Class III and Class IV milk under Register on January 21, 2011 (76 FR cooperative agreement funds. This Federal milk marketing orders. Without 3884). announcement lists the information this information USDA would not be The Forest Supervisor in consultation needed to submit an application. able to verify compliance with with the Intermountain Regional Office DATES: Applications for RPIC applicable regulations. has determined that the forest plan cooperative agreement(s) must be Description of Respondents: amendment proposed in 2011 cannot be submitted electronically through Businesses—Cheddar Cheese, 40 lb. completed as initiated per the Grants.gov by 11:59 p.m. Eastern Blocks. provisions of 36 CFR 219.13 issued in Daylight Time by July 26, 2021. Number of Respondents: 219. 2016. Under the new regulations, the Applications received after 11:59 p.m. Frequency of Responses: Reporting: project would be required to be re- Eastern Daylight Time on July 26, 2021 On occasion; Weekly; Annually. initiated in order to meet the public will not be considered. Total Burden Hours: 1,767. notification requirements. The Comments related to the collection of withdrawal of the EIS could not proceed information must be submitted by July Levi S. Harrell, earlier because of pending litigation for 26, 2021. Follow directions provided in Departmental Information Collection another project that referenced the Draft Section IX of this notice. Clearance Officer. EIS. Judgment in that case was issued in ADDRESSES: [FR Doc. 2021–11202 Filed 5–26–21; 8:45 am] August 2020, and the litigation is no Application Submission: The BILLING CODE 3410–02–P longer pending. Instead of proceeding application system for electronic with a new or re-initiated Plan submissions will be available at https:// Amendment at this time, individual DEPARTMENT OF AGRICULTURE www.grants.gov/. projects are considering the need for Electronic submissions: The Forest Service project level amendments to address electronic submission of an application wildlife conservation needs on a will allow for the expeditious review of Payette National Forest; Idaho; Wildlife project-by-project basis based on the an applicant’s proposal. As a result, all Conservation Strategy Forest Plan best available science. The need for a applicants must file their application Amendment; Withdrawal of Notice of plan level wildlife conservation strategy electronically. will be reassessed during forest plan Intent To Prepare an Environmental FOR FURTHER INFORMATION CONTACT: revision in the future. Impact Statement USDA Rural Development, Innovation Dated: May 21, 2021. AGENCY: Forest Service, USDA. Center, via email at: [email protected], Barnie Gyant, ACTION: Notice; withdrawal. or via phone at: Angela Callie 202–568– Associate Deputy Chief, National Forest 9738 or Greg Dale 202–568–9558. SUMMARY: The Payette National Forest is System. Persons with disabilities who require withdrawing the Notice of Intent (NOI) [FR Doc. 2021–11196 Filed 5–26–21; 8:45 am] alternative means for communication that was published in the Federal BILLING CODE 3411–15–P should contact the U.S. Department of
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Agriculture (USDA) Target Center at B. Program Description II. Federal Award Information (202) 720–2600 (voice). The last day for RD is authorized to administer A. Catalog of Federal Domestic accepting questions on this notice will cooperative agreement awards in Assistance (CFDA) Number: 10.890. be July 26, 2021. accordance with 7 U.S.C. 2204b(b)(4). SUPPLEMENTARY INFORMATION: The intention of RPIC is to provide Catalog of Federal Domestic Authority: This solicitation is issued cooperative agreement funding to Assistance (CFDA) Title: Rural pursuant to 7 U.S.C. 2204b(b)(4). eligible applicants working to promote Placemaking Innovation Challenge. Overview public-private-philanthropic B. Funds Available partnerships in rural communities that The amount available for RPIC FY Federal Agency: Rural Business- encourage economic and social 2021 is up to $3 million. Lead Cooperative Service (RB–CS), Rural development. These projects are applicants may not submit more than Utilities Service (RUS), and Rural intended to support rural America and one application but may identify more Housing Service (RHS), (USDA). align with the mission of existing USDA Funding Opportunity Title: Rural than one community with which they RD programs to increase rural economic Placemaking Innovation Challenge are providing placemaking assistance. growth and improve the quality of life (RPIC). The maximum award amount for any Announcement Type: Notice of Funds in rural America by supporting essential services such as housing, economic one applicant is $250,000. RD reserves Availability (NOFA). the right to withhold the awarding of Catalog of Federal Domestic development, and required infrastructure. any funds if no application receives a Assistance (CFDA) Number: Rural minimum score of at least 60 points. Placemaking Innovation Challenge For purposes of this notice, Technical Assistance and Training for There is no commitment by USDA to (RPIC)—10.890. fund any application that does not Due Date for Applications: Placemaking is defined in Part III. RPIC operates under the following achieve the minimum score. Applications for RPIC cooperative This funding opportunity lists the agreement(s) must be received by 11:59 concepts: • Creating livable communities is information needed to apply for these p.m. on July 26, 2021. Applications important for community developers funds and announces that RD is received after 11:59 p.m. Eastern and practitioners who implement these accepting FY 2021 applications to Daylight Time on July 26, 2021 will not strategies in rural communities and support RPIC. be considered. areas. C. Approximate Number of Awards Items in Supplementary Information • Placemaking practices include both innovative and adaptive as well as The Agency anticipates that it may I. Program Overview select one, multiple, or no award II. Federal Award Information established technical processes and III. Definitions solutions. recipients from this funding IV. Eligibility Information • Partnerships are a key element to opportunity. Applicants may not submit V. Application and Submission Information the RPIC and must be developed with more than one application. VI. Application Review Information public, private, and philanthropic D. Type of Instrument VII. Federal Award Administration organizations creating new collaborative Information approaches, learning together, and RD is authorized to administer VIII. Federal Awarding Agency Contacts bringing those learned strategies into cooperative agreement awards in IX. Other Information rural communities. accordance with 7 U.S.C. 2204b(b)(4) for I. Program Overview • Placemaking contributes to long- the Rural Placemaking Innovation term investment and therefore supports Challenge. A. Background a community’s resiliency, social E. Period of Performance The Rural Placemaking Innovation stability, and collective identity. Challenge is a technical assistance and • Broadband is an essential The maximum Period of Performance planning process for qualified entities to component to supporting placemaking is 2 years. Applicants should anticipate support rural community leaders to initiatives. a Period of Performance beginning create places where people want to live, For the purpose of this notice, October 1, 2021 and ending no later work, and play. This initiative is to placemaking is the process of creating than September 30, 2023. provide planning support, technical quality places where people want to III. Definitions assistance, and training to communities live, work, and play. Ultimately, the to foster placemaking activities in rural goal is to create greater social and The terms and conditions provided in communities. Funds can help enhance cultural vitality in rural communities this Notice of Funds Availability capacity for broadband access, preserve aimed at improving people’s social, (NOFA) are applicable to and for the cultural and historic structures, and physical, and economic well-being. The purposes of this NOFA only. Unless support the development of key elements of quality places include, otherwise provided in the award transportation, housing, and but are not limited to, a mix of uses; documents, all financial terms not recreational spaces. Applicants must effective public spaces; broadband defined herein shall have the meaning demonstrate existing and proposed capability; transportation options; as defined by Generally Accepted partnerships with public, private, multiple housing options; preservation Accounting Principles (GAAP). philanthropic, and community partners of historic structure; and respect of Capacity (for eligibility) is defined as to provide assistance. This funding community heritage, arts, culture, previous experience with federal grant announcement supports the delivery of creativity, recreation, and green space. administration and demonstrated technical assistance and training in Throughout the placemaking process experience in economic development visioning, planning, and assisting applicants are expected to involve and placemaking technical assistance. communities to implement placemaking public, private, philanthropic, and Cooperative Agreement Elements efforts in rural communities under the community partners; this work is to be mean the cooperative agreements to be Rural Placemaking Innovation based on a sense of place with funded through RPIC directly support Challenge (RPIC). qualitative and quantitative outcomes. Rural Development’s goals of increasing
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rural economic growth. As part of the Tennessee, Georgia, Florida, Alabama, USDA United States Department of placemaking planning process, required Mississippi, Arkansas, Louisiana, Texas, Agriculture infrastructure, community facilities, Puerto Rico, Virgin Islands and CFR Code of Federal Regulation housing and/or business development to Oklahoma. SPOC Single Point of Contact support the ultimate placemaking goal • The West includes Montana, Idaho, IV. Eligibility Information are documented. In addition, existing Wyoming, Colorado, New Mexico, assets that can be leveraged in support Arizona, Utah, Nevada, California, A. Applicants of a placemaking vision are evaluated, Oregon, Washington, Alaska, Hawaii, Applicants must meet the following and funding strategies and sources to and U.S. Pacific Island Territories. eligibility requirements by the enhance or construct new assets are Rural area means the Rural Business application deadline. Applications that identified. Cooperators are expected to Service’s Rural Area definition as fail to meet any of these requirements by have expertise in placemaking and outlined in Section 343(a)(13)(A)(i) of the application deadline will be deemed partnerships that will enable a rural the Agricultural Act of 1961 & ineligible and will not be evaluated community, area, or region to ultimately Consolidated Farm and Rural further and will not receive a Federal implement a placemaking strategy and Development Act which defines ‘‘rural award. improve the quality of life for its area’’ as any area other than (1) a city Applicant Eligibility: Federally citizens. or town that has a population of greater recognized Tribes and Native American Multi-jurisdictional means more than than 50,000 inhabitants and (2) any Tribal Organizations; institutions of one jurisdiction where jurisdiction urbanized area contiguous and adjacent higher education (including 1862 Land- refers to a unit of government or other to such city or town described in Grant Institutions, 1890 Land-Grant entity with similar powers, such as a subparagraph (1) above. Institutions, 1994 Land-Grant city, county, district, special purpose Sector means stakeholders from areas Institutions, Hispanic-Serving district, township, town, borough, such as business, health, education, Institutions, and Historically Black parish, village, state, Indian tribe, etc. and/or workforce; or from organization Colleges and Universities (HBCU)); Multi-sectoral means intentional types such as public, private, non-profit, collaboration between two or more nonprofit organizations with 501(c)(3) and/or philanthropy. IRS status; public bodies or small sectors (e.g., utility, health, housing, Technical Assistance and Training for community services, etc.) to accomplish private entities meeting the size Placemaking means the applicant standards established by the U.S. Small goals and achieve outcomes in participates in the complete process for communities and regions. Business Administration (SBA). the delivery of placemaking planning All eligible applicants must Placemaking means a process and implementation in partnership with involving public, private, philanthropic demonstrate the capacity to deliver and identified rural communities. The support rural placemaking planning and community partners working support provided may include, but is together to strategically improve the activities within at least one of the four not limited to: regions found in Part III. Capacity is social, cultural, and economic structure • Evidence-based understanding of defined as previous experience with of a community. This work is based on community assets, challenges, and a sense of place with qualitative and federal grant administration and opportunities, demonstrated experience in economic quantitative outcomes. • A description of the distinct development and placemaking technical Placemaking Plan means a written qualities of the community—both document that describes the strategic assistance. positive and negative, Entities are not eligible if they have plan for the community to implement • A vision statement that summarizes been debarred or suspended or the goals and objectives identified the most important outcomes that the through the placemaking planning otherwise excluded from, or ineligible community wants to see achieved, for, participation in Federal assistance process. • A statement of values that identifies Quality of life means a measure of programs under 2 CFR parts 180 and the principles that leaders and human well-being that can be identified 417. In addition, an applicant will be stakeholders should use in determining though economic and social indicators. considered ineligible for a cooperative strategies, and Modern utilities, affordable housing, agreement due to an outstanding • Evidence of broad community efficient transportation, and reliable judgment obtained by the U.S. in a participation, public input, and buy-in. employment are economic indicators Federal Court (other than U.S. Tax Commonly used Acronyms: that must be integrated with social Court) or if the applicant is delinquent indicators such as access to medical DCI Distressed Communities Index on the payment of Federal income taxes services, public safety, education, and DUNS Data Universal Numbering or Federal debt. System community resilience to empower rural B. Eligible Project communities to thrive. FY Fiscal Year Region (Four Regions) means: HBCU Historically Black Colleges and The proposed project must include a • The Northeast includes Maine, New Universities component that allows for active Hampshire, Vermont, Massachusetts, LOC Letter of Conditions participation by the Cooperator and Rhode Island, Connecticut, New York, NEPA National Environmental Policy substantial involvement by RD in the New Jersey, Delaware, Maryland, Act majority of specified tasks outlined in Virginia, West Virginia, and NICRA Negotiated Indirect Cost Rate the applicant’s project proposal. Pennsylvania. Agreement Examples of measurable substantial • The Midwest includes Ohio, RD Rural Development involvement include, but are not limited Michigan, Indiana, Wisconsin, Illinois, RDCA Rural Development Cooperative to, the following: Joint convenings of Minnesota, Iowa, Missouri, North Agreement community members, partners, and Dakota, South Dakota, Nebraska, and RPIC Rural Placemaking Innovation stakeholders; joint delivery of training Kansas. Challenge for RD programs; and the development • The South includes Kentucky, SAM System for Award Management of training sessions and outreach North Carolina, South Carolina, SBA Small Business Administration materials. It is the intent of this project
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to engage RD staff in the placemaking period during which matching organizations must use the rate process, and it is the responsibility of contribution will be available, and the identified in their NICRA. If you do not the applicant to identify specific tasks source of the funds, as applicable (e.g., have a NICRA, you may elect to charge where RD staff can provide measurable, cash on hand, etc.). only direct costs to the award. If you substantial involvement in the project. If • If providing an in-kind match, the have never had a NICRA, you may also such tasks are not identified, the third-party contributor must provide choose to use a de minimis rate of 10 application will not be eligible for details on how those in-kind sources percent of modified total direct costs in funding. will be identified and tracked by the accordance with 2 CFR 200.414(f). Your The project must also directly benefit contributor. indirect cost rate must be included on a rural area. All ultimate beneficiaries • The contributor must also attach/ Form SF–424A. and/or subrecipients must be located in stipulate the value of each of the goods (4) The applicant may not use their rural areas, and any activities or tasks or services (including the indirect/direct administrative overhead or indirect must occur in rural areas. costs) being offered. costs as any part of their matching funds Duplication of services is not allowed. • If using calculated hours for contribution. Using an indirect cost rate Applicants must demonstrate that they estimating any in-kind service, the or administrative overhead for a are providing services either to new contributor must also provide how the matching fund contribution will be customers or new services to current value was arrived at for calculating the deemed as an ineligible use of funds for customers. If the applicant’s workplan total cost for the in-kind match and the cooperative agreement. and budget are duplicative of a previous associated personnel, as applicable. (5) Program Income. If you expect to and/or existing RPIC award, the Additional details about cost sharing earn Program Income during the Period application will not be considered for or matching funds/contributions are of Performance, you must identify the funding. RD will make this located at 2 CFR 200.306. Applicant amount and how you expect to use it determination. matching funds must be included in the (e.g., matching funds) in your C. Cost Sharing and Matching Funds budget justification. For matching funds application. If your application is Verification offered by project partners, a separate funded, unexpected Program Income or Matching Funds Letter is required for Program Income earned in excess of the (1) A minimum 15 percent match of each cash and/or in-kind match the federal grant amount requested for amount you identify in your application contribution. Matching Funds Letters will be deducted from the Federal share the cooperative agreement award is must be signed by the authorized required for all applications. Matching of the project in accordance with 2 CFR organizational representative of the 200.307(e)(1). commitments may be made in cash by contributing organization and the the applying organization, or a applicant organization, which must E. Ineligible Project Costs combination of cash and confirmed include: In addition to costs identified as funding commitments with third-party • The name, address, and telephone unallowable by 2 CFR part 200 or 400, in-kind contributions as defined in 2 number of the contributor, the following costs are prohibited for CFR 200.96. This minimum match of at • the name of the applicant this program. Neither award funds nor least 15 percent of the federal amount organization, matching funds can be used to pay for requested must be committed for a • the title of the project for which the the following types of expenses (this is period of not less than the cooperative contribution is made, not a comprehensive list of unallowable agreement performance period. Cost • the dollar amount of the costs, see 2 CFR part 200). sharing/matching must be committed at contribution, and (1) Construction (in any form). the time of application submission. • a statement that the contributor (2) Applicants may recruit one or (2) Intermediary preparation of commits to furnish the contribution strategic plans for recipients. more private, philanthropic, and/or during the cooperative agreement eligible public partner(s) to provide the (3) Grants to individuals. period. (4) Funding a grant where there may matching fifteen percent 15 percent (in Applications without signed written be a conflict of interest, or an cash and/or in-kind contributions) of commitments are deemed incomplete appearance of a conflict of interest, the applicant’s proposed federal funding and will be ineligible. The value of involving any action by the Agency. request (i.e., the federal grant amount applicant contributions to the project is (5) Purchasing real estate. requested), or the applicant can provide established according to Federal cost (6) Using cooperative agreement the full match as their own CASH principles. Applicants should refer to 2 assistance or matching funds for contribution. It is permissible to provide CFR 200.306 for additional guidance on individual development accounts. a combination of third party in-kind matching funds, in-kind contributions, (7) Purchasing vehicles. contribution (as defined in 2 CFR and allowable costs. (8) To pay an outstanding judgment 200.96) from a partner and CASH obtained by the United States in a contribution from the applicant, but it is D. Funding Restrictions Federal Court (other than in the United not permissible for the applicant to The following funding restrictions States Tax court), which has been provide their own in-kind contribution also apply to this program: recorded. An applicant will be ineligible as part of the match combination. If the (1) Pre-award costs are not authorized. to receive an award until the judgment applicant is going to provide their own (2) Use of Funds. Awards funds is paid in full or otherwise satisfied. match contribution, that match must be should be calculated based on the documented as a CASH contribution. federal amount requested by the V. Application and Submission (3) Verification of Matching Funds: applicant. A minimum of 15 percent Information The Matching Funds Letter must be match is required per Part IV. Section C. signed by the donating organization’s (3) Indirect Cost Rate. The indirect A. Electronic Application and authorized representative on the cost rate is limited to 10 percent of Submission organization’s letterhead and must direct charges for all nonprofit Applications must be submitted identify the amount of matching funds institutions, including institutions of electronically using Grants.gov. No or in-kind services/goods, the time higher education. All other other form of application will be
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accepted. Application and supporting (1) Applicants must complete and uploaded into Grants.gov as an materials are available at Grants.gov. submit the following forms to apply for attachment to the application. The Your application must contain all an RPIC cooperative agreement: maximum limit for the written narrative required information. (a) Standard Form 424, ‘‘Application section is 25 pages. Information To apply electronically, you must for Federal Assistance—Non- exceeding 25 pages for the written follow the instructions for this funding construction.’’ narrative may not be considered for announcement at Grants.gov. Please (b) Standard Form 424A, ‘‘Budget evaluation by the scoring panel. note that we will not accept Information—Non-Construction C. DUNS Number and SAM applications through mail or courier Programs.’’ delivery, in-person delivery, email, or (c) Standard Form 424B, To be eligible (unless you are fax. ‘‘Assurances—Non-Construction excepted under 2 CFR 25.110(b), (c) or You can locate the Grants.gov Programs.’’ (d)), you are required to do the downloadable application package for (d) Risk Review: RD may request following: this program by using a keyword, the additional documentation from selected (1) Provide a valid DUNS number in program name, or the Catalog of Federal applicants in order to evaluate the your application. The DUNS number Domestic Assistance Number for this financial, management, and can be obtained at no cost via a toll-free program. performance risk posed by awardees as request line at (866) 705–5711; When you enter the Grants.gov required by 2 CFR 200.205. Based on (2) Register in SAM before submitting website, you will find information about this risk review, RD may apply special your application. You may register in applying electronically through the site conditions that correspond to the degree SAM at no cost at https://www.sam.gov/ as well as the hours of operation. of risk assessed. portal/public/SAM/. You must provide To use Grants.gov, you must already (e) Civil Rights Compliance your SAM CAGE Code and expiration have a Data Universal Number System Requirements: All awards made under date. When registering in SAM, you (DUNS) number and you must also be this notice are subject to Title VI of the must indicate you are applying for a registered and maintain registration in Civil Rights Act of 1964 as required by federal financial assistance project or the System for Award Management 7 CFR part 15, subpart A, Section 504 program or are currently the recipient of (SAM). We strongly recommend that of the Rehabilitation Act of 1973, the funding under any federal financial you do not wait until the application Americans with Disabilities Act (ADA) assistance project or program; and deadline date to begin the application of 1990, and the Age Discrimination Act (3) Maintain active and current SAM process through Grants.gov. of 1975. registration. The SAM registration must RD is not responsible for any (f) Execute Form RD 400–1 ‘‘Equal remain active with current information technical malfunction or website Opportunity Agreement.’’ at all times while the Agency is problems related to Grants.gov. If issues (g) National Environmental Policy considering an application or while a are encountered with Grants.gov, please Act: This notice has been reviewed in federal grant/cooperative agreement contact the Grants.gov help desk at (800) accordance with 7 CFR part 1970, award or loan is active. To maintain the 518–4726 or [email protected]. The ‘‘Environmental Policies and registration in the SAM database, the applicant assumes the risk of any delays Procedures.’’ We have determined that applicant must review and update the in application submission through an Environmental Impact Statement is information in the SAM database Grants.gov. not required because the issuance of annually from date of initial registration Submitting an application through regulations and instructions, as well as or from the date of the last update. The Grants.gov requires completing a variety amendments to them, describing applicant must ensure that the of tasks and steps. There are also several administrative and financial procedures information in the database is current, preliminary registration steps before the for processing, approving, and accurate, and complete. Applicants applicant can submit the application. It implementing the Agency’s financial must ensure they complete the is recommended that the instructions programs is categorically excluded in Financial Assistance General for registering be reviewed as soon as the National Environmental Policy Act Certifications and Representations in possible but at least two weeks before (NEPA) regulation found at 7 CFR SAM. the planned application submission 1970.53(f). It has been determined that If you have not fully complied with date. this Funding opportunity does not all applicable DUNS and SAM You must submit all application constitute a major Federal action requirements, the Agency may documents electronically through significantly affecting the quality of the determine that the applicant is not Grants.gov. Applications must include human environment. qualified to receive a federal award, and electronic signatures. Original (2) All applications shall be the Agency may use that determination signatures may be required if funds are accompanied by the following as a basis for making an award to awarded. supporting documentation in concise another applicant. In accordance with After applying electronically through written narrative form: OMB Memoranda M–20–26, the Agency Grants.gov, you will receive an Content and Format—Each page must can accept an application without an automatic acknowledgement from be on numbered, letter-sized (81⁄2 x 11) active SAM registration. However, the Grants.gov that contains a Grants.gov paper utilizing a white background that registration must be completed before tracking number. has 1″ margins, and the text of the an award is made. For current application must be typed, single registrants in SAM, to help reduce B. Content and Form of Application spaced, black, and in a font no smaller burden, there will be a 180-day Submission than 12 point. extension for SAM.gov registrations that For an application to be considered Written Proposal—The written have expiration dates ranging between complete, the applicant must complete proposal should be assembled into one April 1, 2021, and September 30, 2021. and submit the forms contained in this or more .pdf file(s) and should conform This effort is intended as relief for those section in addition to the written to the order in which the Evaluation otherwise required to re-register during narrative proposal information in Part Criteria are presented in Part VI Section that time frame. Each entity registration VI. B. The completed .pdf file(s) should be will have 180 days added to its
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expiration date. As an example, an (published October 30, 1997 at 62 FR multi-jurisdictional rural area. Funding entity that is set to expire on April 1, 58782). Sex data will be collected in will be prioritized to ensure geographic 2021 will be automatically granted an accordance with Title IX of the diversity, so there will be at least one extension to September 28, 2021. Education Amendments of 1972. These proposal awarded per Region, as items should not be submitted with the defined in Part III. Applicants must D. Submission Dates and Times application but should be available identify which Region or Regions are In order to be considered for funds upon request by RUS; and included in their proposal. If applicants under this notice, applications must be (b) The applicant and the ultimate propose to serve more than one Region, deemed complete and must be received recipient must comply with Title VI of they must also identify a primary by Grants.gov by the deadline specified the Civil Rights Act of 1964, Title IX of Region. in the DATES section of this notice. the Education Amendments of 1972, the Applicants for RPIC should be prepared to develop, be in the process E. Intergovernmental Review Americans with Disabilities Act (ADA), Section 504 of the Rehabilitation Act of of developing, or have developed a Executive Order (E.O.) 12372, 1973, the Age Discrimination Act of placemaking plan in partnership with Intergovernmental Review of Federal 1975, Executive Order 12250, and 7 CFR public, private, or philanthropic Programs, applies to this program. This part 1901, subpart E; partners with the focus on local or E.O. requires that federal agencies (c) 2 CFR parts 200 and 400 (Uniform regional revitalization towards provide opportunities for consultation Administrative Requirements, Cost economic vitality and quality of life on proposed assistance with state and Principles and Audit Requirements for impacts. The plans should identify local governments. Many states have Federal Awards), or any successor potential projects that can be funded established a Single Point of Contact regulations; through RD programs and other federal, (SPOC) to facilitate this consultation. (d) Executive Order 13166, state, local or private sector resources. For a list of states that maintain a SPOC, ‘‘Improving Access to Services for Placemaking plans developed through please see the White House website: Persons with Limited English this funding opportunity should focus https://www.whitehouse.gov/wp- Proficiency.’’ For information on limited on one or more of the Quality of Life content/uploads/2020/04/SPOC-4-13- English proficiency and agency-specific indicators as defined in Part III. 20.pdf. guidance, go to https://www.lep.gov/; Applicants are expected to submit If your state has a SPOC, you may and placemaking proposals under this notice submit a copy of the application directly (e) Federal Obligation Certification on that include multi-sectoral or multi- for review. Any comments obtained Delinquent Debt. jurisdictional planning partnerships through the SPOC must be provided to within at least one Region (as defined in your State Office for consideration as VI. Application Review Information Part III) that will provide measurable part of your application. If your state A. General results in helping rural communities has not established a SPOC, or if you do create greater social and cultural vitality not want to submit a copy of the The projects should address how in rural communities. RPIC projects application, our State Offices will existing assets can be leveraged in should also support rural communities’ submit your application to the SPOC or support of a placemaking vision and ability to qualify for priority funding other appropriate agency or agencies. how the projects will be evaluated (e.g., under Section 379H of the Consolidated Indian tribes are exempt from this how projects are evaluated for funding Farm and Rural Development Act, requirement. strategies and sources, construction of ‘‘Strategic economic and community new assets to be identified in the development,’’ [7 U.S.C. 2008]. F. Compliance With Other Federal planning process). Awardees will be For the purpose of RPIC, rural Statutes and Other Submission Cooperators and are required to placemaking is: (1) Rooted in Requirements participate substantially in the project emphasizing partnerships and (1) Other Federal Statutes. The alongside RD staff to bring expertise in collaboration among multiple public, applicant must certify to compliance placemaking technical assistance, to private, philanthropic and community with other Federal Statutes and bring partnerships that will enable a partners; (2) focused on combining regulations by completing the Financial rural community, area or region to federal, tribal, state, and local resources Assistance General Certification and ultimately implement a placemaking to make wide-ranging quality-of-life Representations in SAM, including, but strategy, and to improve the quality of impacts as opposed to separate, not limited to the following: life for its citizens. piecemeal, incremental improvements; (a) 7 CFR part 15, subpart A— Applicants are expected to provide and (3) based on placemaking processes Nondiscrimination in Federally proposals under this notice that include to create quality places where people Assisted Programs of the Department of cooperation through substantial and want to live, work, and play. Ultimately, Agriculture—Effectuation of Title VI of measurable involvement by both the the goal is to create greater social and the Civil Rights Act of 1964. Civil Rights Cooperator and USDA Rural cultural vitality in rural communities. compliance includes, but is not limited Development staff. Proposals will The key elements of quality places to the following: support multi-sectoral or multi- include, but are not limited to, a mix of (i) Collect and maintain data provided jurisdictional projects in rural uses; effective public spaces; broadband by ultimate recipients on race, sex, and communities and demonstrate how capability; transportation options; national origin and ensure that ultimate placemaking technical assistance will be multiple housing options; disposition recipients collect and maintain this provided to develop implementation and rehabilitation of vacant structures; data; plans that can be aligned with the preservation of historic properties; and (ii) Race and ethnicity data will be mission of USDA Rural Development to respect of community heritage, arts, collected in accordance with Office of improve quality of life and economic culture, creativity, recreation, and green Management and Budget (OMB) Federal growth. The proposal must provide a space. Register Notice, ‘‘Revisions of the detailed description of (i) the area to be Applications will first be reviewed to Standards for the Classification of served and (ii) how such area fits the determine if they meet the eligibility Federal Data on Race and Ethnicity’’ definition of a region, multi-sectoral, or requirements and compliance with the
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funding restrictions in this notice. If we (including the role of participating project costs including personnel and determine that your application is partners); how impact will be any limited consultant salaries with ineligible, we will discontinue quantified; and the predicted benefits or description of duties. The budget processing it, which means that we will deliverables of the project(s). Briefly justification should include both the not evaluate it further nor provide any describe applicant’s past experience in Federal funds requested and the scoring information. If your application federal grant administration, economic applicant’s matching funds. The format is determined to be eligible, we will development, and specific placemaking of the budget’s narrative can be in a further evaluate it based on the scoring technical assistance. chart, spreadsheet, table, etc., but it criteria listed in Part VI, Section B. All (b) Work Plan—Soundness of should be readable on letter-size, applications will be competitively Approach (0–30 points). The applicant printable pages. The information needs scored and ranked. The minimum score can receive up to 30 points for to be presented in such a way that the requirement for a cooperative agreement soundness of placemaking approach in reviewers can readily understand what award under this funding opportunity is their work plan. The maximum 30 expenses are incurred to support the 60 points. points for this criterion will be based on project. Statement(s) of work for any Additionally, the applications will be the following: subcontractors and consultants must be reviewed for completeness. For an (i) Work Plan Approach—project included as part of the application. application to be considered complete, objectives/background/tasks with (Note: Consultants and subcontracts the applicant must complete and submit timeline and timeframes (0–10 Points) must only be used on a very limited the written narrative proposal • Project Objective(s): Description of basis. The majority of the primary work information and the forms contained in objective(s)—clearly defined. under the cooperative agreement MUST Parts V and VI in this NOFA. If we • Project Background: Description of be performed by the applicant). determine that your application is not the types and general locations of rural (c) Organizational Capacity & complete, we will discontinue communities to be served through this Qualifications (0–20 points). The processing it, which means that we will project—Geographic Location or Project applicant can receive up to 20 points not evaluate it further nor provide any Areas (include Region description). based on organizational capacity and scoring information. • Describe project area(s) as multi- qualifications. The maximum 20 points B. Scoring Process sectoral or multi-jurisdictional. for this criterion will be based on the Applicant must include their ability to following: (1) Number of Awards: The Agency support rural planning activities on a (i) The applicant should specify years anticipates that it may select one, multi-sectoral or multi-jurisdictional of experience in placemaking activities, multiple, or no award recipients from basis and how they will effectively serve types of communities previously served, this funding opportunity. The Agency these communities based on key and experience in performance reserves the right to withhold the personnel, established timeframes, and evaluation. (0–10 points) awarding of any funds if no application budget. (ii) The applicant’s proposal should receives a minimum score of at least 60 • Project Key Tasks with Timeline demonstrate that the applicant has points. and Timeframes: (2) Evaluation Criteria: (refer to identified appropriate key personnel, Summary Table of Evaluation Criteria). —Applicants are required to include both in terms of number of personnel Proposed projects will be evaluated Work Plan Chart(s) that lists major and qualifications of personnel and based only on information provided in task(s) by key personnel involved, should provide specific detail of the application. Points will be given time period of the task(s), substantial qualifications of key personnel relating only for factors that are well involvement of RD staff, expected to placemaking. Capacity of personnel documented in the application package deliverables, and budget associated to access data for needs assessments and and, in the opinion of RD, meet the with tasks. access to planners and other technical objectives outlined in each of the —Applicants may provide timelines to experts will be evaluated. (0–10 points) evaluation criteria. References to demonstrate how the technical (d) Partnerships (0–20 points). The websites or publications will not be assistance will be delivered to rural applicant can receive up to 20 points for reviewed. Full documentation and communities and describe any quantity and quality of the applicant’s support of application criteria is supporting innovative and/or existing public, private, and encouraged. traditional placemaking approaches philanthropic partnerships and (3) The entire written narrative associated to tasks. proposed new partnerships for this proposal includes the following sections (ii) Implementation of Workplan— effort. The applicant should in this order: Planning through the Implementation demonstrate their ability to leverage (a) Executive Summary—Provide the Phase (0–10 points) new partners that have had limited applicant entity name, duration of • Project Implementation: engagement with RD projects or project (in months), amount of Federal Applicant should include details on priorities to leverage resources, enhance funding requested, amount of non- how the technical assistance will be technical assistance, and/or increase Federal cost-share/match funding provided for the placemaking planning reach to target areas. The maximum 20 committed, and project title. Identify process and how it will coach/mentor points for this criterion will be based on geographic locations (including the the community to bring the plan to full the following: primary region in which the applicant implementation. (i) The applicant should provide a list determines where the most significant (iii) Alignment of Budget/Budget of potential partners, existing or new, work takes place) and describe, in non- Justification to Workplan (0–10 points) who might commit to the project as well technical language, the placemaking • Detailed Budget Justification should as a description of the sectors they approach to be used including the align with the tasks detailed in the represent (i.e., public, private, objectives and strategies to be utilized; workplan. Discuss how the budget philanthropic). (0–10 points) the public, private, and philanthropic specifically supports the proposed (ii) The applicant should describe partnerships developed or to be activities discussed in the Project Key how they will engage with new and developed; the approach to be employed Tasks (as described above). Justify existing partners to support the project
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as well as how they can leverage partner • What community data does the from public, private, or philanthropic resources. (0–10 points) applicant plan to use to provide support; however, the applicant may (e) Targeted Impacts (0–20 points). foundational context to its placemaking have contributions from partnerships in The applicant can receive up to 20 efforts? excess of the minimum 50 percent points for focusing on either or both of • What measurable outcomes related match requirement. the following Targeted Impacts: to broadband and e-connectivity does OR (i) Economically Distressed the applicant plan to track. How will the (ii) Option 2—0 to 10 points Communities. The applicant should applicant know if its efforts are making Innovation Seed Grant: describe how the proposal will address progress toward addressing broadband • Applicants may receive up to 10 specific socioeconomic indicator(s) and and e-connectivity in its community points in scoring if their proposal and the strategies to be utilized. The and achieving desired outcomes? budget provide for a system of funding (f) Performance Measures (0–10 Distressed Communities Index (DCI) is an Innovation Seed Grant that funds a points). The applicant can receive up to considered a good tool for identifying new and innovative project that is 10 points based on the proposed economically distressed communities. highlighted in the placemaking plan and performance measures to evaluate the (https://ruraldevelopment. focuses on one of the Targeted Impacts progress and impact of the proposed maps.arcgis.com/apps/webappviewer/ listed in Part VI, Section B (e)(Targeted project. index.html?id=06a26a91d074426 Impacts). The system should describe d944d22715a90311e) The criterion will be based on the applicant’s proposal and should include how the seed grant promotes and (A) Describe how the applicant plans a description for how the results of the connects to the Targeted Impacts. These to address Economically Distressed technical assistance will be measured, seed grants are considered small Communities in its placemaking including the quality of life indicators financial awards for the purpose of strategies/activities. What specific (set forth in Part III) and the benchmarks getting a specific project implemented. actions will be taken, and how do these to be used for measuring effectiveness. The applicant can set aside, from the proposed actions impact Economically Indicators to be used should be specific applicant’s award, funds for an Distressed Communities? and be quantifiable. (0–10 points) Innovation Seed Grant. The maximum (B) What community data does the (g) Optional Innovation Seed Grant RPIC funds that can be set-aside for this applicant plan to use to provide (0–5 or 0–10 points) To foster public, purpose is 10 percent. • foundational context to its placemaking private, and philanthropic engagement, Individual Seed Grants may be no efforts? not only through RPIC but for the more than $5,000 from RPIC funds, to (C) What measurable outcomes related community itself, the Innovation Seed an ultimate recipient in a community or to Economically Distressed Grant must be matched by no less than for an entity applying for the grant. The Communities does the applicant plan to 50% match with additional external Seed Grant must have matching funds of track? How will the applicant know if funding to support the community’s at least 50 percent from public, private, its efforts are making progress toward project. The external funds can be from or philanthropic support; however, the addressing Economically Distressed public, private, philanthropic, or other applicant may have contributions from Communities and achieving desired federal, state, and local partners. There partnerships in excess of the minimum outcomes? are two ways to be scored based on how 50 percent match requirement. (ii) Broadband Planning for an applicant plans to implement the (iii) Scoring the Innovation Seed Infrastructure, Deployment, and/or Grant: Innovation Seed Grant: The applicant • Access. could receive either up to 0–5 points, or The applicant should provide a (A) The applicant should propose up to 10 points. Note that Cooperators brief narrative of how the Innovation how the project will create planning or that implement seed grants as a part of Seed Grant will be developed, other broadband infrastructure and/or e- administered, and implemented. their proposal will be subject to the • connectivity opportunities within relevant subaward/subrecipient It is expected that the Cooperators, targeted areas. Describe how the components from 2 CFR part 200. in collaboration with the communities applicant’s proposal will help (i) Option 1—0 to 5 points Innovation they are serving, will develop communities plan for broadband Seed Grant: criterion for evaluating the Innovation infrastructure around the USDA–RD • Applicants may receive up to 5 Seed Grant for approval by a Seed Grant ReConnect Program (provided that points in scoring if their proposal and Committee. For evaluation of these community is eligible for that program); budget provide for a system of funding criterion, applicants may provide or an Innovation Seed Grant. The seed sample criterion on how Seed Grants (B) If the community(ies) the grants are to be utilized to fund a new could be evaluated for: applicant is supporting already has a and innovative project that is —Innovation, ReConnect funded project, describe how highlighted in the placemaking plan. —Whether the project has been the applicant’s proposal will provide These seed grants are considered small highlighted in the Placemaking Plan, follow-up and support for future financial awards for the purpose of and broadband development or deployment; getting a specific project implemented —The probability of success and or in the plan. The applicant can set aside, sustainability with identified (C) If the community(ies) the from the applicant’s award, funds for an outcomes to be achieved. applicant is supporting is not a Innovation Seed Grant. The maximum • The applicant MUST provide participant in the ReConnect Program, RPIC funds that can be set-aside for this documentation of third-party matching describe how the applicant will work purpose is 10 percent. funds contribution. These matching with stakeholders to address barriers to • Individual Innovation Seed Grants funds are separate from the verified broadband development and may be no more than $5,000 from RPIC matched funds required for the RPIC deployment, or broadband access or e- funds, to an ultimate recipient in a application. The Matching Funds Letter connectivity. community or for an entity applying for for the seed grants MUST specifically When addressing this section, after the grant. The seed grant must have state that the funds are being allocated answering (A), (B) or (C) also address: matching funds of at least 50 percent to the Innovation Seed Grant. The letter
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may be conditioned to the applicant never previously been awarded an RPIC Matching Funds Verification) for more receiving the award. (Failing to provide cooperative agreement. The Agency may information. If participating in the verification of match disqualifies the also choose to award up to 10 points to Optional Innovation Seed Grant, the applicant from this optional scoring an application that addresses any of the applicant must submit separate criteria). following factors: geographic, Matching Funds Commitment Letters (h) Agency Discretionary Points (0–10 demographic, economic diversity of that specifically annotate that funds are points): The Agency may, in individual awardees. allocated to the Innovation Seed Grant. cases, make an exception to any (i) Verification of Matching Funds. The funds are a cash commitment to the requirement or provision of this notice, The applicant must include Matching seed grant. which is determined to be in the Commitment Letters signed by the (j) Letters of Support (e.g., additional Government’s interest. The applicant donating organization’s authorized resource commitment from partners); does not need to provide additional representative on the organization’s information under this category. letterhead that identifies the amount of (k) Appendix—Graphics, References, Information in the applicant’s proposal matching funds or in-kind services, the Citations, Negotiated Indirect Cost Rate will be used to score this category, if time period during which matching Agreement (NICRA) if applicable, etc. applicable. funds will be available, and the source (Note: material added in this section The Agency may choose to award of the funds (e.g., cash on hand). See may not be evaluated as part of the points to eligible applicants who have Part IV, Section C (Cost Sharing and competitive scoring process).
SUMMARY TABLE OF EVALUATION CRITERIA
Criteria Points
1. Work Plan/Soundness of Approach ...... 0–30 points. a. Work Plan Approach-project objectives/background/tasks with timeline and timeframes ...... Up to 10 points. b. Implementation of workplan ...... Up to 10 points. c. Alignment of budget/budget justification ...... Up to 10 points. 2. Organizational Capacity/Qualifications ...... 0–20 points a. Years of experience and processes employed in placemaking activities ...... Up to 10 points. b. Key personnel/number and qualifications relating to placemaking—access to data for needs assessments ...... Up to 10 points. 3. Partnerships ...... 0–20 points. a. Extent of existing partnerships (# of partners/public, private, philanthropic partners) ...... 0–10. b. Value that partnerships will bring to placemaking project, including existing partners and leveraging new partners 0–10. for the proposed project. 4. Targeted Impacts ...... 0–20 points. • Economically Distressed Communities. • Broadband Planning for Infrastructure/Deployment/Access. 5. Performance Measures ...... 0–10 points. Measures used for evaluating quality of life indicators and benchmarks used for measuring effectiveness ...... Up to 10 points. Optional Innovation Seed Grant ...... 0–10 points. Option 1—Innovation Seed Grant—offering seed grants for new and innovative projects highlighted in the Up to 5 points or Placemaking Plan; or. Option 2—Innovation Seed Grant—offering seed grants for new and innovative projects highlighted in the Up to 10 points. Placemaking Plan that specifically address one or more of the Targeted Impact priorities. Agency Discretionary Points (Note: Applicant does not need to provide additional information for this category)...... 0–10 points.
C. Review and Selection Process be selected starting with the highest complete a Cooperative/Grant scoring application, until all available agreement suitable to Rural Business (1) Incomplete or ineligible funds are exhausted. Cooperative Service, which outlines the applications. Applications that are (c) Applications, at or near the terms and conditions of the Cooperative incomplete or ineligible will not be funding line, may be funded in part, if Agreement award. Pursuant to the considered for funding (Reference Part RD believes an appropriate benefit can agreement, funds may be released over V and Part VI). result from partial funding and if the the course of the Cooperative Agreement (2) The Reviewers. All eligible applicant agrees to the amount of partial period in the form of a reimbursement applications will be evaluated by an funding. In the event RD considers for the performance of eligible, Application Review Panel using the partial funding to be appropriate, the approved activities. The agreement may criteria described in Part VI of this applicant will be contacted to negotiate also include reporting requirements notice. Panel members will be the final work plan and budget prior to which, if not met, may result in a delay appointed by RD and will be qualified award approval. in reimbursement, disallowance of to evaluate the applications based on (4) Appeal Request. The applicant expenses, or a suspension of the the type of work proposed by the will be notified in writing regarding the Agreement. applicant. reason(s) for any adverse decisions and (6) Reimbursement. (3) Selection of Qualifying will be provided a description of the Applications. Applications will be options for review. Note that if the (a) SF–270, ‘‘Request for Advance or selected in the following order: determination is reversed, either due to Reimbursement,’’ will be completed by (a) First, the highest scoring the discovery of an Agency error or the cooperator and submitted to RD application in each of the four Regions through a formal appeal, funding is along with supporting documentation. will be selected. restricted to available FY 2021 funds. (b) Upon receipt of a properly (b) Second, the remaining (5) Cooperative Agreement. completed SF–270, payment will applications, regardless of Region, will Applicants selected for funding will ordinarily be made within 30 days.
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(c) Any change in the scope of the (2) The applicant must provide C. Reporting project, budget adjustments of more evidence of compliance with other Grantees shall constantly monitor than 10 percent of the total budget, or federal statutes, including, but not performance to ensure that time any other significant change in the limited to, the following: schedules are being met, projected work project must be reported to and (a) Debarment and suspension by time periods are being accomplished, approved by the approving official. Any information as required in accordance and other performance objectives are change not approved may be cause for with 2 CFR part 417 (Nonprocurement being achieved. termination of the Cooperative Debarment and Suspension) (1) SF–PPR ‘‘Performance Progress Agreement. supplemented by 2 CFR part 180, if Report,’’ must be submitted quarterly VII. Federal Award Administration applies. The information required under based on the following time periods: Information section heading: ‘‘What information January 1–March 31, April 1–June 30, must I provide before entering into a July 1–September 30, and October 1– A. Federal Award Notices covered transaction with a Federal December 31. Quarterly reports are due (1) Successful applicants will be agency?’’ located at 2 CFR 180.335 is within 30 calendar days of the end of notified in writing by the Agency with part of OMB’s Guidance for Grants and the reporting period. A final report is a Letter of Conditions (LOC). The LOC Agreements concerning Government- due within 90 calendar days of the is a notice of selection and does not wide Debarment and Suspension. completion of the project or the end of indicate that an award has been (b) All of your organization’s known the period of performance, whichever approved, nor is it an authorization to workplaces by including the actual comes first. Both quarterly and final begin performance on the award. While address of buildings (or parts of performance reports must be submitted there may be special conditions that buildings) or other sites where work electronically to RD. apply on a case-by-case basis, the under the award takes place. Workplace (2) Financial Report: Form SF–425, conditions as stated in Part VII, Section identification is required under the ‘‘Federal Financial Report’’ must be B (Administrative and National Policy drug-free workplace requirements in submitted quarterly based on the Requirements) are standard for all Subpart B of 2 CFR part 421, which following time periods: January 1– successful applicants. adopts the Governmentwide March 31, April 1–June 30, July 1– (2) Once the conditions described in implementation (2 CFR part 182) of the September 30, October 1–December 31. the LOC have been met, the award will Drug-Free Workplace Act. Quarterly reports are due within 30 be approved through the execution of (c) 2 CFR parts 200 and 400 (Uniform calendar days of the end of the reporting Form RD 4280–2 in conjunction with Administrative Requirements, Cost period. A final report is due within 90 the Rural Development Cooperative Principles and Audit Requirements for calendar days of the completion of the Agreement (RDCA) Program Federal Awards). project or the end of the period of Attachment. If an applicant is unable to (d) 2 CFR part 182 (Governmentwide performance, whichever comes first. meet the conditions of the award within Requirements for Drug-Free Workplace Both quarterly and final reports must be 90 calendar days, the award will be (Financial Assistance)) and 2 CFR part submitted electronically to RD. withdrawn. 421 (Requirements for Drug Free (3) Report Suitable for Public Distribution: A report suitable for public B. Administrative and National Policy Workplace (Financial Assistance)). distribution that describes the Requirements (e) Executive Order 13166, accomplishments of the project is due ‘‘Improving Access to Services for (1) The following requirements apply within 90 calendar days of the Persons with Limited English to grantees selected for this program: completion of the project. There is no Proficiency.’’ For information on limited (a) Complete Form RD 1942–46 format prescribed for this report, but it English proficiency and agency-specific ‘‘Letter of Intent to Meet Conditions.’’ is expected that it will be 1–2 pages in guidance, go to https://www.lep.gov. (b) Complete Form RD 1940–1, length and describe the project in such ‘‘Request for Obligations of Funds.’’ (3) The following forms for a way that a member of the public not (c) Complete FMMI Vendor Code acceptance of a federal award are now familiar with the project would gain an Request Form. collected through your registration or understanding of the impact of the (d) Provide a copy of your annual recertification in SAM.gov in the project. organization’s Negotiated Indirect Cost Financial Assistance General Rate Agreement. Certifications and Representations VIII. Federal Awarding Agency (e) Certify that all work completed for section: Contacts the award will benefit a rural area. • Form RD 400–4, ‘‘Assurance For further information, contact: (f) Certify that you will comply with Agreement.’’ Angela Callie at (202) 568–9738 or the Federal Funding Accountability and • Form AD–1047, ‘‘Certification Gregory Dale (202) 568–9558, email: Transparency Act of 2006 and report Regarding Debarment, Suspension, and [email protected]. Persons with information about subawards and Other Responsibility Matters-Primary disabilities who require alternative executive compensation. Covered Transactions.’’ means for communication should (g) Certify that the U.S. has not • contact the USDA Target Center at (202) obtained an outstanding judgement Form AD–1048, ‘‘Certification 720–2600 (voice). against your organization in a Federal Regarding Debarment, Suspension, Court (other than in the United States Ineligibility and Voluntary Exclusion. IX. Other Information Tax Court). Lower Tier Covered Transactions.’’ (h) Execute Form SF–424B, • Form AD–1049, ‘‘Certification A. Paperwork Reduction Act ‘‘Assurance—Non-Construction Regarding Drug-Free Workplace In accordance with the Paperwork Programs.’’ Requirements (Grants).’’ Reduction Act of 1995 (44 U.S.C. (i) Execute Form SF–LLL, ‘‘Disclosure • Form AD–3031, ‘‘Assurance chapter 35), USDA requested that the Form to Report Lobbying,’’ if applicable, Regarding Felony Conviction or Tax Office of Management and Budget or certify that your organization does Delinquent Status for Corporate (OMB) conduct an emergency review of not lobby. Applicants.’’ a new information collection that
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contains the Information Collection and are to respond, including responding Independence Ave. SW, Stop 1522, Recordkeeping requirements contained through the use of appropriate Washington, DC 20250. Phone: 202– in this notice by May 20, 2021. An automated, electronical, mechanical, 720–7853. emergency clearance approval for this other technological collection All responses to this information information collection is due to the techniques, or other forms of collection and recordkeeping notice will following conditions: (1) The time information technology. be summarized and included in the sensitive competitive solicitation Title: Rural Development Co- application window commencing on operative Agreements. request for OMB approval. All May 27, 2021; (2) the urgency to obligate OMB Control Number: 0570–0074. comments will also become a matter of FY 2021 funds prior to September 30, Abstract: Pursuant to the Federal public record. 2021; and (3) being able to effectively Agricultural Improvement Act of 1996 B. Nondiscrimination Statement implement the program as quickly as (Pub. L. 104–127), the U.S. Department possible to benefit rural communities. of Agriculture (USDA) received In accordance with Federal civil In addition to the emergency authorization from Congress under 7 rights law and U.S. Department of clearance, the regular clearance process U.S.C. 2204b(b)(4) to enter into Agriculture (USDA) civil rights is hereby being initiated to provide the cooperative agreements for the purpose regulations and policies, the USDA, its public with the opportunity to comment of improving the coordination and agencies, offices, employees, and under a full comment period, as the effectiveness of programs that benefit institutions participating in or Agency intends to request regular rural areas. This authority is referred to administering USDA Programs are approval from OMB for this information as the Rural Development Cooperative prohibited from discriminating based on collection. Comments from the public Agreement (RDCA) program. There are race, color, national origin, religion, sex, on new, proposed, revised, and three agencies within USDA that gender identity (including gender continuing collections of information administer programs that specifically expression), sexual orientation, help us assess the impact of our target rural areas: The Rural Business- information collection requirements and Cooperative Service (RB–CS), the Rural disability, age, marital status, family/ minimize the public’s reporting burden. Housing Service (RHS), and the Rural parental status, income derived from a Comments may be submitted regarding Utilities Service (RUS). public assistance program, political this information collection by the Each year, USDA receives proposals beliefs, or reprisal or retaliation for prior following method: from the public that are not in response civil rights activity, in any program or • Federal eRulemaking Portal: Go to to a specific program announcement. activity conducted or funded by USDA https://www.regulations.gov, and in the These proposals are called unsolicited (not all bases apply to all programs). lower ‘‘Search Regulations and Federal proposals. If a proposal is related to one Remedies and complaint filing Actions’’ box, select ‘‘RBS’’ from the or more programs, it will be routed to deadlines vary by program or incident. agency drop-down menu, then click the appropriated RD agency for review Persons with disabilities who require ‘‘Submit.’’ In the Docket ID column, and possible consideration for a alternative means of communication for select Docket No. RBS–21–CO–OP–0011 cooperative agreement using the RDCA program information (e.g., Braille, large to submit or view public comments and authority. If the proposal is unique or print, audiotape, American Sign to view supporting and related materials innovative, then RD has authority to Language) should contact the available electronically. Information on enter into a cooperative agreement responsible Agency or USDA’s TARGET using Regulations.gov, including without competition (see 2 CFR Center at (202) 720–2600 (voice and instructions for accessing documents, 415.1(d)(6)). Alternatively, USDA may submitting comments, and viewing the issue an invitation to submit TTY) or contact USDA through the docket after the close of the comment applications for a cooperative agreement Federal Relay Service at (800) 877–8339. period, is available through the site’s using the RDCA authority. These Additionally, program information may ‘‘User Tips’’ link. Comments on this proposals are called solicited proposals. be made available in languages other information collection must be received Solicited proposals would typically be than English. by July 26, 2021. announced via a Federal Register To file a program discrimination Copies of all forms, regulations, and Notice. complaint, complete the USDA Program instructions referenced in this NOFA Estimate of Burden: Public reporting Discrimination Complaint Form, AD– may be obtained from RB–CS. Data burden for this collection of information 3027, found online at https:// furnished by the applicants will be used is estimated to average 1.65 hours per to determine eligibility for program www.usda.gov/oascr/how-to-file-a- response. program-discrimination-complaint and benefits. Furnishing data is voluntary; Respondents: Regional consortia of at any USDA office, or write a letter however, failure to provide data could higher education, academic health and addressed to USDA and provide in the result in program benefits being research institutes, or economic letter all of the information requested in withheld or denied. development entities. Comments are invited on (a) whether Estimated Number of Respondents: the form. To request a copy of the the collection of information is 100. complaint form, call (866) 632–9992. necessary for the proper performance of Estimated Number of Responses per Submit your completed form or letter to the functions of the agency, including Respondent: 10. USDA by: whether the information will have Estimated Total Annual Burden and Mail: U.S. Department of Agriculture, practical utility; (b) the accuracy of the Record Keeping Hours on Respondents: Office of the Assistant Secretary for agency’s estimate of burden including 1,650 hours. Civil Rights, 1400 Independence the validity of the methodology and Copies of this information collection Avenue SW, Washington, DC 20250– assumptions used; (c) ways to enhance can be obtained from MaryPat Daskal, 9410; or the quality, utility and clarity of the Chief, Branch 1, Regulations information to be collected; and (d) Management Division, Rural Email: [email protected]. ways to minimize the burden of the Development Innovation Center, U.S. collection of information on those who Department of Agriculture, 1400
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USDA is an equal opportunity include introductions, determining the reporting burden. The purpose of this provider, employer, and lender. correct respondent, and verifying the notice is to allow for 60 days of public address. These questions are referred to comment on the proposed extension of Justin Maxson, as the ‘‘Front’’ questions. Also involved the standardized Research Performance Deputy Under Secretary, USDA Rural in maintaining contact with the Progress Report (RPPR), prior to the Development. household are the ‘‘Back’’ questions. submission of the information collection [FR Doc. 2021–10963 Filed 5–26–21; 8:45 am] These questions collect telephone request (ICR) to OMB for approval. BILLING CODE 3410–XY–P numbers, best time to contact, and thank DATES: To ensure consideration, the respondent for their cooperation. comments regarding this proposed These questions are needed to do the information collection must be received DEPARTMENT OF COMMERCE interview and maintain contact with the on or before July 26, 2021. household throughout the survey. Census Bureau ADDRESSES: Interested persons are Affected Public: Individuals or invited to submit written comments by Agency Information Collection households. email to [email protected]. Please Activities; Submission to the Office of Frequency: Monthly. reference the Research Performance Respondent’s Obligation: Voluntary. Management and Budget (OMB) for Progress Report (RPPR) or the OMB Legal Authority: Title 13 U.S.C. Review and Approval; Comment Control Number 0690–0032 in the Sections 8(b), 141, and 182. subject line of your comments. All Request; Current Population Survey, This information collection request Basic Demographics comments received are part of the may be viewed at www.reginfo.gov. public record. No comments will be The Department of Commerce will Follow the instructions to view the posted to http://www.regulations.gov for submit the following information Department of Commerce collections public viewing until after the comment collection request to the Office of currently under review by OMB. period has closed. Comments will Written comments and Management and Budget (OMB) for generally be posted without change. All recommendations for the proposed review and clearance in accordance Personally Identifiable Information (for information collection should be with the Paperwork Reduction Act of example, name and address) voluntarily submitted within 30 days of the 1995, on or after the date of publication submitted by the commenter may be publication of this notice on the of this notice. We invite the general publicly accessible. Do not submit following website www.reginfo.gov/ public and other Federal agencies to Confidential Business Information or public/do/PRAMain. Find this comment on proposed, and continuing otherwise sensitive or protected particular information collection by information collections, which helps us information. You may submit selecting ‘‘Currently under 30-day assess the impact of our information attachments to electronic comments in Review—Open for Public Comments’’ or collection requirements and minimize Microsoft Word, Excel, or Adobe PDF by using the search function and the public’s reporting burden. Public file formats. comments were previously requested entering either the title of the collection FOR FURTHER INFORMATION CONTACT: via the Federal Register on January 21, or the OMB Control Number 0607–0049. Requests for additional information or 2021, during a 60-day comment period. Sheleen Dumas, specific questions related to collection This notice allows for an additional 30 Department PRA Clearance Officer, Office of activities should be directed to Sheleen days for public comments. the Chief Information Officer, Commerce Dumas, Department PRA Clearance Agency: U.S. Census Bureau. Department. Title: Current Population Survey, Officer, Office of the Chief Information Basic Demographics. [FR Doc. 2021–11273 Filed 5–26–21; 8:45 am] Officer, U.S. Department of Commerce, OMB Control Number: 0607–0049. BILLING CODE 3510–07–P 202–482–3306, [email protected]. Form Number(s): None. SUPPLEMENTARY INFORMATION: Type of Request: Regular submission, I. Abstract Request for an Extension, without DEPARTMENT OF COMMERCE The Department of Commerce plans Change of a Currently Approved Office of the Secretary Collection. to request a three-year extension of the Research Performance Progress Report Number of Respondents: 708,000. Agency Information Collection (RPPR). This Research Performance Average Hours Per Response: 0.025. Activities; Submission to the Office of Progress Report (RPPR) directly benefits Burden Hours: 17,700. Management and Budget (OMB) for Needs and Uses: The demographic award recipients by making it easier for Review and Approval; Comment information collected in the CPS them to administer Federal grant and Request; the Standardized Research provides a unique set of data on selected cooperative agreement programs Performance Progress Report (RPPR) characteristics for the civilian through standardization of the types of noninstitutional population. We use AGENCY: Office of the Secretary, information required in performance these data in conjunction with other Commerce. reports—thereby reducing their data, particularly the monthly labor ACTION: Notice of information collection, administrative effort and costs. The force data, as well as periodic request for comment. RPPR also makes it easier to compare supplement data. We also use these data the outputs, outcomes, etc. of research independently for internal analytic SUMMARY: The Department of programs across the government. research and for evaluation of other Commerce, in accordance with the The RPPR resulted from an initiative surveys. In addition, we need these data Paperwork Reduction Act (PRA) of of the Research Business Models (RBM) to correctly control estimates of other 1995, invites the general public and Subcommittee of the Committee on characteristics to the proper proportions other Federal agencies to comment on Science (CoS), a committee of the of age, sex, race, and origin. proposed, and continuing information National Science and Technology In addition to the demographic collections, which helps us assess the Council (NSTC). One of the RBM questions are the questions needed to impact of our information collection Subcommittee’s priority areas is to make contact with the household. This requirements and minimize the public’s create greater consistency in the
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administration of Federal research Legal Authority: Title 13 U.S.C. 131 proposed, and continuing information awards. Given the increasing and 182. collections, which helps us assess the complexity of interdisciplinary and impact of our information collection IV. Request for Comments interagency research, it is important for requirements and minimize the public’s Federal agencies to manage awards in a We are soliciting public comments to reporting burden. The purpose of this similar fashion. The RPPR is used by permit the Department/Bureau to: (a) notice is to allow for 60 days of public agencies that support research and Evaluate whether the proposed comment preceding submission of the research-related activities for use in information collection is necessary for collection to OMB. submission of progress reports. It is the proper functions of the Department, DATES: To ensure consideration, intended to replace other performance including whether the information will comments regarding this proposed reporting formats currently in use by have practical utility; (b) Evaluate the information collection must be received agencies. The RPPR does not change the accuracy of our estimate of the time and on or before July 26, 2021. performance reporting requirements cost burden for this proposed collection, ADDRESSES: Interested persons are specified in 2 CFR part 215 (OMB including the validity of the invited to submit written comments to Circular A–110) and the Common Rule methodology and assumptions used; (c) Bernadette Grafton, Program Analyst, implementing OMB Circular A–102. Evaluate ways to enhance the quality, Performance, Research and National Each category in the RPPR is a separate utility, and clarity of the information to Technical Assistance Division, reporting component. Agencies will be collected; and (d) Minimize the Economic Development Administration, direct recipients to report on the one reporting burden on those who are to U.S. Department of Commerce, via mandatory component respond, including the use of automated email at [email protected]. You may (‘‘Accomplishments’’), and may direct collection techniques or other forms of also submit comments to them to report on optional components, information technology. [email protected]. Please as appropriate. Within a particular Comments that you submit in reference OMB Control Number 0610– component, agencies may direct response to this notice are a matter of 0094 in the subject line of your recipients to complete only specific public record. We will include, or comments. Do not submit Confidential questions, as not all questions within a summarize, each comment in our Business Information or otherwise given component may be relevant to all request to OMB to approve this ICR. sensitive or protected information. Before including your address, phone agencies. Agencies may develop an FOR FURTHER INFORMATION CONTACT: number, email address, or other agency- or program-specific component, Requests for additional information or personal identifying information in your if necessary, to meet programmatic specific questions related to collection comment, you should be aware that requirements, although agencies should activities should be directed to your entire comment—including your minimize the degree to which they Bernadette Grafton, Program Analyst, personal identifying information—may supplement the standard components. Performance, Research and National be made publicly available at any time. Such agency- or program specific Technical Assistance Division, While you may ask us in your comment requirements will require review and Economic Development Administration, to withhold your personal identifying clearance by OMB. U.S. Department of Commerce, via information from public review, we phone at (202) 482–2917 or via email at III. Data cannot guarantee that we will be able to [email protected]. OMB Control Number: 0690–0032. do so. Form Number(s): None. SUPPLEMENTARY INFORMATION: Sheleen Dumas, Type of Review: Regular submission, I. Abstract Request for an Extension (without Department PRA Clearance Officer, Office of The Economic Development change of a currently approved the Chief Information Officer, Commerce Department. Administration (EDA) leads the Federal collection). Affected Public: State and Local [FR Doc. 2021–11199 Filed 5–26–21; 8:45 am] economic development agenda by governments. BILLING CODE 3510–17–P promoting innovation and Estimated Number of Respondents: competitiveness, preparing American 19,998. regions for growth and success in the Estimated Time per Response: 8 DEPARTMENT OF COMMERCE worldwide economy. Guided by the minutes for monthly respondents who basic principle that sustainable report via internet, mail or faxing the Economic Development Administration economic development should be form, 23 minutes for annual locally-driven, EDA works directly with Agency Information Collection communities and regions to help them respondents who report via internet, Activities; Submission to the Office of mail or faxing the form and 3 minutes build the capacity for economic Management and Budget (OMB) for development based on local business for monthly and annual respondents Review and Approval; Comment who report by telephone or send conditions and needs. The Public Works Request; Application Materials for EDA and Economic Development Act of 1965 electronic files or printouts. Investment Assistance Estimated Total Annual Burden (PWEDA) (42 U.S.C. 3121 et seq.) is Hours: 17,625. AGENCY: Economic Development EDA’s organic authority and is the Estimated Total Annual Cost to Administration, Department of primary legal authority under which Public: $0. (This is not the cost of Commerce. EDA awards financial assistance. Under respondents’ time, but the indirect costs ACTION: Notice of information collection, PWEDA, EDA provides financial respondents may incur for such things request for comment. assistance to both rural and urban as purchases of specialized software or distressed communities by fostering hardware needed to report, or SUMMARY: The Department of entrepreneurship, innovation, and expenditures for accounting or records Commerce, in accordance with the productivity through investments in maintenance services required Paperwork Reduction Act of 1995 infrastructure development, capacity specifically by the collection.) (PRA), invites the general public and building, and business development in Respondent’s Obligation: Voluntary. other Federal agencies to comment on order to attract private capital
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investments and new and better jobs to Modifying Form ED–900F to only assistance and therefore required to regions experiencing economic distress. collect assurances, removing questions complete the information collection. Further information on EDA programs regarding the proposed operation of a Although the proposed revision and and financial assistance opportunities revolving loan fund (RLF), thus greatly extension of the information collection can be found at www.eda.gov. simplifying the form for applicants; and will reduce the estimated amount of EDA must collect specific information (5) moving form instructions from the time required to complete the from financial assistance applicants to end of each form to accompany various information collection, the substantially evaluate whether proposed projects questions throughout each form to increased number of respondents to this satisfy eligibility and programmatic improve the applicant experience. information collection will result in an requirements contained in PWEDA, EDA does not propose to extend two increase in burden hours for this EDA regulations at 13 CFR chapter III, existing forms under this information information collection. and applicable Notices of Funding collection: Forms ED–900A (Additional II. Method of Collection Opportunity (NOFOs). The purpose of EDA Assurances for Construction Or this notice is to seek comments from the Non-Construction Investments and ED– EDA collects information from public and other Federal agencies 900P (Proposal for EDA Assistance). financial assistance applicants regarding EDA’s proposed revision and Form ED–900A is no longer necessary electronically through Grants.gov, or, in extension of the application materials because the assurances collected in very rare instances, via email or paper under this information collection: Form ED–900A are redundant with submission. Forms ED–900 (General Application other materials, including other forms III. Data (GA) for EDA Programs), ED–900B under this information collection and (Beneficiary Information Form), ED– certifications collected by SAM.gov. OMB Control Number: 0610–0094. 900C (EDA Application Supplement for Form ED–900P is no longer necessary Form Number(s): ED–900, ED–900B, Construction Programs), ED–900D because EDA has removed the ED–900C, ED–900D, ED–900E, ED– (Requirements for Design and requirement for a financial assistance 900F. Engineering Assistance), ED–900E applicant to submit a proposal prior to Type of Review: Revision and (Calculation of Estimated Relocation submitting a full application. By extension of a currently approved and Land Acquisition Expenses), and eliminating Forms ED–900A and ED– information collection. ED–900F (Additional EDA Assurances 900P, EDA will reduce the estimated Affected Public: Entities eligible for for Revolving Loan Fund Investments). time per response to this information EDA financial assistance, including not- EDA proposes to make clarifying edits collection. for-profit entities; Federal, State, local, to the following forms under this EDA estimates that an increase in the and Tribal governments; and businesses information collection: Forms ED–900 number of respondents to this or other for-profit organizations. GA, ED–900B, ED–900C, ED–900D, ED– information collection will outweigh the Estimated Number of Respondents: 900E, and ED–900F. The clarifying edits reduced time per response for this For construction projects, 977 estimated do not change the type or amount of information collection and result in an respondents, and for non-construction information collected, and the clarifying increase in estimated burden hours for projects, 1,663 estimated respondents, edits will not impact the time burden this information collection. The recently for a total of 2,640 estimated for respondents to complete the forms. enacted American Rescue Plan Act of respondents. The clarifying edits include: (1) Re- 2021 (Pub. L. 117–2) appropriated Estimated Time per Response: For ordering many of the questions in Form $3,000,000,000 in supplemental funds construction projects, 43.0 estimated ED–900 GA to improve clarity and to to EDA to ‘‘prevent, prepare for, and hours per response, and for non- assist applicants in completing the form respond to coronavirus and for construction projects, 17.1 estimated in a way that can be easily evaluated by necessary expenses for responding to hours per response. EDA; (2) Adding two new questions to economic injury as a result of Estimated Total Annual Burden Form ED–900 GA to gather improved coronavirus.’’ In comparison, EDA was Hours: For construction projects, 42,011 project location information necessary appropriated $346,000,000 under the estimated annual burden hours, and for for EDA to comply with new data and Consolidated Appropriations Act, 2021. non-construction projects, 28,437 reporting requirements; (3) Removing This supplemental funding will estimated annual burden hours, for a duplicative questions across the forms substantially increase the number of total of 70,448 estimated total annual under this information collection; (4) respondents applying for EDA financial burden hours.
Estimated Application type number of Average time Total hours responses estimate
Full Application Submission for Construction Applicants ...... 977 43.0 42,011 Full Application Submission All Other EDA Programs ...... 1,663 17.1 28,437
Total ...... 2,640 ...... 70,448
Estimated Total Annual Cost to Legal Authority: The Public Works information collection is necessary for Public: $4,065,554 (cost assumes and Economic Development Act of 1965 the proper functions of the Department, application of U.S. Bureau of Labor (42 U.S.C. 3121 et seq.). including whether the information will Statistics fourth quarter 2020 mean IV. Request for Comments have practical utility; (b) Evaluate the hourly employer costs for employee accuracy of our estimate of the time and compensation for professional and We are soliciting public comments to cost burden for this proposed collection, related occupations of $57.71). permit the Department/Bureau to: (a) including the validity of the Respondent’s Obligation: Mandatory. Evaluate whether the proposed methodology and assumptions used; (c)
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Evaluate ways to enhance the quality, the foreign-status materials/components Mahan Air General Trading LLC, 19th Floor utility, and clarity of the information to noted below and in the existing scope Al Moosa Tower One, Sheik Zayed Road, be collected; and (d) Minimize the of authority, AbbVie would be able to Dubai 40594, United Arab Emirates; Mehdi Bahrami, Mahan Airways—Istanbul reporting burden on those who are to choose the duty rates during customs Office, Cumhuriye Cad. Sibil Apt No: 101 respond, including the use of automated entry procedures that applies to ® D:6, 34374 Emadad, Sisli Istanbul, Turkey; collection techniques or other forms of IMBRUVICA capsules and tablets Al Naser Airlines, a/k/a al-Naser Airlines, a/ information technology. (duty-free). AbbVie would be able to k/a Al Naser Wings Airline, a/k/a Alnaser Comments that you submit in avoid duty on foreign-status Airlines and, Air Freight Ltd., Home 46, response to this notice are a matter of components which become scrap/waste. Al-Karrada, Babil Region, District 929, St public record. We will include or Customs duties also could possibly be 21, Beside Al Jadirya Private Hospital, summarize each comment in our request deferred or reduced on foreign-status Baghdad, Iraq, and Al Amirat Street, Section 309, St. 3/H.20, Al Mansour, to OMB to approve this ICR. Before production equipment. Baghdad, Iraq, and P.O. Box 28360, Dubai, including your address, phone number, The material sourced from abroad is United Arab Emirates, and P.O. Box email address, or other personal Ibrutinib active pharmaceutical 911399, Amman 11191, Jordan; identifying information in your ingredient (duty rate 6.5%). The request Ali Abdullah Alhay, a/k/a Ali Alhay, a/k/a comment, you should be aware that indicates that Ibrutinib is subject to Ali Abdullah Ahmed Alhay, Home 46, Al- your entire comment—including your duties under Section 301 of the Trade Karrada, Babil Region, District 929, St 21, personal identifying information—may Act of 1974 (Section 301), depending on Beside Al Jadirya Private Hospital, Baghdad, Iraq, and Anak Street, Qatif, be made publicly available at any time. the country of origin. The applicable Saudi Arabia 61177; While you may ask us in your comment Section 301 decisions require subject Bahar Safwa General Trading, P.O. Box to withhold your personal identifying merchandise to be admitted to FTZs in 113212 Citadel Tower, Floor-5, Office information from public review, we privileged foreign status (19 CFR #504, Business Bay, Dubai, United Arab cannot guarantee that we will be able to 146.41). Emirates, and P.O. Box 8709, Citadel do so. Public comment is invited from Tower, Business Bay, Dubai, United Arab interested parties. Submissions shall be Emirates; Sheleen Dumas, addressed to the Board’s Executive Sky Blue Bird Group, a/k/a Sky Blue Bird Aviation, a/k/a Sky Blue Bird Ltd., a/k/a Department PRA Clearance Officer, Office of Secretary and sent to: [email protected]. The the Chief Information Officer, Commerce Sky Blue Bird FZC, P.O. Box 16111, Ras Al Department. closing period for their receipt is July 6, Khaimah Trade Zone, United Arab 2021. [FR Doc. 2021–11250 Filed 5–26–21; 8:45 am] Emirates; A copy of the notification will be Issam Shammout, a/k/a Muhammad Isam BILLING CODE 3510–34–P available for public inspection in the Muhammad Anwar Nur Shammout, a/k/a ‘‘Reading Room’’ section of the Board’s Issam Anwar, Philips Building, 4th Floor, Al Fardous Street, Damascus, Syria, and Al DEPARTMENT OF COMMERCE website, which is accessible via www.trade.gov/ftz. Kolaa, Beirut, Lebanon 151515, and 17–18 Margaret Street, 4th Floor, London, W1W Foreign-Trade Zones Board For further information, contact 8RP, United Kingdom, and Cumhuriyet Christopher Wedderburn at Mah. Kavakli San St. Fulya, Cad. Hazar [B–41–2021] [email protected]. Sok. No.14/A Silivri, Istanbul, Turkey. Foreign-Trade Zone (FTZ) 7— Dated: May 21, 2021. Pursuant to Section 766.24 of the Mayaguez, Puerto Rico; Notification of Elizabeth Whiteman, Export Administration Regulations, 15 Proposed Production Activity; AbbVie Acting Executive Secretary. CFR parts 730–774 (2021) (‘‘EAR’’ or Ltd. (Pharmaceutical Products), [FR Doc. 2021–11170 Filed 5–26–21; 8:45 am] ‘‘the Regulations’’), I hereby grant the Barceloneta, Puerto Rico BILLING CODE 3510–DS–P request of the Office of Export Enforcement (‘‘OEE’’) to renew the AbbVie Ltd. (AbbVie), submitted a temporary denial order issued in this notification of proposed production DEPARTMENT OF COMMERCE matter on November 24, 2020. I find that activity to the FTZ Board for its facility renewal of this order, as modified, is in Barceloneta, Puerto Rico. The Bureau of Industry and Security necessary in the public interest to notification conforming to the prevent an imminent violation of the requirements of the regulations of the Order Renewing Order Temporarily Regulations.1 FTZ Board (15 CFR 400.22) was Denying Export Privileges received on May 19, 2021. 1 Washington, DC 20230 The Regulations, currently codified at 15 CFR AbbVie already has authority to parts 730–774 (2021), originally issued pursuant to produce pharmaceutical products Mahan Airways, Mahan Tower, No. 21, the Export Administration Act (50 U.S.C. 4601– within Subzone 7I. The current request Azadegan St., M.A. Jenah Exp. Way, 4623 (Supp. III 2015)) (‘‘EAA’’), which lapsed on Tehran, Iran; August 21, 2001. The President, through Executive would add a finished product and a Pejman Mahmood Kosarayanifard, a/k/a Order 13222 of August 17, 2001 (3 CFR, 2001 foreign status material to the scope of Kosarian Fard, P.O. Box 52404, Dubai, Comp. 783 (2002)), as extended by successive authority. Pursuant to 15 CFR 400.14(b), United Arab Emirates; Presidential Notices, continued the Regulations in effect under the International Emergency Economic additional FTZ authority would be Mahmoud Amini, G#22 Dubai Airport Free Powers Act (50 U.S.C. 1701, et seq. (2012)) limited to the specific foreign-status Zone, P.O. Box 393754, Dubai, United Arab (‘‘IEEPA’’). On August 13, 2018, the President material and specific finished product Emirates, and P.O. Box 52404, Dubai, signed into law the John S. McCain National described in the submitted notification United Arab Emirates, and Mohamed Defense Authorization Act for Fiscal Year 2019, Abdulla Alqaz Building, Al Maktoum which includes the Export Control Reform Act of (as described below) and subsequently 2018, 50 U.S.C. 4801–4852 (‘‘ECRA’’). While authorized by the FTZ Board. Street, Al Rigga, Dubai, United Arab Emirates; Section 1766 of ECRA repeals the provisions of the Production under FTZ procedures Kerman Aviation, a/k/a GIE Kerman EAA (except for three sections which are could exempt AbbVie from customs inapplicable here), Section 1768 of ECRA provides, Aviation, 42 Avenue Montaigne 75008, in pertinent part, that all orders, rules, regulations, duty payments on the foreign-status Paris, France; and other forms of administrative action that were materials/components used in export Sirjanco Trading LLC, P.O. Box 8709, Dubai, made or issued under the EAA, including as production. On its domestic sales, for United Arab Emirates; continued in effect pursuant to IEEPA, and were in
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I. Procedural History Some of the renewal orders and the Trading LLC, and Ali Eslamian were On March 17, 2008, Darryl W. modification orders that have issued added as related persons. Mahan Air Jackson, the then-Assistant Secretary of between renewals have added certain General Trading LLC, Equipco (UK) Commerce for Export Enforcement parties as respondents or as related Ltd., and Skyco (UK) Ltd. were added as (‘‘Assistant Secretary’’), signed an order persons, or effected the removal of related persons by a modification order 4 denying Mahan Airways’ export certain parties. issued on April 9, 2012. Mehdi Bahrami privileges for a period of 180 days on The September 11, 2009 renewal was added as a related person as part of the ground that issuance of the order order continued the denial order as to the February 4, 2013 renewal order. was necessary in the public interest to Mahan Airways, but not as to the Balli On May 21, 2015, a modification Group Respondents or Blue Airways of order issued adding Al Naser Airlines, prevent an imminent violation of the 5 Regulations. The order also named as Armenia. As part of the February 25, Ali Abdullah Alhay, and Bahar Safwa denied persons Blue Airways, of 2011 renewal order, Pejman Mahmood General Trading as respondents. As Yerevan, Armenia (‘‘Blue Airways of Kosarayanifard (a/k/a Kosarian Fard), detailed in that order and discussed Armenia’’), as well as the ‘‘Balli Group Mahmoud Amini, and Gatewick LLC (a/ further infra, these respondents were Respondents,’’ namely, Balli Group k/a Gatewick Freight and Cargo added to the TDO based upon evidence PLC, Balli Aviation, Balli Holdings, Services, a/k/a Gatewick Aviation that they were acting together to, inter Services) were added as related persons alia, obtain aircraft subject to the Vahid Alaghband, Hassan Alaghband, 6 Blue Sky One Ltd., Blue Sky Two Ltd., to prevent evasion of the TDO. A Regulations for export or reexport to Blue Sky Three Ltd., Blue Sky Four Ltd., modification order issued on July 1, Mahan in violation of the Regulations Blue Sky Five Ltd., and Blue Sky Six 2011, adding Zarand Aviation as a and the TDO. respondent in order to prevent an Sky Blue Bird Group and its chief Ltd., all of the United Kingdom. The 7 order was issued ex parte pursuant to imminent violation. executive officer, Issam Shammout, As part of the August 24, 2011 Section 766.24(a) of the Regulations, were added as related persons as part of renewal, Kerman Aviation, Sirjanco 8 and went into effect on March 21, 2008, the July 13, 2015 renewal order. On the date it was published in the Federal November 16, 2017, a modification November 24, 2020, respectively. The August 24, order issued to remove Ali Eslamian, Register. 2011 renewal followed the issuance of a This temporary denial order (‘‘TDO’’) modification order that issued on July 1, 2011, to Equipco (UK) Ltd., and Skyco (UK) Ltd. was renewed in accordance with add Zarand Aviation as a respondent. The July 13, as related persons following a request by Section 766.24(d) of the Regulations.2 2015 renewal followed a modification order that OEE for their removal.9 issued May 21, 2015, and added Al Naser Airlines, The December 11, 2018 renewal order Subsequent renewals also have issued Ali Abdullah Alhay, and Bahar Safwa General pursuant to Section 766.24(d), including Trading as respondents. Each of the renewal orders continued the denial of the export most recently on November 24, 2020.3 and each of the modification orders referenced in privileges of Mahan Airways, Pejman this footnote or elsewhere in this order has been Mahmood Kosarayanifard, Mahmoud published in the Federal Register. Amini, Kerman Aviation, Sirjanco effect as of ECRA’s date of enactment (August 13, 4 2018), shall continue in effect according to their Pursuant to Sections 766.23 and 766.24(c) of the Regulations, any person, firm, corporation, or Trading LLC, Mahan Air General terms until modified, superseded, set aside, or Trading LLC, Mehdi Bahrami, Al Naser revoked through action undertaken pursuant to the business organization related to a denied person by authority provided under ECRA. Moreover, Section affiliation, ownership, control, or position of Airlines, Ali Abdullah Alhay, Bahar 1761(a)(5) of ECRA authorizes the issuance of responsibility in the conduct of trade or related Safwa General Trading, Sky Blue Bird temporary denial orders. services may be added as a ‘‘related person’’ to a temporary denial order to prevent evasion of the Group, and Issam Shammout. 2 Section 766.24(d) provides that BIS may seek order. On April 27, 2021, BIS, through OEE, renewal of a temporary denial order for additional 5 180-day renewal periods, if it believes that renewal Balli Group PLC and Balli Aviation settled submitted a written request for renewal is necessary in the public interest to prevent an proposed BIS administrative charges as part of a of the TDO that issued on November 24, imminent violation. Renewal requests are to be settlement agreement that was approved by a 2020. The written request was made settlement order issued on February 5, 2010. The made in writing no later than 20 days before the more than 20 days before the TDO’s scheduled expiration date of a temporary denial sanctions imposed pursuant to that settlement and order. Renewal requests may include discussion of order included, inter alia, a $15 million civil scheduled expiration. Notice of the any additional or changed circumstances, and may penalty and a requirement to conduct five external renewal request was provided to Mahan seek appropriate modifications to the order, audits and submit related audit reports. The Balli Airways, Al Naser Airlines, Ali Group Respondents also settled related charges including the addition of parties as respondents or Abdullah Alhay, and Bahar Safwa related persons, or the removal of parties previously with the Department of Justice and the Treasury added as respondents or related persons. BIS is not Department’s Office of Foreign Assets Control. required to seek renewal as to all parties, and a 6 See note 4, supra, concerning the addition of 8 The U.S. Department of the Treasury’s Office of removal of a party can be effected if, without more, related persons to a temporary denial order. Foreign Assets Control (‘‘OFAC’’) designated Sky BIS does not seek renewal as to that party. Any Kosarian Fard and Mahmoud Amini remain parties Blue Bird and Issam Shammout as Specially party included or added to a temporary denial order to the TDO. On August 13, 2014, BIS and Gatewick Designated Global Terrorists (‘‘SDGTs’’) on May 21, as a respondent may oppose a renewal request as resolved administrative charges against Gatewick, 2015, pursuant to Executive Order 13224, for set forth in Section 766.24(d). Parties included or including a charge for acting contrary to the terms ‘‘providing support to Iran’s Mahan Air.’’ See 80 FR added as related persons can at any time appeal of a BIS denial order (15 CFR 764.2(k)). In addition 30762 (May 29, 2015). their inclusion as a related person, but cannot to the payment of a civil penalty, the settlement 9 The November 16, 2017 modification was challenge the underlying temporary denial order, includes a seven-year denial order. The first two published in the Federal Register on December 4, either as initially issued or subsequently renewed, years of the denial period were active, with the 2017. See 82 FR 57203 (Dec. 4, 2017). On and cannot oppose a renewal request. See also note remaining five years suspended conditioned upon September 28, 2017, BIS and Ali Eslamian resolved 4, infra. Gatewick’s full and timely payment of the civil an administrative charge for acting contrary to the 3 The November 24, 2020 renewal order was penalty and its compliance with the Regulations terms of the denial order (15 CFR 764.2(k)) that was effective upon issuance and published in the during the seven-year denial order period. This based upon Eslamian’s violation of the TDO after Federal Register on December 1, 2020 (85 FR denial order, in effect, superseded the TDO as to his addition to the TDO on August 24, 2011. 77,147). Prior renewal orders issued on September Gatewick, which was not included as part of the Equipco (UK) Ltd. and Skyco (UK) Ltd., two 17, 2008, March 16, 2009, September 11, 2009, January 16, 2015 renewal order. The Gatewick LLC companies owned and operated by Eslamian, also March 9, 2010, September 3, 2010, February 25, Final Order was published in the Federal Register were parties to the settlement agreement and were 2011, August 24, 2011, February 15, 2012, August on August 20, 2014. See 79 FR 49283 (Aug. 20, added to the settlement order as related persons. In 9, 2012, February 4, 2013, July 31, 2013, January 24, 2014). addition to other sanctions, the settlement provides 2014, July 22, 2014, January 16, 2015, July 13, 2015, 7 Zarand Aviation’s export privileges remained that Eslamian, Equipco, and Skyco shall be subject January 7, 2016, July 7, 2016, December 30, 2016, denied until July 22, 2014, when it was not to a conditionally-suspended denial order for a June 27, 2017, December 20, 2017, June 14, 2018, included as part of the renewal order issued on that period of four years from the date of the settlement December 11, 2018, June 5, 2019, May 29, 2020, and date. order.
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General Trading in accordance with prohibited by the EAR by knowingly re- 158,000 ‘‘forward bookings’’ for these Sections 766.5 and 766.24(d) of the exporting to Iran three U.S.-origin aircraft), and that it wished to continue Regulations. No opposition to the aircraft, specifically Boeing 747s to do so and would pay damages if renewal of the TDO has been received. (‘‘Aircraft 1–3’’), items subject to the required by that court, rather than Furthermore, no appeal of the related EAR and classified under Export ground the aircraft. Control Classification Number person determinations made as part of The September 3, 2010 renewal order (‘‘ECCN’’) 9A991.b, without the required the September 3, 2010, February 25, discussed the fact that Mahan Airways’ U.S. Government authorization. Further 2011, August 24, 2011, April 9, 2012, violations of the TDO extended beyond February 4, 2013, and July 13, 2015 evidence submitted by BIS indicated operating U.S.-origin aircraft and renewal or modification orders has been that Mahan Airways was involved in the attempting to acquire additional U.S.- made by Kosarian Fard, Mahmoud attempted re-export of three additional origin aircraft. In February 2009, while Amini, Kerman Aviation, Sirjanco U.S.-origin Boeing 747s (‘‘Aircraft 4–6’’) subject to the TDO, Mahan Airways Trading LLC, Mahan Air General to Iran. participated in the export of computer Trading LLC, Mehdi Bahrami, Sky Blue As discussed in the September 17, Bird Group, or Issam Shammout.10 2008 renewal order, evidence presented motherboards, items subject to the by BIS indicated that Aircraft 1–3 Regulations and designated as EAR99, II. Renewal of the TDO continued to be flown on Mahan from the United States to Iran, via the A. Legal Standard Airways’ routes after issuance of the United Arab Emirates (‘‘UAE’’), in TDO, in violation of the Regulations and violation of both the TDO and the Pursuant to Section 766.24, BIS may the TDO itself.11 It also showed that Regulations, by transporting and/or issue or renew an order temporarily Aircraft 1–3 had been flown in further forwarding the computer motherboards denying a respondent’s export privileges violation of the Regulations and the from the UAE to Iran. Mahan Airways’ upon a showing that the order is TDO on the routes of Iran Air, an violations were facilitated by Gatewick necessary in the public interest to Iranian Government airline. Moreover, LLC, which not only participated in the prevent an ‘‘imminent violation’’ of the as discussed in the March 16, 2009, transaction, but also has stated to BIS Regulations. 15 CFR 766.24(b)(1) and September 11, 2009 and March 9, 2010 that it acted as Mahan Airways’ sole 766.24(d). ‘‘A violation may be renewal orders, Mahan Airways booking agent for cargo and freight ‘imminent’ either in time or degree of registered Aircraft 1–3 in Iran, obtained forwarding services in the UAE. likelihood.’’ 15 CFR 766.24(b)(3). BIS Iranian tail numbers for them (EP–MNA, Moreover, in a January 24, 2011 filing may show ‘‘either that a violation is EP–MNB, and EP–MNE, respectively), in the U.K. court, Mahan Airways about to occur, or that the general and continued to operate at least two of asserted that Aircraft 1–3 were not being circumstances of the matter under them in violation of the Regulations and investigation or case under criminal or the TDO,12 while also committing an used, but stated in pertinent part that administrative charges demonstrate a additional knowing and willful the aircraft were being maintained in likelihood of future violations.’’ Id. As violation when it negotiated for and Iran ‘‘in an airworthy condition’’ and to the likelihood of future violations, acquired an additional U.S.-origin that, depending on the outcome of its BIS may show that the violation under aircraft. The additional acquired aircraft U.K. court appeal, the aircraft ‘‘could investigation or charge ‘‘is significant, was an MD–82 aircraft, which immediately go back into service . . . deliberate, covert and/or likely to occur subsequently was painted in Mahan on international routes into and out of again, rather than technical or negligent Airways’ livery and flown on multiple Iran.’’ Mahan Airways’ January 24, 2011 [.]’’ Id. A ‘‘lack of information Mahan Airways’ routes under tail submission to U.K. Court of Appeal, at establishing the precise time a violation number TC–TUA. p. 25, ¶¶ 108, 110. This clearly stated may occur does not preclude a finding The March 9, 2010 renewal order also intent, both on its own and in that a violation is imminent, so long as noted that a court in the United conjunction with Mahan Airways’ prior there is sufficient reason to believe the Kingdom (‘‘U.K.’’) had found Mahan misconduct and statements, likelihood of a violation.’’ Id. Airways in contempt of court on demonstrated the need to renew the February 1, 2010, for failing to comply TDO in order to prevent imminent B. The TDO and BIS’s Requests for with that court’s December 21, 2009 and future violations. Two of these three Renewal January 12, 2010 orders compelling 747s subsequently were removed from OEE’s request for renewal is based Mahan Airways to remove the Boeing Iran and are no longer in Mahan upon the facts underlying the issuance 747s from Iran and ground them in the Airways’ possession. The third of these of the initial TDO, and the renewal and Netherlands. Mahan Airways and the 747s remained in Iran under Mahan’s modification orders subsequently issued Balli Group Respondents had been control. Pursuant to Executive Order in this matter, including the May 21, litigating before the U.K. court 13224, this 747 was designated a 2015 modification order and the concerning ownership and control of Specially Designated Global Terrorist renewal order issued on November 24, Aircraft 1–3. In a letter to the U.K. court (‘‘SDGT’’) by the U.S. Department of the 2020, and the evidence developed over dated January 12, 2010, Mahan Airways’ Treasury’s Office of Foreign Assets the course of this investigation, which Chairman indicated, inter alia, that Control (‘‘OFAC’’) on September 19, indicate a blatant disregard of U.S. Mahan Airways opposes U.S. 2012.13 Furthermore, as discussed in the export controls and the TDO. The initial Government actions against Iran, that it February 4, 2013 Order, open source TDO was issued as a result of evidence continued to operate the aircraft on its information indicated that this 747, that showed that Mahan Airways and routes in and out of Tehran (and had painted in the livery and logo of Mahan other parties engaged in conduct Airways, had been flown between Iran 11 Engaging in conduct prohibited by a denial and Syria, and was suspected of ferrying 10 A party named or added as a related person order violates the Regulations. 15 CFR 764.2(a) and weapons and/or other equipment to the may not oppose the issuance or renewal of the (k). underlying temporary denial order, but may file an 12 The third Boeing 747 appeared to have appeal of the related person determination in undergone significant service maintenance and may 13 See http://www.treasury.gov/resource-center/ accordance with Section 766.23(c). See also note 2, not have been operational at the time of the March sanctions/OFAC-Enforcement/pages/ supra. 9, 2010 renewal order. 20120919.aspx.
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Syrian Government from Iran’s Islamic 2013 order also added Mehdi Bahrami of Mahan Airways’ activities and Revolutionary Guard Corps. as a related person in accordance with detailed an attempt by Mahan, which In addition, as first detailed in the Section 766.23 of the Regulations. OEE thwarted, to obtain, via an July 1, 2011 and August 24, 2011 orders, Bahrami, a Mahan Vice-President and Indonesian aircraft parts supplier, two and discussed in subsequent renewal the head of Mahan’s Istanbul Office, U.S.-origin Honeywell ALF–502R–5 orders in this matter, Mahan Airways also was involved in Mahan’s aircraft engines (MSNs LF5660 and also continued to evade U.S. export acquisition of the original three Boeing LF5325), items subject to the control laws by operating two Airbus 747s (Aircraft 1–3) that resulted in the Regulations, from a U.S. company A310 aircraft, bearing Mahan Airways’ original TDO, and has had a business located in Texas. An invoice of the livery and logo, on flights into and out relationship with Mahan dating back to Indonesian aircraft parts supplier dated of Iran.14 At the time of the July 1, 2011 1997. March 27, 2013, listed Mahan Airways and August 24, 2011 orders, these The July 31, 2013 renewal order as the purchaser of the engines and Airbus A310s were registered in France, detailed additional evidence obtained included a Mahan ship-to address. OEE with tail numbers F–OJHH and F–OJHI, by OEE showing efforts by Mahan also obtained a Mahan air waybill dated respectively.15 The August 2012 Airways to obtain another GE CF6–50C2 March 12, 2013, listing numerous U.S.- renewal order also found that Mahan aircraft engine (MSN 528350) from the origin aircraft parts subject to the Airways had acquired another Airbus United States via Turkey. Multiple Regulations—including, among other A310 aircraft subject to the Regulations, Mahan employees, including Mehdi items, a vertical navigation gyroscope, a with MSN 499 and Iranian tail number Bahrami, were involved in or aware of transmitter, and a power control unit— EP–VIP, in violation of the matters related to the engine’s arrival in being transported by Mahan from Regulations.16 On September 19, 2012, Turkey from the United States, plans to Turkey to Iran in violation of the TDO. all three Airbus A310 aircraft (tail visually inspect the engine, and prepare The July 22, 2014 renewal order numbers F–OJHH, F–OJHI, and EP–VIP) it for shipment from Turkey. discussed open source evidence from were designated as SDGTs.17 Mahan Airways sought to obtain this the March-June 2014 time period The February 4, 2013 renewal order U.S.-origin engine through Pioneer regarding two BAE regional jets, items laid out further evidence of continued Logistics Havacilik Turizm Yonetim subject to the Regulations, that were and additional efforts by Mahan Danismanlik (‘‘Pioneer Logistics’’), an painted in the livery and logo of Mahan Airways and other persons acting in aircraft parts supplier located in Turkey, Airways and operating under Iranian concert with Mahan, including Kral and its director/operator, Gulnihal tail numbers EP–MOI and EP–MOK, Aviation and another Turkish company, Yegane, a Turkish national who respectively.20 In addition, aviation to procure U.S.-origin engines—two GE previously had conducted Mahan industry resources indicated that these CF6–50C2 engines, with MSNs 517621 related business with Mehdi Bahrami aircraft were obtained by Mahan and 517738, respectively—and other and Ali Eslamian. Moreover, as Airways in late November 2013 and aircraft parts in violation of the TDO referenced in the July 31, 2013 renewal June 2014, from Ukrainian 18 and the Regulations. The February 4, order, a sworn affidavit by Kosol Mediterranean Airline, a Ukrainian Surinanda, also known as Kosol airline that was added to BIS’s Entity 14 The Airbus A310s are powered with U.S.-origin Surinandha, Managing Director of List (Supplement No. 4 to Part 744 of engines. The engines are subject to the Regulations Mahan’s General Sales Agent in and classified under Export Control Classification the Regulations) on August 15, 2011, for (‘‘ECCN’’) 9A991.d. The Airbus A310s contain Thailand, stated that the shares of acting contrary to the national security controlled U.S.-origin items valued at more than 10 Pioneer Logistics for which he was the and foreign policy interests of the percent of the total value of the aircraft and as a listed owner were ‘‘actually the property United States.21 Open source result are subject to the Regulations. They are of and owned by Mahan.’’ He further classified under ECCN 9A991.b. The export or information indicated that at least EP– reexport of these aircraft to Iran requires U.S. stated that he held ‘‘legal title to the MOI remained active in Mahan’s fleet, Government authorization pursuant to Sections shares until otherwise required by and that the aircraft was being operated 742.8 and 746.7 of the Regulations. Mahan’’ but would ‘‘exercise the rights on multiple flights in July 2014. 15 OEE subsequently presented evidence that after granted to [him] exactly and only as the August 24, 2011 renewal, Mahan Airways The January 16, 2015 renewal order worked along with Kerman Aviation and others to instructed by Mahan and [his] vote and/ detailed evidence of additional attempts de-register the two Airbus A310 aircraft in France or decisions [would] only and and to register both aircraft in Iran (with, exclusively reflect the wills and 20 The BAE regional jets are powered with U.S.- respectively, Iranian tail numbers EP–MHH and demands of Mahan[.]’’ 19 origin engines. The engines are subject to the EAR EP–MHI). It was determined subsequent to the The January 24, 2014 renewal order and classified under ECCN 9A991.d. These aircraft February 15, 2012 renewal order that the outlined OEE’s continued investigation contain controlled U.S.-origin items valued at more registration switch for these A310s was cancelled than 10 percent of the total value of the aircraft and and that Mahan Airways then continued to fly the as a result are subject to the EAR. They are aircraft under the original French tail numbers (F– (MSN 517738) on July 30, 2012. The owner of the classified under ECCN 9A991.b. The export or OJHH and F–OJHI, respectively). Both aircraft second engine subsequently cancelled the item’s reexport of these aircraft to Iran requires U.S. apparently remain in Mahan Airways’ possession. sale to Kral Aviation. In September 2012, OEE was Government authorization pursuant to Sections 16 See note 14, supra. alerted by a U.S. exporter that another Turkish 742.8 and 746.7 of the Regulations. 17 See http://www.treasury.gov/resource-center/ company (‘‘Turkish Company No. 2’’) was 21 See 76 FR 50407 (Aug. 15, 2011). The July 22, sanctions/OFAC-Enforcement/pages/ attempting to purchase aircraft spare parts intended 2014 renewal order also referenced two Airbus 20120919.aspx. Mahan Airways was previously for re-export by Turkish Company No. 2 to Mahan A320 aircraft painted in the livery and logo of designated by OFAC as a SDGT on October 18, Airways. See February 4, 2013 renewal order. Mahan Airways and operating under Iranian tail 2011. 77 FR 64427 (October 18, 2011). On December 31, 2013, Kral Aviation was added numbers EP–MMK and EP–MML, respectively. 18 Kral Aviation was referenced in the February to BIS’s Entity List, Supplement No. 4 to Part 744 OEE’s investigation also showed that Mahan 4, 2013 renewal order as ‘‘Turkish Company No. 1.’’ of the Regulations. See 78 FR 75458 (Dec. 12, 2013). obtained these aircraft in November 2013, from Kral Aviation purchased a GE CF6–50C2 aircraft Companies and individuals are added to the Entity Khors Air Company, another Ukrainian airline that, engine (MSN 517621) from the United States in July List for engaging in activities contrary to the like Ukrainian Mediterranean Airlines, was added 2012, on behalf of Mahan Airways. OEE was able national security or foreign policy interests of the to BIS’s Entity List on August 15, 2011. Open to prevent this engine from reaching Mahan by United States. See 15 CFR 744.11. source evidence indicates the two Airbus A320 issuing a redelivery order to the freight forwarder 19 Pioneer Logistics, Gulnihal Yegane, and Kosol aircraft may have been transferred by Mahan in accordance with Section 758.8 of the Surinanda also were added to the Entity List on Airways to another Iranian airline in October 2014, Regulations. OEE also issued Kral Aviation a December 12, 2013. See 78 FR 75458 (Dec. 12, and issued Iranian tail numbers EP–APE and EP– redelivery order for the second CF6–50C2 engine 2013). APF, respectively.
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by Mahan Airways to acquire items The sales agreements for these two the aircraft, all of which are subject to subject the Regulations in further aircraft were signed by Ali Abdullah the Regulations and were obtained by violation of the TDO. Specifically, in Alhay for Al Naser Airlines.24 Payment Mahan from Al Naser Airlines, had been March 2014, OEE became aware of an information reveals that multiple issued the following Iranian tail inertial reference unit bearing serial electronic funds transfers (‘‘EFT’’) were numbers: EP–MMD (MSN 164), EP– number 1231 (‘‘the IRU’’) that had been made by Ali Abdullah Alhay and Bahar MMG (MSN 383), EP–MMH (MSN 391) sent to the United States for repair. The Safwa General Trading in order to and EP–MMR (MSN 416), IRU is a U.S.-origin item, subject to the acquire MSNs 164 and 550. respectively.27 Publicly available flight Regulations, classified under ECCN The May 21, 2015 modification order tracking information provided evidence 7A103, and controlled for missile also laid out evidence showing the that at the time of the July 13, 2015 technology reasons. Upon closer respondents’ attempts to obtain other renewal, both EP–MMH and EP–MMR inspection, it was determined that IRU controlled aircraft, including aircraft were being actively flown on routes into came from or had been installed on an physically located in the United States and out of Iran in violation of the Airbus A340 aircraft bearing MSN 056. in similarly-patterned transactions Regulations.28 Further investigation revealed that as of during the same recent time period. The January 7, 2016 renewal order approximately February 2014, this Transactional documents involving two discussed evidence that Mahan Airways aircraft was registered under Iranian tail Airbus A320s bearing MSNs 82 and 99, had begun actively flying EP–MMD on number EP–MMB and had been painted respectively, again showed Ali international routes into and out of Iran. in the livery and logo of Mahan Abdullah Alhay signing sales Additionally, the January 7, 2016 order Airways. agreements for Al Naser Airlines.25 A described publicly available aviation The January 16, 2015 renewal order review of the payment information for database and flight tracking information also described related efforts by the these aircraft similarly revealed EFTs indicating that Mahan Airways Departments of Justice and Treasury to from Ali Abdullah Alhay and Bahar continued efforts to acquire Iranian tail further thwart Mahan’s illicit Safwa General Trading that follow the numbers and press into active service procurement efforts. Specifically, on pattern described for MSNs 164 and under Mahan’s livery and logo at least August 14, 2014, the United States 550, supra. MSNs 82 and 99 were two more of the Airbus A340 aircraft it Attorney’s Office for the District of detained by OEE Special Agents prior to had obtained from or through Al Naser Maryland filed a civil forfeiture their planned export from the United Airlines: EP–MME (MSN 371) and EP– complaint for the IRU pursuant to 22 States. MMF (MSN 376), respectively. U.S.C. 401(b) that resulted in the court The July 13, 2015 renewal order The July 7, 2016 renewal order issuing an Order of Forfeiture on outlined evidence showing that Al described Mahan Airways’ acquisition December 2, 2014. EP–MMB remains Naser Airlines’ attempts to acquire of a BAE Avro RJ–85 aircraft (MSN listed as active in Mahan Airways’ fleet aircraft on behalf of Mahan Airways 2392) in violation of the Regulations extended beyond MSNs 164 and 550 to and its subsequent registration under and has been used on flights into and 29 out of Iran as recently as December 19, include a total of nine aircraft.26 Four of Iranian tail number EP–MOR. This 2017. information was corroborated by Additionally, on August 29, 2014, contain controlled U.S.-origin items valued at more publicly available information on the than 10 percent of the total value of the aircraft and website of Iran’s civil aviation authority. OFAC blocked the property and as a result are subject to the EAR regardless of their interests in property of Asian Aviation The July 7, 2016 order also outlined location. The aircraft are classified under ECCN Mahan’s continued operation of EP– Logistics of Thailand, a Mahan Airways 9A991.b. The export or re-export of these aircraft to affiliate or front company, pursuant to Iran requires U.S. Government authorization pursuant to Sections 742.8 and 746.7 of the involved in Al Naser Airlines’ acquisition of MSNs Executive Order 13224. In doing so, Regulations. 164 and 550, and the attempted acquisition of OFAC described Mahan Airways’ use of 24 The evidence obtained by OEE showed Ali MSNs 82 and 99 (which were detained by OEE). Asian Aviation Logistics to evade Abdullah Alhay as a 25% owner of Al Naser 27 The Airbus A340s are powered by U.S.-origin sanctions by making payments on behalf Airlines. engines that are subject to the Regulations and 25 Both aircraft were physically located in the classified under ECCN 9A991.d. The Airbus A340s of Mahan for the purchase of engines contain controlled U.S.-origin items valued at more 22 United States and therefore are subject to the and other equipment. Regulations pursuant to Section 734.3(a)(1). than 10 percent of the total value of the aircraft and The May 21, 2015 modification order Moreover, these Airbus A320s are powered by U.S.- as a result are subject to the EAR regardless of their detailed the acquisition of two aircraft, origin engines that are subject to the Regulations location. The aircraft are classified under ECCN specifically an Airbus A340 bearing and classified under Export Control Classification 9A991.b. The export or re-export of these aircraft to Number ECCN 9A991.d. The Airbus A320s contain Iran requires U.S. Government authorization MSN 164 and an Airbus A321 bearing controlled U.S.-origin items valued at more than 10 pursuant to Sections 742.8 and 746.7 of the MSN 550, that were purchased by Al percent of the total value of the aircraft and as a Regulations. Naser Airlines in late 2014/early 2015 result are subject to the EAR regardless of their 28 There is some publicly available information and were under the possession, control, location. The aircraft are classified under ECCN indicating that the aircraft Mahan Airways is flying 23 9A991.b. The export or re-export of these aircraft to under Iranian tail number EP–MMR is now MSN and/or ownership of Mahan Airways. Iran requires U.S. Government authorization 615, rather than MSN 416. Both aircraft are Airbus pursuant to Sections 742.8 and 746.7 of the A340 aircraft that Mahan acquired from Al Naser 22 See http://www.treasury.gov/resource-center/ Regulations. Airlines in violation of the Regulations. Moreover, sanctions/OFAC-Enforcement/Pages/ 26 This evidence included a press release dated both aircraft were designated as SDGTs by OFAC 20140829.aspx. See 79 FR 55073 (Sep. 15, 2014). May 9, 2015, that appeared on Mahan Airways’ on May 21, 2015, pursuant to Executive Order OFAC also blocked the property and property website and stated that Mahan ‘‘added 9 modern 13224. See 80 FR 30762 (May 29, 2015). interests of Pioneer Logistics of Turkey on August aircraft to its air fleet [,]’’ and that the newly 29 The BAE Avro RJ–85 is powered by U.S.-origin 29, 2014. Id. Mahan Airways’ use of Pioneer acquired aircraft included eight Airbus A340s and engines that are subject to the Regulations and Logistics in an effort to evade the TDO and the one Airbus A321. See http://www.mahan.aero/en/ classified under ECCN 9A991.d. The BAE Avro RJ– Regulations was discussed in a prior renewal order, mahan-air/press-room/44. The press release was 85 contains controlled U.S.-origin items valued at as summarized, supra, at 14. BIS added both Asian subsequently removed from Mahan Airways’ more than 10 percent of the total value of the Aviation Logistics and Pioneer Logistics to the website. Publicly available aviation databases aircraft and as a result is subject to the EAR Entity List on December 12, 2013. See 78 FR 75458 similarly showed that Mahan had obtained nine regardless of its location. The aircraft is classified (Dec. 12, 2013). additional aircraft from Al Naser Airlines in May under ECCN 9A991.b, and its export or re-export to 23 Both of these aircraft are powered by U.S.- 2015, including MSNs 164 and 550. As also Iran requires U.S. Government authorization origin engines that are subject to the Regulations discussed in the July 13, 2015 renewal order, Sky pursuant to Sections 742.8 and 746.7 of the and classified under ECCN 9A991.d. Both aircraft Blue Bird Group, via Issam Shammout, was actively Regulations.
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MMF in violation of the Regulations on subsequently cancelled and the aircraft for the District of New Jersey involving routes from Tehran, Iran to Beijing, returned to their owner. the unlicensed exports of U.S.-origin China and Shanghai, China, The December 20, 2017 renewal order aircraft parts valued at over $2 million respectively. also included evidence indicating that to Iran, including to Mahan Airways. The December 30, 2016 renewal order Mahan Airways was continuing to The December 11, 2018 renewal order outlined Mahan’s continued operation operate a number of aircraft subject to detailed publicly available information of multiple Airbus aircraft, including the Regulations, including aircraft showing that Mahan Airways had EP–MMD (MSN 164), EP–MMF (MSN originally procured from or through Al continued operating a number of aircraft 376), and EP–MMH (MSN 391), which Naser Airlines, on flights into and out subject to the EAR, including, but not were acquired from or through Al Naser of Iran, including from/to Lahore, limited to, EP–MMB, EP–MME, EP– Airlines, as previously detailed in Pakistan, Shanghai, China, Ankara, MMF, and EP–MMQ, on international pertinent part in the July 13, 2015 and Turkey, Kabul, Afghanistan, and flights into and out of Iran from/to January 7, 2016 renewal orders. Publicly Baghdad, Iraq. Istanbul, Turkey, Guangzhou, China, available flight tracking information The June 14, 2018 renewal order Bangkok, Thailand, and Dubai, UAE.34 showed that the aircraft were operated outlined evidence that Mahan began It also discussed that OEE’s continued on flights into and out of Iran, including actively operating EP–MMT, an Airbus investigation of Mahan Airways and its from/to Beijing, China, Kuala Lumpur, A340 aircraft (MSN 292) acquired in affiliates and agents had resulted in an Malaysia, and Istanbul, Turkey.30 2017 and previously registered in October 2018 guilty plea by Arzu The June 27, 2017 renewal order Kazakhstan under tail number UP– Sagsoz, a Turkish national, in the U.S. included similar evidence regarding A4003, on international flights into and District Court for the District of Mahan Airways’ operation of multiple out of Iran.32 It also discussed evidence Columbia, stemming from her Airbus aircraft subject to the that Mahan continued to operate a involvement in a conspiracy to export a Regulations, including, but not limited number of aircraft subject to the U.S.-origin aircraft engine, valued at to, aircraft procured from or through Al Regulations, including, but not limited approximately $810,000, to Mahan. Naser Airlines, on flights into and out to, EP–MME, EP–MMF, and EP–MMH, The December 11, 2018 order also of Iran, including from/to Moscow, on international flights into and out of noted OFAC’s September 14, 2018 Russia, Shanghai, China and Kabul, Iran, including from/to Beijing, China. designation of Mahan-related entities as Afghanistan. The June 27, 2017 order The June 14, 2018 renewal order also SDGTs pursuant to Executive Order also detailed evidence concerning a noted OFAC’s May 24, 2018 designation 13224, namely, My Aviation Company suspected planned or attempted of Otik Aviation, a/k/a Otik Havacilik Limited, of Thailand, and Mahan Travel diversion to Mahan of an Airbus A340 Sanayi Ve Ticaret Limited Sirketi, of and Tourism SDN BHD, a/k/a Mahan subject to the Regulations that had first Turkey, as an SDGT pursuant to Travel a/k/a Mihan Travel & Tourism been mentioned in OEE’s December 13, Executive Order 13224, for providing SDN BHD, of Malaysia.35 As general 2016 renewal request. material support to Mahan, as well as sales agents for Mahan Airways, these The December 20, 2017 renewal order OFAC’s designation as SDGTs of an companies sold cargo space aboard presented evidence that a Mahan additional twelve aircraft in which Mahan Airways’ flights, including on employee attempted to initiate Mahan has an interest.33 The June 14, flights to Iran, and provided other negotiations with a U.S. company for 2018 order also cited the April 2018 services to or for the benefit of Mahan the purchase of an aircraft subject to the arrest and arraignment of a U.S. citizen Airways and its operations.36 Regulations and classified under ECCN on a three-count criminal information The June 5, 2019 renewal order 9A610. Moreover, the order highlighted filed in the United States District Court highlighted Mahan’s continued Al Naser Airlines’ acquisition, via lease, violation of the TDO and the of at least possession and/or control of 32 The Airbus A340 is powered by U.S.-origin Regulations. An end-use check a Boeing 737 (MSN 25361), bearing tail engines that are subject to the Regulations and conducted by BIS in Malaysia in March classified under ECCN 9A991.d. The Airbus A340 number YR–SEB, and an Airbus A320 contains controlled U.S.-origin items valued at (MSN 357), bearing tail number YR– more than 10 percent of the total value of the 34 Flight tracking information showed that on SEA, from a Romanian company in aircraft and as a result is subject to the Regulations December 10, 2018, EP–MMB (MSN 56) flew from violation of the TDO and the regardless of its location. The aircraft is classified Istanbul, Turkey to Tehran, Iran, and EP–MME (MSN 371) flew from Guangzhou, China to Tehran, 31 under ECCN 9A991.b. The export or re-export of Regulations. Open source information this aircraft to Iran requires U.S. Government Iran. Additionally, on December 6, 2018, EP–MMF indicates that after the December 20, authorization pursuant to Sections 742.8 and 746.7 (MSN 376) flew from Bangkok, Thailand to Tehran, 2017 renewal order publicly exposed Al of the Regulations. On June 4, 2018, EP–MMT (MSN Iran, and on December 9, 2018, EP–MMQ (MSN Naser’s acquisition of these two aircraft 292) flew from Bangkok, Thailand to Tehran, Iran. 449) flew on routes between Dubai, United Arab 33 Emirates and Tehran, Iran. (MSNs 25361 and 357), the leases were See 83 FR 27828 (June 14, 2018). OFAC’s related press release stated in part that ‘‘[o]ver the 35 See 83 FR 34301 (July 19, 2018) (designation last several years, Otik Aviation has procured and of Mahan Travel and Tourism SDN BHD on July 9, 30 Specifically, on December 22, 2016, EP–MMD delivered millions of dollars in aviation-related 2018), and 83 FR 53,359 (Oct. 22, 2018) (MSN 164) flew from Dubai, UAE to Tehran, Iran. spare and replacement parts for Mahan Air, some (designation of My Aviation Company Limited and Between December 20 and December 22, 2016, EP– of which are procured from the United States and updating of entry for Mahan Travel and Tourism MMF (MSN 376) flew on routes from Tehran, Iran the European Union. As recently as 2017, Otik SDN BHD on September 14, 2018). to Beijing, China and Istanbul, Turkey, respectively. Aviation continued to provide Mahan Air with 36 OFAC’s press release concerning its Between December 26 and December 28, 2016, EP– replacement parts worth well over $100,000 per designation of My Aviation Company Limited on MMH (MSN 391) flew on routes from Tehran, Iran shipment, such as aircraft brakes.’’ The twelve September 14, 2018, states in part that ‘‘[t]his to Kuala Lumpur, Malaysia. additional Mahan-related aircraft that were Thailand-based company has disregarded numerous 31 The Airbus A320 is powered with U.S.-origin designated are: EP–MMA (MSN 20), EP–MMB U.S. warnings, issued publicly and delivered engines, which are subject to the EAR and classified (MSN 56), EP–MMC (MSN 282), EP–MMJ (MSN bilaterally to the Thai government, to sever ties under Export Control Classification (‘‘ECCN’’) 526), EP–MMV (MSN 2079), EP–MNF (MSN 547), with Mahan Air.’’ My Aviation provides cargo 9A991.d. The engines are valued at more than 10 EP–MOD (MSN 3162), EP–MOM (MSN 3165), EP– services to Mahan Airways, including freight percent of the total value of the aircraft, which MOP (MSN 2257), EP–MOQ (MSN 2261), EP–MOR booking, and works with local freight forwarding consequently is subject to the EAR. The aircraft is (MSN 2392), and EP–MOS (MSN 2347). See https:// entities to ship cargo on regularly-scheduled Mahan classified under ECCN 9A991.b, and its export or home.treasury.gov/news/press-releases/sm0395. See Airways’ flights to Tehran, Iran. My Aviation has reexport to Iran would require U.S. Government also https://www.treasury.gov/resource-center/ also provided Mahan Airways with passenger authorization pursuant to Sections 742.8 and 746.7 sanctions/OFAC-Enforcement/Pages/ booking services. See https://home.treasury.gov/ of the Regulations. 20180524.aspx. news/press-releases/sm484.
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2019 uncovered evidence that, on software subject to the Regulations was other violations, conspiring to export approximately ten occasions, Mahan provided to a company in Turkey and aircraft and parts to Mahan in violation had caused, aided and/or abetted the subsequently used to facilitate and of export control laws and the embargo unlicensed export of U.S.-origin items service Mahan’s operations into and out on Iran beginning around August 2012 subject to the Regulations from the of Turkey in further violation of the through May 2015. United States to Iran via Malaysia. The Regulations. In addition to detailing the operation items included helicopter shafts, Additionally, open source of multiple aircraft in violation of the transmitters, and other aircraft parts, information, including flight tracking Regulations,44 the November 24, 2020 some of which are listed on the data and news articles published in renewal order discussed a related TDO Commerce Control List and controlled October 2019, showed that Mahan issued on August 19, 2020, denying for on anti-terrorism grounds. The June 5, Airways was now operating a U.S.- 180 days the export privileges of 2019 order also detailed publicly origin Boeing 747 on routes between Indonesia-based PT MS Aero Support available flight tracking information Iranian airports in Tehran, Kish Island, (‘‘PTMS Aero’’), PT Antasena Kreasi showing that Mahan continued to and Mashhad. This aircraft, bearing (‘‘PTAK’’), PT Kandiyasa Energi Utama unlawfully operate a number of aircraft Iranian tail number EP–MNB, appears to (‘‘PTKEU’’), Sunarko Kuntjoro, Triadi subject to the EAR on flights into and be one of the three aircraft that Mahan Senna Kuntjoro, and Satrio Wiharjo out of Iran, including on routes to and illegally acquired via Blue Airways of Sasmito based on their involvement in 37 from Damascus, Syria. Armenia and U.K.-based Balli Group the unlicensed export of aircraft parts to The June 5, 2019 order also described that resulted in the issuance of the Mahan Airways—often in coordination 41 actions taken by both BIS and OFAC to original TDO. See supra at 10–12. with Mustafa Ovieci, a Mahan thwart efforts by entities connected to or Evidence was also described in the executive.45 These parties also acting on behalf of Mahan Airways to December 2, 2019 renewal order facilitated the shipment of damaged violate U.S. export controls and showing that on or about November 11, Mahan parts to the United States for sanctions related to Iran. On May 14, 2019, Mahan caused, aided and/or repair and subsequent export back to 2019, BIS added Manohar Nair, Basha abetted the unlicensed export of a U.S.- Iran in further violation of U.S. laws. In Asmath Shaikh, and two co-located origin atomic absorption spectrometer, both instances, the fact that the items companies that they operate, Emirates an item subject to the Regulations, from were destined to Iran/Mahan was Hermes General Trading and Presto the United States to Iran via the UAE. concealed from U.S. companies, Freight International, LLC, to the Entity Finally, publicly available flight shippers, and freight forwarders.46 List pursuant to Section 744.11 of the tracking information showed that Regulations, including for engaging in Mahan continued to unlawfully operate The November 24, 2020 renewal order activities to procure U.S.-origin items on a number of aircraft subject to the EAR also includes actions taken by other U.S. Mahan’s behalf.38 On January 24, 2019, on flights into and out of Iran, including government agencies such as OFAC’s OFAC designated as SDGTs Flight on routes to and from Guangzhou, August 19, 2020 designation of UAE- Travel LLC, which is Mahan’s general China, Istanbul, Turkey, and Kuala based Parthia Cargo, its CEO Amin service agent in Yerevan, Armenia, and Lumpur, Malaysia.42 Mahdavi, and Delta Parts Supply FZC as Qeshm Fars Air, an Iranian airline The May 29, 2020 renewal order cited SDGTs pursuant to Executive Order which operates two U.S.-origin Boeing Mahan’s operation of EP–MMD, EP– 13224 for providing ‘‘key parts and 747s 39 and is owned or controlled by MMF, and EP–MMI, aircraft originally logistics services for Mahan Air. . . .’’ Mahan, and also linked to the Islamic acquired from Al Naser Airlines, on The OFAC press release further states, Revolutionary Guard Corps-Qods Force international flights into and out of Iran in part, that Mahdavi ‘‘has directly 40 from/to Bangkok, Thailand, Dubai, UAE, coordinated the shipment of parts on (IRGC–QF). 47 The December 2, 2019 renewal order and Shanghai, China in violation of the behalf of Mahan Air.’’ In addition, noted that OEE’s on-going investigation TDO and EAR.43 The May 29, 2020 Mahdavi and Parthia Cargo were revealed that U.S.-origin passenger renewal order also detailed the indicted in the United States District flight and database management indictment of Ali Abdullah Alhay and Court for the District of Columbia for Issam Shammout, parties added to the violating sanctions on Iran.48 37 Specifically, on May 26, 2019, EP–MMJ (MSN TDO in May and July 2015, respectively, Moreover, in October 2020, the U.S. 526) flew from Damascus, Syria to Tehran, Iran. In in the United States District Court for District Court for the District of New addition, on May 24, 2019, EP–MNF (MSN 547) the District of Columbia. Alhay and flew on routes between Moscow, Russia and Jersey sentenced Joyce Eliasbachus to 18 Tehran, and on May 23, 2019, EP–MMF (MSN 376) Shammout were charged with, among months of confinement based on her flew from Dubai, UAE to Tehran. role in a conspiracy to export $2 million 38 See 84 FR 21233 (May 14, 2019). 41 The same open sources indicated this aircraft dollars’ worth of aircraft parts from the 39 These 747s are registered in Iran with tail continued to operate on flights within Iran to numbers EP–FAA and EP–FAB, respectively. include a May 11, 2020 flight from Tehran, Iran to 44 Publicly available flight tracking information 40 OFAC’s press release concerning these Kerman, Iran. shows that on November 13, 2020, EP–MMQ (MSN designations states that Qeshm Fars Air was being 42 Publicly available flight tracking information 449) flew on routes between Istanbul, Turkey and designated for ‘‘being owned or controlled by shows that on November 23, 2019, EP–MME (MSN Tehran, Iran, and on November 15, 2020, EP–MMI Mahan Air, as well as for assisting in, sponsoring, 371) flew from Guangzhou, China to Tehran, Iran, (MSN 416) flew on routes between Shenzhen, China or providing financial, material or technological and on November 21, 2019, EP–MMF (MSN 376) and Tehran. support for, or financial or other services to or in flew on routes between Istanbul, Turkey and 45 support of, the IRGC–QF,’’ and that Flight Travel Tehran, Iran. Additionally, on November 20, 2019, See 85 FR 52321 (Aug. 25, 2020). LLC was being designated for ‘‘acting for or on EP–MMQ (MSN 449) flew from Kuala Lumpur, 46 PTMS Aero, PTAK, PTKEU, and Sunarko behalf of Mahan Air.’’ It further states, inter alia, Malaysia, to Tehran, Iran. Kuntjoro were each indicted in December 2019 on that ‘‘Mahan Air employees fill Qeshm Fars Air 43 Publicly available flight tracking information multiple counts related to this conspiracy in the management positions, and Mahan Air provides shows that on May 8, 2020, EP–MMD (MSN 164) United States District Court for the District of technical and operational support for Qeshm Fars flew on routes between Bangkok, Thailand and Columbia. Air, facilitating the airline’s illicit operations.’’ See Tehran, Iran, and on May 10, 2020, EP–MMF (MSN 47 https://home.treasury.gov/news/press-releases/ https://home.treasury.gov/news/press-releases/ 376) flew on routes between Dubai, UAE and sm1098. sm590. See also https://www.treasury.gov/resource- Tehran. In addition, on May 9, 2020, EP–MMI 48 https://www.justice.gov/opa/pr/iranian- center/sanctions/OFAC-Enforcement/Pages/ (MSN 416) flew on routes between Shanghai, China national-and-uae-business-organization-charged- 20190124.aspx. and Tehran. criminal-conspiracy-violate-iranian.
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United States to Iran, including to the United States and abroad that they Street, Damascus, Syria, and Al Kolaa, Mahan Airways.49 should continue to avoid dealing with Beirut, Lebanon 151515, and 17–18 OEE’s on-going investigation since the Mahan Airways and Al Naser Airlines Margaret Street, 4th Floor, London, November 24, 2020 renewal order and the other denied persons, in W1W 8RP, United Kingdom, and further demonstrates the nature of connection with export and reexport Cumhuriyet Mah. Kavakli San St. Fulya, Mahan Airway’s prior actions and its transactions involving items subject to Cad. Hazar Sok. No.14/A Silivri, continued actions in violation of the the Regulations and in connection with Istanbul, Turkey, and when acting for or TDO and the Regulations, both directly any other activity subject to the on their behalf, any successors or and through its widespread network of Regulations. assigns, agents, or employees (each a procurement agents, front companies, ‘‘Denied Person’’ and collectively the III. Order and intermediaries. In particular, Mahan ‘‘Denied Persons’’) may not, directly or Airways continues to operate a number It is therefore ordered: indirectly, participate in any way in any of aircraft subject to the EAR, including, First, that MAHAN AIRWAYS, Mahan transaction involving any commodity, but not limited to, EP–MMH, EP–MMI, Tower, No. 21, Azadegan St., M.A. software or technology (hereinafter and EP–MMQ, on international flights Jenah Exp. Way, Tehran, Iran; PEJMAN collectively referred to as ‘‘item’’) into and out of Iran from/to Shanghai, MAHMOOD KOSARAYANIFARD A/K/ exported or to be exported from the China, and Dubai, United Arab A KOSARIAN FARD, P.O. Box 52404, United States that is subject to the EAR, Emirates, and Guangzhou, China, Dubai, United Arab Emirates; or in any other activity subject to the respectively. These flights have MAHMOUD AMINI, G#22 Dubai EAR including, but not limited to: continued since the April 27, 2021 Airport Free Zone, P.O. Box 393754, A. Applying for, obtaining, or using renewal request was submitted.50 Dubai, United Arab Emirates, and P.O. any license, license exception, or export Open source news reporting also Box 52404, Dubai, United Arab control document; indicates that after five years of Emirates, and Mohamed Abdulla Alqaz B. Carrying on negotiations maintenance, Mahan Air is now Building, Al Maktoum Street, Al Rigga, concerning, or ordering, buying, operating EP–MNE, a Boeing 747 on Dubai, United Arab Emirates; KERMAN receiving, using, selling, delivering, domestic flights within Iran.51 In AVIATION A/K/A GIE KERMAN storing, disposing of, forwarding, addition to this aircraft being one of the AVIATION, 42 Avenue Montaigne transporting, financing, or otherwise original three Boeing aircraft Mahan 75008, Paris, France; SIRJANCO servicing in any way, any transaction obtained in violation of the Regulations, TRADING LLC, P.O. Box 8709, Dubai, involving any item exported or to be any service or maintenance involving United Arab Emirates; MAHAN AIR exported from the United States that is parts subject to the EAR would further GENERAL TRADING LLC, 19th Floor Al subject to the EAR, or engaging in any violate the TDO. Moosa Tower One, Sheik Zayed Road, other activity subject to the EAR; or Through these prior and on-going Dubai 40594, United Arab Emirates; C. Benefitting in any way from any investigative efforts, OEE and its law MEHDI BAHRAMI, Mahan Airways- transaction involving any item exported enforcement partners are working to Istanbul Office, Cumhuriye Cad. Sibil or to be exported from the United States disrupt Mahan’s illicit acquisition of Apt No: 101 D:6, 34374 Emadad, Sisli that is subject to the EAR, or from any aircraft and parts as well as its role in Istanbul, Turkey; AL NASER AIRLINES other activity subject to the EAR. transporting or forwarding such items. A/K/A AL–NASER AIRLINES A/K/A Second, that no person may, directly AL NASER WINGS AIRLINE A/K/A or indirectly, do any of the following: C. Findings ALNASER AIRLINES AND AIR A. Export or reexport to or on behalf Under the applicable standard set FREIGHT LTD., Home 46, Al-Karrada, of a Denied Person any item subject to forth in Section 766.24 of the Babil Region, District 929, St 21, Beside the EAR; Regulations and my review of the entire Al Jadirya Private Hospital, Baghdad, B. Take any action that facilitates the record, I find that the evidence Iraq, and Al Amirat Street, Section 309, acquisition or attempted acquisition by presented by BIS convincingly St. 3/H.20, Al Mansour, Baghdad, Iraq, a Denied Person of the ownership, demonstrates that the denied persons and P.O. Box 28360, Dubai, United Arab possession, or control of any item have acted in violation of the Emirates, and P.O. Box 911399, Amman subject to the EAR that has been or will Regulations and the TDO; that such 11191, Jordan; ALI ABDULLAH ALHAY be exported from the United States, violations have been significant, A/K/A ALI ALHAY A/K/A ALI including financing or other support deliberate and covert; and that given the ABDULLAH AHMED ALHAY, Home activities related to a transaction foregoing and the nature of the matters 46, Al-Karrada, Babil Region, District whereby a Denied Person acquires or under investigation, there is a likelihood 929, St 21, Beside Al Jadirya Private attempts to acquire such ownership, of imminent violations. Therefore, Hospital, Baghdad, Iraq, and Anak possession or control; renewal of the TDO is necessary in the Street, Qatif, Saudi Arabia 61177; C. Take any action to acquire from or public interest to prevent imminent BAHAR SAFWA GENERAL TRADING, to facilitate the acquisition or attempted violation of the Regulations and to give P.O. Box 113212, Citadel Tower, Floor- acquisition from a Denied Person of any notice to companies and individuals in 5, Office #504, Business Bay, Dubai, item subject to the EAR that has been United Arab Emirates, and P.O. Box exported from the United States; 49 Eliasbachus’ arrest and arraignment were 8709, Citadel Tower, Business Bay, D. Obtain from a Denied Person in the detailed in the June 14, 2018 renewal order, as Dubai, United Arab Emirates; SKY United States any item subject to the described supra at 21. BLUE BIRD GROUP A/K/A SKY BLUE EAR with knowledge or reason to know 50 Publicly available flight tracking information BIRD AVIATION A/K/A SKY BLUE that the item will be, or is intended to shows that on May 14, 2021, EP–MMH (MSN 391) flew on routes between Shanghai, China and BIRD LTD A/K/A SKY BLUE BIRD FZC, be, exported from the United States; or Tehran, Iran, and on May 13, 2021, EP–MMI (MSN P.O. Box 16111, Ras Al Khaimah Trade E. Engage in any transaction to service 416) flew on routes between Dubai, United Arab Zone, United Arab Emirates; and ISSAM any item subject to the EAR that has Emirates and Tehran. In addition, on May 20, 2021, SHAMMOUT A/K/A MUHAMMAD been or will be exported from the EP–MMQ (MSN 346) flew on routes between Guangzhou, China and Tehran. ISAM MUHAMMAD ANWAR NUR United States and which is owned, 51 https://simpleflying.com/mahan-air-747-300- SHAMMOUT A/K/A ISSAM ANWAR, possessed or controlled by a Denied flies-again/. Philips Building, 4th Floor, Al Fardous Person, or service any item, of whatever
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origin, that is owned, possessed or person, and shall be published in the Scope of the Investigation controlled by a Denied Person if such Federal Register. service involves the use of any item This Order is effective immediately The products covered by this subject to the EAR that has been or will and shall remain in effect for 180 days. investigation are passenger tires from be exported from the United States. For Dated: May 21st, 2021. Thailand. For a complete description of the scope of this investigation, see purposes of this paragraph, servicing Kevin J. Kurland, Appendix I. means installation, maintenance, repair, Acting Assistant Secretary of Commerce for modification or testing. Export Enforcement. Third, that, after notice and Scope Comments [FR Doc. 2021–11194 Filed 5–26–21; 8:45 am] opportunity for comment as provided in BILLING CODE 3510–DT–P During the course of this section 766.23 of the EAR, any other investigation, Commerce received scope person, firm, corporation, or business comments from interested parties. organization related to a Denied Person DEPARTMENT OF COMMERCE Commerce issued a Preliminary Scope by ownership, control, position of Decision Memorandum to address these responsibility, affiliation or other International Trade Administration comments.3 We received comments connection in the conduct of trade or from interested parties on the business may also be made subject to [A–549–842] Preliminary Scope Decision the provisions of this Order. Passenger Vehicle and Light Truck Fourth, that this Order does not Memorandum, which we addressed in Tires From Thailand: Final Affirmative prohibit any export, reexport, or other the Final Scope Decision Determination of Sales at Less Than 4 transaction subject to the EAR where the Memorandum. With the exception of Fair Value only items involved that are subject to one revision to correct a typographical the EAR are the foreign-produced direct AGENCY: Enforcement and Compliance, error, Commerce is not modifying the product of U.S.-origin technology. International Trade Administration, scope language as it appeared in the In accordance with the provisions of Department of Commerce. correction to the Preliminary 5 Sections 766.24(e) of the EAR, Mahan SUMMARY: The Department of Commerce Determination. See Appendix I for the Airways, Al Naser Airlines, Ali (Commerce) determines that passenger final scope of the investigation. Abdullah Alhay, and/or Bahar Safwa vehicle and light truck tires (passenger Analysis of Comments Received General Trading may, at any time, tires) from Thailand are being, or are appeal this Order by filing a full written likely to be, sold in the United States at All issues raised in the case and statement in support of the appeal with less than fair value (LTFV) for the rebuttal briefs that were submitted by the Office of the Administrative Law period of investigation (POI) April 1, parties in this investigation are Judge, U.S. Coast Guard ALJ Docketing 2019, through March 31, 2020. addressed in the Issues and Decision Center, 40 South Gay Street, Baltimore, DATES: Applicable May 27, 2021. Memorandum. A list of the issues Maryland 21202–4022. In accordance FOR FURTHER INFORMATION CONTACT: Leo addressed in the Issues and Decision with the provisions of Sections Ayala or Myrna Lobo, AD/CVD Memorandum is attached to this notice 766.23(c)(2) and 766.24(e)(3) of the EAR, Operations, Office VII, Enforcement and Pejman Mahmood Kosarayanifard, at Appendix II. The Issues and Decision Compliance, International Trade Mahmoud Amini, Kerman Aviation, Memorandum is a public document and Administration, U.S. Department of Sirjanco Trading LLC, Mahan Air is on file electronically via Enforcement Commerce, 1401 Constitution Avenue General Trading LLC, Mehdi Bahrami, and Compliance’s Antidumping and NW, Washington, DC 20230; telephone: Sky Blue Bird Group, and/or Issam Countervailing Duty Centralized (202) 482–3945 or (202) 482–2371, Shammout may, at any time, appeal Electronic Service System (ACCESS). respectively. their inclusion as a related person by ACCESS is available to registered users filing a full written statement in support SUPPLEMENTARY INFORMATION: at https://access.trade.gov. In addition, a complete version of the Issues and of the appeal with the Office of the Background Administrative Law Judge, U.S. Coast Decision Memorandum can be accessed Guard ALJ Docketing Center, 40 South On January 6, 2021, Commerce directly at http://enforcement.trade.gov/ Gay Street, Baltimore, Maryland 21202– published in the Federal Register its frn. 4022. preliminary affirmative determination In accordance with the provisions of in the LTFV investigation of passenger Determination in the Less-Than-Fair-Value Section 766.24(d) of the EAR, BIS may tires from Thailand, in which we also Investigation of Passenger Vehicle and Light Truck seek renewal of this Order by filing a postponed the final determination until Tires from Thailand,’’ dated concurrently with, and May 21, 2021.1 We invited interested herby adopted by, this notice (Issues and Decision written request not later than 20 days Memorandum). before the expiration date. A renewal parties to comment on the Preliminary 3 See Memorandum, ‘‘Passenger Vehicle and request may be opposed by Mahan Determination. A summary of the events Light Truck Tires from the Republic of Korea, Airways, Al Naser Airlines, Ali that occurred since Commerce Taiwan, Thailand, and the Socialist Republic of published the Preliminary Vietnam: Preliminary Scope Comments Decision Abdullah Alhay, and/or Bahar Safwa Memorandum.’’ dated December 29, 2020 General Trading as provided in Section Determination may be found in the (Preliminary Scope Decision Memorandum). 2 766.24(d), by filing a written submission Issues and Decision Memorandum. 4 See Memorandum, ‘‘Passenger Vehicle and with the Assistant Secretary of Light Truck Tires from the Republic of Korea, 1 Commerce for Export Enforcement, See Passenger Vehicle and Light Truck Tires Taiwan, Thailand, and the Socialist Republic of from the Republic of Thailand: Preliminary Vietnam: Scope Comments Final Decision which must be received not later than Affirmative Determination of Sales at Less Than Memorandum.’’ dated concurrently with this notice seven days before the expiration date of Fair Value, Postponement of Final Determination, (Final Scope Decision Memorandum). the Order. and Extension of Provisional Measures, 86 FR 517 5 See Passenger Vehicle and Light Truck Tires A copy of this Order shall be provided (January 6, 2021) (Preliminary Determination), and from the Republic of Korea, Taiwan, Thailand, and accompanying Preliminary Decision Memorandum the Socialist Republic of Vietnam: Notice of to Mahan Airways, Al Naser Airlines, (PDM). Correction to Preliminary Determinations in Less- Ali Abdullah Alhay, and Bahar Safwa 2 See Memorandum, ‘‘Issues and Decision Than-Fair-Value Investigations, 86 FR 7252 General Trading and each related Memorandum for the Final Affirmative (January 27, 2021).
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Verification U.S. sale values for the merchandise others rate, as follows: (1) The cash 8 Commerce was unable to conduct on- under consideration. deposit rate for the respondents listed above will be equal to the company- site verification of the information Final Determination relied upon in making its final specific estimated weighted-average The final estimated weighted-average determination in this investigation. dumping margins determined in this dumping margins are as follows: However, we took additional steps in final determination; (2) if the exporter is not a respondent identified above, but lieu of an on-site verification to verify Estimated the information relied upon in making weighted- the producer is, then the cash deposit rate will be equal to the company- this final determination, in accordance Exporter/producer average with section 782(i) of the Tariff Act of dumping specific estimated weighted-average 6 margin dumping margin established for that 1930, as amended (the Act). (percent) producer of the subject merchandise; Changes Since the Preliminary Sumitomo Rubber (Thailand) and (3) the cash deposit rate for all other Determination Co., Ltd ...... 14.62 producers and exporters will be equal to Based on our analysis of the LLIT (Thailand) Co., Ltd ...... 21.09 the all others estimated weighted- comments received and our findings All Others ...... 17.08 average dumping margin. These related to our request for information in suspension of liquidation instructions lieu of verification, we made changes to Disclosure will remain in effect until further notice. the margin calculations regarding We intend to disclose the calculations Sumitomo Rubber (Thailand) Co., Ltd. International Trade Commission performed in this final determination Notification (SRT) and LLIT (Thailand) Co., Ltd. within is five days of the date of (LLIT). For a discussion of these publication of this notice to parties in In accordance with section 735(d) of changes, see Comments 1 through 5 of this proceeding in accordance with 19 the Act, we will notify the International 7 the Issues and Decision Memorandum. CFR 351.224(b). Trade Commission (ITC) of the final All-Others Rate Continuation of Suspension of affirmative determination of sales at LTFV. Because Commerce’s final Section 735(c)(5)(A) of the Act Liquidation determination is affirmative, in provides that the estimated weighted- In accordance with section accordance with section 735(b)(2) of the average dumping margin for all other 735(c)(1)(B) of the Act, Commerce will Act, the ITC will make its final producers and exporters not instruct U.S. Customs and Border determination as to whether the individually investigated shall be equal Protection (CBP) to continue to suspend domestic industry in the United States to the weighted average of the estimated liquidation of all appropriate entries of is materially injured, or threatened with weighted-average dumping margins passenger tires from Thailand, as material injury, by reason of imports or established for exporters and producers described in Appendix I of this notice, sales (or the likelihood of sales) of individually investigated excluding which are entered, or withdrawn from rates that are zero, de minimis, or warehouse, for consumption on or after passenger tires no later than 45 days determined entirely under section 776 January 6, 2021, the date of publication after this final determination. If the ITC of the Act. Pursuant to section in the Federal Register of the determines that such injury does not 735(c)(5)(B) of the Act, if the estimated affirmative Preliminary Determination. exist, this proceeding will be weighted-average dumping margins Pursuant to section 735(c)(1)(B)(ii) of terminated, and all cash deposits posted established for all exporters and the Act and 19 CFR 351.210(d), we will will be refunded and suspension of producers individually examined are instruct CBP to require a cash deposit liquidation will be lifted. If the ITC zero, de minimis or determined based equal to the estimated weighted-average determines that such injury does exist, entirely on facts otherwise available, dumping margin or the estimated all- Commerce will issue an AD order Commerce may use any reasonable directing CBP to assess, upon further method to establish the estimated 8 With two respondents under examination, instruction by Commerce, AD duties on weighted-average dumping margin for Commerce normally calculates: (A) A weighted- all imports of the subject merchandise average of the estimated weighted-average dumping entered, or withdrawn from warehouse, all other producers or exporters. margins calculated for the examined respondents; In this investigation, Commerce (B) a simple average of the estimated weighted- for consumption on or after the effective calculated estimated weighted-average average dumping margins calculated for the date of the suspension of liquidation, as dumping margins for SRT and LLIT that examined respondents; and (C) a weighted-average discussed above in the ‘‘Continuation of of the estimated weighted-average dumping margins Suspension of Liquidation’’ section. are not zero, de minimis, or based calculated for the examined respondents using each entirely on facts otherwise available. company’s publicly-ranged U.S. sale quantities for Notification Regarding Administrative the merchandise under consideration. Commerce Commerce calculated the all-others rate Protective Orders using a weighted-average of the then compares (B) and (C) to (A) and selects the rate closest to (A) as the most appropriate rate for all estimated weighted-average dumping other producers and exporters. See, e.g., Ball This notice will serve as a final margins calculated for the individually Bearings and Parts Thereof from France, Germany, reminder to the parties subject to examined mandatory respondents using Italy, Japan, and the United Kingdom: Final Results administrative protective order (APO) of each company’s publicly-ranged total of Antidumping Duty Administrative Reviews, Final Results of Changed-Circumstances Review, and their responsibility concerning the Revocation of an Order in Part, 75 FR 53661, 53663 disposition of proprietary information 6 See Commerce’s Letter, ‘‘In Lieu of Verification (September 1, 2010). As complete publicly ranged disclosed under APO in accordance Supplemental,’’ dated March 8, 2021; see also SRT’s sales data was available, Commerce based the all- with 19 CFR 351.305(a)(3). Timely Letter, ‘‘Passenger Vehicle and Light Truck Tires others rate on the publicly ranged sales data of the from the Republic of Korea (A–549–842): mandatory respondents. For a complete analysis of written notification of return or Verification Questionnaire Response,’’ dated March the data, please see Memorandum, ‘‘Final destruction of APO materials or 16, 2021; and LLIT’s Letter, ‘‘Passenger Vehicle and Determination of the Less-Than-Fair Value conversion to judicial protective order is Light Truck Tires from South Korea: Response to Investigation of Passenger Vehicles and Light Truck hereby requested. Failure to comply Request for Information In Lieu of Verification,’’ Tires from Korea: Rate for Non-Examined dated March 24, 2021. Companies,’’ dated concurrently with this FR with the regulations and the terms of an 7 See Issues and Decision Memorandum. notice. APO is a sanctionable violation.
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Notification to Interested Parties (4) tires designed and marketed exclusively maximum load limit listed at that cold as temporary use spare tires for passenger inflation pressure for that size designation in This determination and this notice are vehicles which, in addition, exhibit each of either the passenger car or light truck section issued and published pursuant to the following physical characteristics: of the Tire and Rim Association Year Book; sections 735(d) and 777(i)(1) of the Act, (a) The size designation and load index (7) tires designed and marketed exclusively and 19 CFR 351.210(c). combination molded on the tire’s sidewall for off-road use and which, in addition, Dated: May 21, 2021. are listed in Table PCT–1R (‘‘T’’ Type Spare exhibit each of the following physical Tires for Temporary Use on Passenger characteristics: Ryan Majerus, Vehicles) or PCT–1B (‘‘T’’ Type Diagonal (a) The size designation and load index Deputy Assistant Secretary for Policy and (Bias) Spare Tires for Temporary Use on combination molded on the tire’s sidewall Negotiations. Passenger Vehicles) of the Tire and Rim are listed in the off-the-road, agricultural, Association Year Book, industrial or ATV section of the Tire and Rim Appendix I (b) the designation ‘‘T’’ is molded into the Association Year Book, Scope of the Investigation tire’s sidewall as part of the size designation, (b) in addition to any size designation and, markings, the tire incorporates a warning, The scope of this investigation is passenger (c) the tire’s speed rating is molded on the prominently molded on the sidewall, that the vehicle and light truck tires. Passenger sidewall, indicating the rated speed in MPH tire is ‘‘Not For Highway Service’’ or ‘‘Not for vehicle and light truck tires are new or a letter rating as listed by Tire and Rim Highway Use’’, pneumatic tires, of rubber, with a passenger Association Year Book, and the rated speed (c) the tire’s speed rating is molded on the vehicle or light truck size designation. Tires is 81 MPH or a ‘‘M’’ rating; sidewall, indicating the rated speed in MPH covered by this investigation may be tube- (5) Tires designed and marketed or a letter rating as listed by the Tire and Rim type, tubeless, radial, or non-radial, and they exclusively as temporary use spare tires for Association Year Book, and the rated speed may be intended for sale to original light trucks which, in addition, exhibit each does not exceed 55 MPH or a ‘‘G’’ rating, and equipment manufacturers or the replacement (d) the tire features a recognizable off-road market. of the following physical characteristics: tread design; Subject tires have, at the time of (a) The tires have a 265/70R17, 255/80R17, (8) Tires designed and marketed for off- importation, the symbol ‘‘DOT’’ on the 265/70R16, 245/70R17, 245/75R17, 245/ sidewall, certifying that the tire conforms to 70R18, or 265/70R18 size designation; road use as all-terrain-vehicle (ATV) tires or applicable motor vehicle safety standards. (b) ‘‘Temporary Use Only’’ or ‘‘Spare’’ is utility-terrain-vehicle (UTV) tires, and which, Subject tires may also have the following molded into the tire’s sidewall; in addition, exhibit each of the following prefixes or suffix in their tire size (c) the tread depth of the tire is no greater characteristics: designation, which also appears on the than 6.2 mm; and (a) The tire’s speed rating is molded on the sidewall of the tire: (d) Uniform Tire Quality Grade Standards sidewall, indicating the rated speed in MPH Prefix designations: (‘‘UTQG’’) ratings are not molded into the or a letter rating as listed by the Tire and Rim P—Identifies a tire intended primarily for tire’s sidewall with the exception of 265/ Association Year Book, and the rated speed service on passenger cars. 70R17 and 255/80R17 which may have does not exceed 87 MPH or an ‘‘N’’ rating, LT—Identifies a tire intended primarily for UTQG molded on the tire sidewall; and service on light trucks. (6) tires designed and marketed exclusively (b) both of the following physical Suffix letter designations: for specialty tire (ST) use which, in addition, characteristics are satisfied: LT—Identifies light truck tires for service exhibit each of the following conditions: (i) The size designation and load index on trucks, buses, trailers, and multipurpose (a) The size designation molded on the combination molded on the tire’s sidewall passenger vehicles used in nominal highway tire’s sidewall is listed in the ST sections of does not match any of those listed in the service. the Tire and Rim Association Year Book, passenger car or light truck sections of the All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all (b) the designation ‘‘ST’’ is molded into the Tire and Rim Association Year Book, and tires with an ‘‘LT’’ suffix in their sidewall tire’s sidewall as part of the size designation, (ii) The size designation and load index markings are covered by this investigation (c) the tire incorporates a warning, combination molded on the tire’s sidewall regardless of their intended use. prominently molded on the sidewall, that the matches any of the following size designation In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ tire is ‘‘For Trailer Service Only’’ or ‘‘For (American standard or metric) and load prefix or suffix in their sidewall markings, as Trailer Use Only’’, index combinations: well as all tires that include any other prefix (d) the load index molded on the tire’s sidewall meets or exceeds those load indexes or suffix in their sidewall markings, are American Metric size Load index included in the scope, regardless of their listed in the Tire and Rim Association Year standard intended use, as long as the tire is of a size Book for the relevant ST tire size, and that fits passenger cars or light trucks. Sizes (e) either 26x10R12 ...... 254/70R/12 72 that fit passenger cars and light trucks (i) the tire’s speed rating is molded on the 27x10R14 ...... 254/65R/14 73 include, but are not limited to, the numerical sidewall, indicating the rated speed in MPH 28x10R14 ...... 254/70R/14 75 size designations listed in the passenger car or a letter rating as listed by Tire and Rim 28x10R14 ...... 254/70R/14 86 section or light truck section of the Tire and Association Year Book, and the rated speed 30X10R14 ...... 254/80R/14 79 Rim Association Year Book, as updated does not exceed 81 MPH or an ‘‘M’’ rating; 30x10R15 ...... 254/75R/15 78 annually. The scope includes all tires that are or 30x10R14 ...... 254/80R/14 90 of a size that fits passenger cars or light (ii) the tire’s speed rating molded on the 31x10R14 ...... 254/85R/14 81 trucks, unless the tire falls within one of the sidewall is 87 MPH or an ‘‘N’’ rating, and in 32x10R14 ...... 254/90R/14 95 specific exclusions set out below. either case the tire’s maximum pressure and 32x10R15 ...... 254/85R/15 83 Passenger vehicle and light truck tires, maximum load limit are molded on the 32x10R15 ...... 254/85R/15 94 whether or not attached to wheels or rims, sidewall and either 33x10R15 ...... 254/90R/15 86 are included in the scope. However, if a (1) both exceed the maximum pressure and 33x10R15 ...... 254/90R/15 95 subject tire is imported attached to a wheel maximum load limit for any tire of the same 35x9.50R15 ..... 241/105R/15 82 or rim, only the tire is covered by the scope. size designation in either the passenger car 35x10R15 ...... 254/100R/15 97 Specifically excluded from the scope are or light truck section of the Tire and Rim the following types of tires: Association Year Book; or The products covered by this investigation (1) Racing car tires; such tires do not bear (2) if the maximum cold inflation pressure are currently classified under the following the symbol ‘‘DOT’’ on the sidewall and may molded on the tire is less than any cold Harmonized Tariff Schedule of the United be marked with ‘‘ZR’’ in size designation; inflation pressure listed for that size States (HTSUS) subheadings: 4011.10.10.10, (2) pneumatic tires, of rubber, that are not designation in either the passenger car or 4011.10.10.20, 4011.10.10.30, 4011.10.10.40, new, including recycled and retreaded tires; light truck section of the Tire and Rim 4011.10.10.50, 4011.10.10.60, 4011.10.10.70, (3) non-pneumatic tires, such as solid Association Year Book, the maximum load 4011.10.50.00, 4011.20.10.05, and rubber tires; limit molded on the tire is higher than the 4011.20.50.10. Tires meeting the scope
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description may also enter under the DC 20230; telephone: (202) 482–2769 (the Act). For a full description of the following HTSUS subheadings: and (202) 482–5831, respectively. methodology underlying our 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, SUPPLEMENTARY INFORMATION: conclusions, see the Preliminary 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, Decision Memorandum. A list of the 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, Background 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, topics is included in the Preliminary and 8708.70.60.60. While HTSUS On March 10, 2020, Commerce Decision Memorandum as Appendix I to subheadings are provided for convenience published in the Federal Register the this notice. The Preliminary Decision and for customs purposes, the written notice of initiation of an AD Memorandum is a public document and description of the subject merchandise is administrative review on softwood is made available to the public via dispositive. lumber from Canada.1 On March 10, Enforcement and Compliance’s Appendix II 2020, based on timely requests for Antidumping and Countervailing Duty administrative reviews, Commerce Centralized Electronic Service System List of Topics Discussed in the Issues and initiated an AD administrative review (ACCESS). ACCESS is available to Decision Memorandum covering 268 companies and has not registered users at https:// I. Summary rescinded the review of any of these access.trade.gov. In addition, a complete II. Background companies.2 Thus, the review covers version of the Preliminary Decision III. Changes from the Preliminary 268 producers/exporters of the subject Memorandum is available at http:// Determination enforcement.trade.gov/frn/. IV. Scope of the Investigation merchandise, including mandatory V. Discussion of the Issues respondents Canfor 3 and West Fraser.4 Preliminary Results of the Comment 1: SRT’s U.S. Date of Sale The remaining companies were not Administrative Review Comment 2: SRT’s Direct Expenses selected for individual examination and We preliminarily determine that the Comment 3: SRT’s Warranty Costs remain subject to this administrative following weighted-average dumping Comment 4: SRT’s Differential Pricing review. On April 24, 2020 and July 21, margins exist for the period January 1, Analysis 2020, Commerce tolled all deadlines in Comment 5: Whether LLIT Satisfies the 2019, through December 31, 2019: administrative reviews by 50 days and Requirements for the Duty Drawback Adjustment and the Appropriate 60 days, respectively, thereby extending Weighted- the deadline for issuing the preliminary Calculation Methodology for LLIT and Exporter/producer average SRT results of this review.5 On January 8, margin VI. Recommendation 2021, we extended the preliminary (percent) results until May 20, 2021.6 [FR Doc. 2021–11264 Filed 5–26–21; 8:45 am] Canfor Corporation/Canadian BILLING CODE 3510–DS–P Scope of the Order Forest Products Ltd./Canfor Wood Products Marketing Ltd 18.62 The product covered by this review is West Fraser Mills Ltd./Blue DEPARTMENT OF COMMERCE softwood lumber from Canada. For a full Ridge Lumber Inc./Manning description of the scope, see the Forest Products Ltd./and International Trade Administration Preliminary Decision Memorandum.7 Sundre Forest Products Inc .... 6.58 Non-Selected Companies ...... 12.05 [A–122–857] Methodology Certain Softwood Lumber Products Commerce is conducting this review Rate for Companies Not Individually From Canada: Preliminary Results of in accordance with section 751(a)(1)(B) Examined Antidumping Duty Administrative of the Tariff Act of 1930, as amended Generally, when calculating margins Review for non-selected respondents, 1 See Initiation of Antidumping and Countervailing Duty Administrative Reviews, 85 FR Commerce looks to section 735(c)(5) of AGENCY: Enforcement and Compliance, the Act for guidance, which provides International Trade Administration, 13860 (March 10, 2020). 2 Id. instructions for calculating the all- Department of Commerce. 3 As described in the Preliminary Decision others margin in an investigation. SUMMARY: The Department of Commerce Memorandum, we have treated Canfor Corporation, Section 735(c)(5)(A) of the Act provides (Commerce) is conducting an Canadian Forest Products Ltd., and Canfor Wood that when calculating the all-others administrative review of the Products Marketing Ltd. (collectively, Canfor) as a single entity. See Memorandum, ‘‘Decision margin, Commerce will exclude any antidumping duty (AD) order on certain Memorandum for the Preliminary Results of zero and de minimis weighted-average softwood lumber products (softwood Antidumping Duty Administrative Review: Certain dumping margins, as well as any lumber) from Canada. The period of Softwood Lumber Products from Canada; 2019,’’ weighted-average dumping margins review (POR) is January 1, 2019, dated concurrently with, and hereby adopted by, this notice (Preliminary Decision Memorandum) at based on total facts available. through December 31, 2019. Commerce 5. Accordingly, Commerce’s usual practice preliminarily determines that the 4 As described in the Preliminary Decision has been to average the margins for producers/exporters subject to this Memorandum, we have treated West Fraser Mills selected respondents, excluding margins review made sales of subject Ltd., Blue Ridge Lumber Inc., Manning Forest Products Ltd., and Sundre Forest Products Inc. that are zero, de minimis, or based merchandise at less than normal value. (collectively, West Fraser) as a single entity. See entirely on facts available. We invite interested parties to comment Preliminary Decision Memorandum at 5–6. In this review, we calculated a on these preliminary results. 5 See Memorandum, ‘‘Tolling of Deadlines for weighted-average dumping margin of DATES: Applicable May 27, 2021. Antidumping and Countervailing Duty 18.62 percent for Canfor and 6.58 Administrative Reviews in Response to Operational FOR FURTHER INFORMATION CONTACT: Jeff Adjustments Due to COVID–19,’’ dated April 24, percent for West Fraser. In accordance Pedersen (Canfor), and Maisha Cryor 2020; and Memorandum, ‘‘Tolling of Deadlines for with section 735(c)(5)(A) of the Act, (West Fraser), AD/CVD Operations, Antidumping and Countervailing Duty Commerce assigned the weighted- Office IV, Enforcement and Compliance, Administrative Reviews,’’ dated July 21, 2020. average of these two calculated 6 See Memorandum ‘‘Extension of Deadline for International Trade Administration, Preliminary Results of Second Antidumping Duty weighted-average dumping margins, U.S. Department of Commerce, 1401 Administrative Review,’’ dated January 8, 2021. 12.05 percent, to the non-selected Constitution Avenue NW, Washington, 7 See Preliminary Decision Memorandum at 3–5. companies in these preliminary results.
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The rate calculated for the non-selected address, and telephone number; (2) the 751(a)(2)(C) of the Act: (1) The cash companies is a weighted-average number of participants; and (3) a list of deposit rate for companies subject to percentage margin which is calculated issues to be discussed. Issues raised in this review will be equal to the dumping based on the U.S. values of the two the hearing will be limited to those margin established in the final results of reviewed companies with an affirmative raised in the respective case briefs. the review; (2) for merchandise exported AD margin.8 Accordingly, we have Commerce intends to issue the final by companies not covered in this review applied a rate of 12.05 percent to the results of this administrative review, but covered in a prior segment of this non-selected companies.9 including the results of its analysis of proceeding, the cash deposit rate will the issues raised in any written briefs, continue to be the company-specific rate Disclosure not later than 120 days after the date of published for the most recent period; (3) We intend to disclose the calculations publication of these preliminary results if the exporter is not a firm covered in performed for these preliminary results in the Federal Register, pursuant to this review, a prior review, or the less- to the interested parties within five days section 751(a)(3)(A) of the Act, unless than-fair-value (LTFV) investigation but after public announcement of the extended. the producer is, the cash deposit rate preliminary results in accordance with will be the rate established for the most Assessment Rate 19 CFR 351.224(b). recently completed segment for the Upon issuance of the final results, Public Comment producer of the merchandise; (4) the Commerce will determine, and U.S. cash deposit rate for all other producers Pursuant to 19 CFR 351.309(c), Customs and Border Protection (CBP) or exporters will continue to be the 6.04 interested parties may submit case briefs shall assess, antidumping duties on all percent, the all-others rate established to the Assistant Secretary for appropriate entries covered by this in the LTFV investigation.17 These cash Enforcement and Compliance not later review.14 If a respondent’s weighted- deposit requirements, when imposed, than 30 days after the date of average dumping margin is above de shall remain in effect until further publication of this notice, unless minimis in the final results of this notice. Commerce alters the time limit. Rebuttal review, we will calculate an importer- briefs, limited to issues raised in the specific assessment rate based on the Notification to Importers case briefs, may be filed not later than ratio of the total amount of dumping This notice serves as a preliminary seven days after the date for filing case calculated for each importer’s examined reminder to importers of their briefs.10 Parties who submit case briefs sales and the total entered value of the responsibility under 19 CFR or rebuttal briefs in this administrative sales in accordance with 19 CFR 351.402(f)(2) to file a certificate review are encouraged to submit with 351.212(b)(1).15 If a respondent’s regarding the reimbursement of each argument: (1) A statement of the weighted-average dumping margin or an antidumping duties prior to liquidation issue; (2) a brief summary of the importer-specific assessment rate is zero of the relevant entries during this period argument; and (3) a table of or de minimis in the final results of of review. Failure to comply with this authorities.11 Commerce has modified review, we will instruct CBP to requirement could result in Commerce’s certain of its requirements for service of liquidate the appropriate entries presumption that reimbursement of documents containing business without regard to antidumping duties in antidumping duties occurred and the proprietary information, until further accordance with the Final Modification subsequent assessment of double notice.12 for Reviews.16 The final results of this antidumping duties. Pursuant to 19 CFR 351.310(c), administrative review shall be the basis interested parties who wish to request a for the assessment of antidumping Notification to Interested Parties hearing, must submit a written request duties on entries of merchandise under Commerce is issuing and publishing to the Assistant Secretary for review and for future deposits of these results in accordance with Enforcement and Compliance, filed estimated duties, where applicable. We sections 751(a)(1) and 777(i) of the Act, electronically via ACCESS. An intend to issue liquidation instructions and 19 CFR 351.221(b)(4). electronically filed document must be to CBP no earlier than 35 days after date Dated: May 20, 2021. received successfully in its entirety via of publication of the final results of this Ryan Majerus, ACCESS by 5:00 p.m. Eastern Time review in the Federal Register. within 30 days after the date of Deputy Assistant Secretary for Policy and publication of this notice.13 Requests Cash Deposit Requirements Negotiations. should contain: (1) The party’s name, The following cash deposit Appendix I requirements for estimated antidumping List of Topics Discussed in the Preliminary 8 See Ball Bearings and Parts Thereof from duties will be effective upon publication Decision Memorandum France, Germany, Italy, Japan, and the United of the notice of final results of this Kingdom: Final Results of Antidumping Duty I. Summary Administrative Reviews, Final Results of Changed- review for all shipments of softwood II. Background Circumstances Review, and Revocation of an Order lumber from Canada entered, or III. Scope of the Order in Part, 75 FR 53661, 53663 (September 1, 2010). withdrawn from warehouse, for IV. Affiliation and Collapsing of Affiliates 9 See Memorandum, ‘‘Calculation of the Rate for consumption on or after the date of V. Particular Market Situation Allegation Non-Selected Respondents,’’ dated concurrently with this notice. A list of the non-selected publication as provided by section VI. Unexamined Respondents companies under review is included as Attachment VII. Discussion of the Methodology II. 14 See 19 CFR 351.212(b). VIII. Recommendation 10 15 See 19 CFR 351.309(d); and 19 CFR 351.303 In these preliminary results, Commerce applied Appendix II (for general filing requirements). the assessment rate calculation method adopted in 11 See 19 CFR 351.309(c)(2) and (d)(2). Antidumping Proceedings: Calculation of the Non-Selected Companies Under Review 12 See Temporary Rule Modifying AD/CVD Weighted-Average Dumping Margin and Service Requirements Due to COVID–19, 85 FR Assessment Rate in Certain Antidumping Duty 1. 0729670 B.C. Ltd. DBA Anderson Sales 17006 (March 26, 2020); and Temporary Rule Proceedings; Final Modification, 77 FR 8101 Modifying AD/CVD Service Requirements Due to (February 14, 2012) (Final Modification for 17 See Certain Softwood Lumber Products from COVID–19; Extension of Effective Period, 85 FR Reviews). Canada: Antidumping Duty Order and Partial 41363 (July 10, 2020). 16 See Final Modification for Reviews, 77 FR at Amended Final Determination, 83 FR 350 (January 13 See 19 CFR 351.310(c). 8103; and 19 CFR 351.106(c)(2). 3, 2018).
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2. 1074712 BC Ltd. 73. Conifex Fibre Marketing Inc. 147. Les Produits Forestiers D&G Ltee (aka 3. 258258 B.C. Ltd., dba Pacific Coast Cedar 74. Cowichan Lumber Ltd. D&G Forest Products Ltd.) Products 75. CS Manufacturing Inc. (dba Cedarshed) 148. Leslie Forest Products Ltd. 4. 5214875 Manitoba Ltd. 76. CWP—Industriel Inc. 149. Lignum Forest Products LLP 5. 752615 B.C Ltd 77. CWP—Montre´al Inc. 150. Linwood Homes Ltd. 6. 9224–5737 Quebec Inc. (aka A.G. Bois) 78. D & D Pallets Ltd. 151. Longlac Lumber Inc. 7. A.B. Cedar Shingle Inc. 79. Dakeryn Industries Ltd. 152. Lulumco Inc. 8. Absolute Lumber Products Ltd. 80. Decker Lake Forest Products Ltd. 153. Magnum Forest Products Ltd. 9. AJ Forest Products Ltd. 81. Delco Forest Products Ltd. 154. Maibec Inc. 10. Alberta Spruce Industries Ltd. 82. Delta Cedar Specialties Ltd. 155. Manitou Forest Products Ltd. 11. Aler Forest Products Ltd. 83. Devon Lumber Co. Ltd. 156. Marcel Lauzon Inc. 12. Alpa Lumber Mills Inc. 84. DH Manufacturing Inc. 157. Marwood Ltd. 13. American Pacific Wood Products 85. Direct Cedar Supplies Ltd. 158. Materiaux Blanchet Inc. 14. Anbrook Industries Ltd. 86. Doubletree Forest Products Ltd. 159. Matsqui Management and Consulting 15. Andersen Pacific Forest Products Ltd. 87. Downie Timber Ltd. Services Ltd., dba Canadian Cedar 16. Anglo American Cedar Products Ltd.; 88. Dunkley Lumber Ltd. Roofing Depot Anglo-American Cedar Products Ltd. 89. EACOM Timber Corporation 160. Metrie Canada Ltd. 17. Antrim Cedar Corporation 90. East Fraser Fiber Co. Ltd. 161. Mid Valley Lumber Specialties Ltd. 18. Aquila Cedar Products Ltd. 91. Edgewood Forest Products Inc. 162. Midway Lumber Mills Ltd. 19. Arbec Lumber Inc. 92. ER Probyn Export Ltd. 163. Mill & Timber Products Ltd. 20. Aspen Planers Ltd. 93. Eric Goguen & Sons Ltd. 164. Millar Western Forest Products Ltd. 21. B&L Forest Products Ltd. 94. Falcon Lumber Ltd. 165. Mobilier Rustique (Beauce) Inc. 22. B.B. Pallets Inc. 95. Fontaine Inc. 166. MP Atlantic Wood Ltd. 23. Babine Forest Products Limited 96. Foothills Forest Products Inc. 167. Multicedre Ltee 24. Bakerview Forest Products Inc. 97. Fornebu Lumber Company Inc. 168. Murray Brothers Lumber Company Ltd. 25. Bardobec Inc. 98. Fraser Specialty Products Ltd. 169. Nakina Lumber Inc. 26. Barrette-Chapais Ltee 99. Fraserview Cedar Products 170. National Forest Products Ltd. 27. BarretteWood Inc. 100. FraserWood Inc. 171. New Future Lumber Ltd. 28. Benoıˆt & Dionne Produits Forestiers Ltee 101. FraserWood Industries Ltd. 172. Nicholson and Cates Ltd. (aka Benoıˆt & Dionne Forest Products 102. Furtado Forest Products Ltd. 173. Norsask Forest Products Limited Ltd.) 103. G & R Cedar Ltd. Partnership 29. Best Quality Cedar Products Ltd. 104. Galloway Lumber Company Ltd. 174. North American Forest Products Ltd. 30. Blanchet Multi Concept Inc. 105. Glandell Enterprises Inc. (located in Abbotsford, British Columbia) 31. Blanchette & Blanchette Inc. 106. Goat Lake Forest Products Ltd. 175. North American Forest Products Ltd. 32. Bois Aise´ de Montre´al Inc. 107. Goldband Shake & Shingle Ltd. (located in Saint-Quentin, New 33. Bois Bonsaı¨ Inc. 108. Golden Ears Shingle Ltd. Brunswick) 34. Bois Daaquam Inc. 109. Goldwood Industries Ltd. 176. North Enderby Timber Ltd. 35. Bois D’oeuvre Cedrico Inc. (aka Cedrico 110. Goodfellow Inc. 177. Oikawa Enterprises Ltd. Lumber Inc.) 111. Gorman Bros. Lumber Ltd. 178. Olympic Industries Inc. 36. Bois et Solutions Marketing SPEC, Inc. 112. Groupe Creˆte Chertsey Inc. 179. Olympic Industries ULC 37. Boisaco Inc. 113. Groupe Creˆte ivision St-Faustin Inc. 180. Oregon Canadian Forest Products 38. Boscus Canada Inc. 114. Groupe Lebel Inc. 181. Pacific Coast Cedar Products Ltd. 39. Boucher Bros. Lumber Ltd. 115. Groupe Lignarex Inc. 182. Pacific Pallet Ltd. 40. BPWood Ltd. 116. H.J. Crabbe & Sons Ltd. 183. Pacific Western Wood Works Ltd. 41. Bramwood Forest Inc. 117. Haida Forest Products Ltd. 184. Parallel Wood Products Ltd. 42. Brink Forest Products Ltd. 118. Harry Freeman & Son Ltd. 185. Pat Power Forest Products Corporation 43. Brunswick Valley Lumber Inc. 119. Hornepayne Lumber LP 186. Phoenix Forest Products Inc. 44. Busque & Laflamme Inc. 120. Imperial Cedar Products Ltd. 187. Pine Ideas Ltd. 45. C&C Wood Products Ltd. 121. Imperial Shake Co. Ltd. 188. Pioneer Pallet & Lumber Ltd. 46. Caledonia Forest Products Inc. 122. Independent Building Materials 189. Porcupine Wood Products Ltd. 47. Campbell River Shake & Shingle Co. Ltd. Distribution Inc. 190. Portbec Forest Products Ltd. 48. Canadian American Forest Products Ltd. 123. Interfor Corporation 191. Power Wood Corp. 49. Canadian Wood Products Inc. 124. Island Cedar Products Ltd. 192. Precision Cedar Products Corp. 50. Canasia Forest Industries Ltd. 125. Ivor Forest Products Ltd. 193. Prendiville Industries Ltd. (aka Kenora 51. Canusa Cedar Inc. 126. J&G Log Works Ltd. Forest Products) 52. Canyon Lumber Company Ltd. 127. J.D. Irving, Limited 194. Produits Forestiers Petit Paris Inc. 53. Careau Bois Inc. 128. J.H. Huscroft Ltd. 195. Produits forestiers Temrex, s.e.c. 54. Carrier & Begin Inc. 129. Jan Woodlands (2001) Inc. 196. Produits Matra Inc. 55. Carrier Forest Products Ltd. 130. Jasco Forest Products Ltd. 197. Promobois G.D.S. Inc. 56. Carrier Lumber Ltd. 131. Jazz Forest Products Ltd. 198. Rayonier A.M. Canada GP 57. Carter Forest Products Inc. 132. Jhajj Lumber Corporation 199. Rembos Inc. 58. Cedar Valley Holdings Ltd. 133. Kalesnikoff Lumber Co. Ltd. 200. Rene Bernard Inc. 59. Cedarline Industries Ltd. 134. Kan Wood Ltd. 201. Resolute Growth Canada Inc./Forest 60. Central Alberta Pallet Supply 135. Kebois Lte´e/Ltd Products Mauricie LP, Socie´te´ en 61. Central Cedar Ltd. 136. Keystone Timber Ltd. commandite Scierie Opitciwan/Resolute- 62. Central Forest Products Inc. 137. Kootenay Innovative Wood Ltd. LP Engineered Wood Larouche Inc./ 63. Centurion Lumber Ltd. 138. Lafontaine Lumber Inc. Resolute-LP Engineered Wood St-Prime 64. Chaleur Sawmills LP 139. Langevin Forest Products Inc. Limited Partnership/Resolute FP Canada 65. Channel-ex Trading Corporation 140. Lecours Lumber Co. Limited Inc. 66. Clair Industrial Development Corp. Ltd. 141. Ledwidge Lumber Co. Ltd. 202. Richard Lutes Cedar Inc. 67. Clermond Hamel Lte´e 142. Leisure Lumber Ltd. 203. Rielly Industrial Lumber Inc. 68. CNH Products Inc. 143. Les Bois d’oeuvre Beaudoin Gauthier 204. Roland Boulanger & Cie Ltee 69. Coast Clear Wood Ltd. Inc. 205. S & K Cedar Products Ltd. 70. Coast Mountain Cedar Products Ltd. 144. Les Bois Martek Lumber 206. S&R Sawmills Ltd. 71. Commonwealth Plywood Co. Ltd. 145. Les Bois Traite´s M.G. Inc. 207. S&W Forest Products Ltd. 72. Comox Valley Shakes Ltd. 146. Les Chantiers de Chibougamau Ltee 208. San Industries Ltd.
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209. Sawarne Lumber Co. Ltd. DEPARTMENT OF COMMERCE AK Steel Corporation, California Steel 210. Scierie Alexandre Lemay & Fils Inc. Industries, and Steel Dynamics, Inc. 211. Scierie P.S.E. Inc. International Trade Administration (collectively, the petitioners), and YP.3 212. Scierie St-Michel Inc. We received rebuttal briefs from YP and [A–583–856] 213. Scierie West Brome Inc. the petitioners.4 On March 18, 2021, we 214. Scotsburn Lumber Co. Ltd. Certain Corrosion-Resistant Steel extended the deadline for the final 215. Sechoirs de Beauce Inc. 5 Products From Taiwan: Final Results results of this review to May 21, 2021. 216. Serpentine Cedar Ltd. A complete summary of the events that 217. Serpentine Cedar Roofing Ltd. of the Antidumping Duty Administrative Review and Final occurred since publication of the 218. Sexton Lumber Co. Ltd. Preliminary Results is found in the 219. Sigurdson Forest Products Ltd. Determination of No Shipments; 2018– 2019 Issues and Decision Memorandum.6 220. Silvaris Corporation Commerce conducted this review in 221. Silver Creek Premium Products Ltd. AGENCY: Enforcement and Compliance, accordance with section 751 of the 222. Sinclar Group Forest Products Ltd. International Trade Administration, Tariff Act of 1930, as amended (the Act). 223. Skana Forest Products Ltd. Department of Commerce. 224. Skeena Sawmills Ltd. SUMMARY: The Department of Commerce Scope of the Order 225. Sound Spars Enterprise Ltd. (Commerce) determines that Yieh Phui The product covered by the order is 226. South Beach Trading Inc. Enterprise Co., Ltd. (YP) made sales of flat-rolled steel products, either clad, 227. Specialiste du Bardeau de Cedre Inc. 228. Spruceland Millworks Inc. subject merchandise at less than normal plated, or coated with corrosion- 229. Star Lumber Canada Ltd. value (NV) during the period of review resistant metals such as zinc, aluminum, 230. Sundher Timber Products Ltd. (POR) July 1, 2018, through June 30, or zinc-, aluminum-, nickel- or iron- 231. Surrey Cedar Ltd. 2019. We also find that Prosperity Tieh based alloys, whether or not corrugated 232. T.G. Wood Products Ltd. Enterprise Co., Ltd. (Prosperity) did not or painted, varnished, laminated, or 233. Taan Forest Limited Partnership (aka sell subject merchandise at less than NV coated with plastics or other non- Taan Forest Products) during the POR. Further, we determine metallic substances in addition to the 234. Taiga Building Products Ltd. that Synn Co., Ltd. (Synn) had no metallic coating. The subject 235. Tall Tree Lumber Company shipments of subject merchandise 236. Teal Cedar Products Ltd. during the POR. Prosperity, YP and Synn was challenged by respondent parties in the investigation and is 237. Tembec Inc. DATES: Applicable May 27, 2021. subject to pending litigation. In the first 238. Terminal Forest Products Ltd. FOR FURTHER INFORMATION CONTACT: antidumping duty administrative review, we 239. The Teal Jones Group Charles Doss or Kate Sliney, AD/CVD determined to no longer collapse Prosperity with YP and Synn but we continued to collapse YP and 240. The Wood Source Inc. Operations, Office III, Enforcement and 241. Tolko Industries Ltd.; Tolko Marketing Synn and treat them as a single entity. See Certain Compliance, International Trade Corrosion-Resistant Steel Products from Taiwan: and Sales Ltd.; Gilbert Smith Forest Administration, U.S. Department of Preliminary Results of Antidumping Duty Products Ltd. Commerce, 1401 Constitution Avenue Administrative Review and Partial Rescission of 242. Trans-Pacific Trading Ltd. Antidumping Duty Administrative Review; 2016- NW, Washington, DC 20230; telephone: 243. Triad Forest Products Ltd. 2017, 83 FR 39679 (August 10, 2018); unchanged (202) 482–4474 or (202) 482- 2437, 244. Twin Rivers Paper Co. Inc. in Certain Corrosion-Resistant Steel Products from respectively. Taiwan: Final Results of Antidumping Duty 245. Tyee Timber Products Ltd. Administrative Review; 2016–2017, 83 FR 64527 246. Universal Lumber Sales Ltd. SUPPLEMENTARY INFORMATION: (December 17, 2018), amended by Certain 247. Usine Sartigan Inc. Corrosion-Resistant Steel Products from Taiwan: 248. Vaagen Fibre Canada ULC Background Amended Final Results of Antidumping Duty 249. Valley Cedar 2 Inc. Administrative Review; 2016–2017, 84 FR 5991 On November 23, 2020, Commerce (February 25, 2019). In the Preliminary Results of 250. Vancouver Island Shingle Ltd. published the Preliminary Results for the instant review, we preliminarily found YP and 251. Vancouver Specialty Cedar Products this administrative review.1 We invited Synn to no longer be collapsed, and made a Ltd. interested parties to comment on the preliminary finding of no shipments with respect to 252. Vanderhoof Specialty Wood Products Synn. As discussed further below, we sustain our Preliminary Results. This review covers preliminary determination finding YP and Synn to Ltd. two mandatory respondents: Prosperity be not collapsed and our preliminary determination 253. Visscher Lumber Inc. and YP.2 We received case briefs from of no shipments with respect to Synn. See 254. W.I. Woodtone Industries Inc. ‘‘Affiliation and Collapsing’’ and ‘‘Final 255. Waldun Forest Product Sales Ltd. 1 See Certain Corrosion-Resistant Steel Products Determination of No Shipments’’ sections, below. 256. Watkins Sawmills Ltd. from Taiwan: Preliminary Results of Antidumping Accordingly, though the instant review was Duty Administrative Review and Preliminary initiated on YP and Synn as a single collapsed 257. West Bay Forest Products Ltd. respondent, we have treated them as distinct 258. West Fraser Timber Co. Ltd. Determination of No Shipments; 2018–2019, 85 FR 74669 (November 23, 2020) (Preliminary Results), entities for the purposes of these final results. 259. West Wind Hardwood Inc. and accompanying Preliminary Decision 3 See YP’s Letter, ‘‘Case Brief,’’ dated January 6, 260. Western Forest Products Inc. Memorandum. 2021; and Petitioners’ Letter, ‘‘Petitioners’ Case 261. Western Lumber Sales Limited 2 In the less-than-fair-value (LTFV) investigation Brief,’’ dated January 6, 2021. 4 262. Western Wood Preservers Ltd. of the AD order, we collapsed Prosperity, YP, and See YP’s Letter, ‘‘Rebuttal Brief,’’ dated January 13, 2021; and Petitioners’ Letter, ‘‘Petitioners’ 263. Weston Forest Products Inc. Synn and treated them as a single entity. See Certain Corrosion-Resistant Steel Products from Rebuttal Brief,’’ dated January 13, 2021. 264. Westrend Exteriors Inc. Taiwan: Final Determination of Sales at Less Than 5 See Memorandum, ‘‘Certain Corrosion-Resistant 265. Weyerhaeuser Co. Fair Value and Final Affirmative Determination of Steel Products from Taiwan: Extension of Time 266. White River Forest Products L.P. Critical Circumstances, in Part, 81 FR 35313 (June Limit for the Final Results of Antidumping Duty 267. Winton Homes Ltd. 2, 2016) and accompanying Issues and Decision Administrative Review, 2018–2019,’’ dated March 18, 2021. 268. Woodline Forest Products Ltd. Memorandum (IDM) at Comment 3 (Taiwan CORE LTFV Final); unchanged in Certain Corrosion- 6 See Memorandum, ‘‘Issues and Decision 269. Woodstock Forest Products Resistant Steel Products from India, Italy, the Memorandum for the Final Results of the 2018– 270. Woodtone Specialties Inc. People’s Republic of China, the Republic of Korea 2019 Antidumping Duty Administrative Review: 271. Yarrow Wood Ltd. and Taiwan: Amended Final Affirmative Certain Corrosion-Resistant Steel Products from Antidumping Determination for India and Taiwan, Taiwan,’’ dated concurrently with, and hereby [FR Doc. 2021–11171 Filed 5–26–21; 8:45 am] and Antidumping Duty Orders, 82 FR 48390 (July adopted by, this notice (Issues and Decision BILLING CODE 3510–DS–P 25, 2016) (Order). The determination to collapse Memorandum).
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merchandise is currently classifiable Antidumping and Countervailing Duty entirely on FA.10 For these final results under the Harmonized Tariff Schedule Centralized Electronic System of review, we calculated a zero percent of the United States (HTSUS) (ACCESS). ACCESS is available to weighted-average dumping margin for subheadings: 7210.30.0030, registered users at https:// Prosperity and a weighted-average 7210.30.0060, 7210.41.0000, access.trade.gov. In addition, a complete dumping margin for YP that is above de 7210.49.0030, 7210.49.0091, version of the Issues and Decision minimis and not based entirely on FA. 7210.49.0095, 7210.61.0000, Memorandum can be accessed directly Therefore, consistent with our practice, 7210.69.0000, 7210.70.6030, at http://enforcement.trade.gov/frn/ we have assigned the companies not 7210.70.6060, 7210.70.6090, index.html. selected for individual examination the 7210.90.6000, 7210.90.9000, weighted-average dumping margin Changes Since the Preliminary Results 7212.20.0000, 7212.30.1030, calculated for YP. 7212.30.1090, 7212.30.3000, Based on a review of the record and Final Results of the Administrative 7212.30.5000, 7212.40.1000, comments received from interested Review 7212.40.5000, 7212.50.0000, and parties regarding our Preliminary 7212.60.0000. The products subject to Results, we made a change to the We determine that the following the orders may also enter under the preliminary weighted-average margin weighted-average dumping margins following HTSUS item numbers: calculation for YP. For detailed exist for the respondents for the period 7210.90.1000, 7215.90.1000, information, see the Issues and Decision July 1, 2018 through June 30, 2019: 7215.90.3000, 7215.90.5000, Memorandum. 7217.20.1500, 7217.30.1530, Weighted- Final Determination of No Shipments average 7217.30.1560, 7217.90.1000, Exporter/producer dumping 7217.90.5030, 7217.90.5060, In the Preliminary Results, Commerce margin 7217.90.5090, 7225.91.0000, determined that Synn made no (percent) 7225.92.0000, 7225.99.0090, shipments of subject merchandise Hoa Sen Group ...... 1.53 7226.99.0110, 7226.99.0130, during the POR.9 As we have not Nippon Steel ...... 1.53 7226.99.0180, 7228.60.6000, received any information to contradict Prosperity Tieh Enterprise Co., 7228.60.8000, and 7229.90.1000. The this determination, nor comment in Ltd ...... 0.00 HTSUS subheadings above are provided opposition to our preliminary finding, Sheng Yu Steel Co., Ltd ...... 1.53 for convenience and customs purposes we continue to determine that Synn Sumikin Sales Vietnam Co., Ltd 1.53 only. The written description of the made no shipments of subject Ton Dong A Corporation ...... 1.53 Yieh Phui Enterprise Co., Ltd ..... 1.53 scope of the order is dispositive. merchandise during the POR. Consistent Affiliation and Collapsing with our practice, we will instruct U.S. Customs and Border Protection (CBP) to Assessment Rates In the Preliminary Results, we liquidate any existing entries of subject Pursuant to section 751(a)(2)(A) of the preliminarily determined that the merchandise produced by Synn, but Act and 19 CFR 351.212(b)(1), evidence on the record of this exported by other parties, at the rate for Commerce will determine, and CBP administrative review does not support the intermediate reseller, if available, or shall assess, antidumping duties on all a finding that YP should be collapsed at the all-others rate. appropriate entries of subject with Synn, and therefore should not be merchandise in accordance with the collapsed as the YP/Synn entity for this Rates for Respondents Not Selected for final results of this review. Pursuant to POR. As we have not received any Individual Examination 19 CFR 351.212(b)(1), we calculated information to contradict this The statute and Commerce’s importer-specific ad valorem duty preliminary determination, nor regulations do not address the assessment rates based on the ratio of comment in opposition to our establishment of a rate to be applied to the total amount of dumping calculated preliminary finding, we determine not individual respondents not selected for for the examined sales to the total to collapse YP with Synn and thus to examination when Commerce limits its entered value of those sales. Where treat YP and Synn as distinct entities for examination in an administrative review either the respondent’s weighted- 7 the purposes of these final results. pursuant to section 777A(c)(2) of the average dumping margin is zero or de Analysis of the Comments Received Act. Generally, Commerce looks to minimis within the meaning of 19 CFR section 735(c)(5) of the Act, which 351.106(c)(1), or an importer-specific All issues raised in the case and provides instructions for calculating the assessment rate is zero or de minimis, rebuttal briefs by parties to this review all-others rate in an investigation, for we will instruct CBP to liquidate the are addressed in the Issues and Decision guidance when calculating the rate for appropriate entries without regard to Memorandum.8 A list of the issues 11 respondents which we did not examine antidumping duties. For entries of which parties raised, and to which we in an administrative review. Section subject merchandise during the POR respond in the Issues and Decision 735(c)(5)(A) of the Act establishes a produced by the mandatory respondents Memorandum, is attached in the preference to avoid using rates which appendix to this notice. The Issues and 10 are zero, de minimis, or based entirely See, e.g., Ball Bearings and Parts Thereof from Decision Memorandum is a public France, Germany, Italy, Japan, and the United on facts available (FA) in calculating an document and is on file electronically Kingdom: Final Results of Antidumping Duty all others rate. Accordingly, Commerce’s Administrative Reviews and Rescission of Reviews via Enforcement and Compliance’s practice in administrative reviews has in Part, 73 FR 52823, 52824 (September 11, 2008), and accompanying Issues and Decision 7 See Preliminary Results, 85 FR at 74670; and been to average the weighted-average Memorandum at Comment 16. Memorandum, ‘‘Administrative Review of the dumping margins for the companies 11 In these final results, Commerce applied the Antidumping Duty Order on Certain Corrosion- selected for individual examination in assessment rate calculation method adopted in Resistant Steel Products from Taiwan: Preliminary the administrative review, excluding Antidumping Proceedings: Calculation of the Affiliation and Collapsing Memorandum for Yieh rates that are zero, de minimis, or based Weighted-Average Dumping Margin and Phui Enterprise Co., Ltd. and Synn Industrial Co., Assessment Rate in Certain Antidumping Duty Ltd.,’’ dated November 17, 2020. Proceedings; Final Modification, 77 FR 8101 8 See Issues and Decision Memorandum. 9 See Preliminary Results, 85 FR at 74670. (February 14, 2012).
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for which they did not know their all-others rate from the Amended Final DEPARTMENT OF COMMERCE merchandise was destined for the Determination. These cash deposit United States, or for entries associated requirements, when imposed, shall International Trade Administration with Synn, who had no shipments remain in effect until further notice. [C–122–858] during the POR, we will instruct CBP to Notification to Importers liquidate unreviewed entries at the all- Certain Softwood Lumber Products others rate if there is no rate for the This notice also serves as a final From Canada: Preliminary Results and intermediate company(ies) involved in reminder to importers of their Partial Rescission of the the transaction. responsibility under 19 CFR Countervailing Duty Administrative The final results of this review shall 351.402(f)(2) to file a certificate Review, 2019 be the basis for the assessment of regarding the reimbursement of antidumping duties on entries of antidumping duties prior to liquidation AGENCY: Enforcement and Compliance, merchandise covered by the final results of the relevant entries during this International Trade Administration, of this review and for future deposits of review period. Failure to comply with Department of Commerce. estimated duties, where applicable.12 this requirement could result in SUMMARY: The Department of Commerce Consistent with its recent notice,13 Commerce’s presumption that (Commerce) preliminarily determines Commerce intends to issue assessment reimbursement of antidumping duties that countervailable subsidies are being instructions to CBP no earlier than 35 occurred and the subsequent assessment provided to producers and exporters of days after the date of publication of the of double antidumping duties. certain softwood lumber products final results of this review in the (softwood lumber) from Canada. The Notification Regarding Administrative period of review is January 1, 2019, Federal Register. If a timely summons is Protective Order filed at the U.S. Court of International through December 31, 2019. Interested Trade, the assessment instructions will This notice also serves as a reminder parties are invited to comment on these direct CBP not to liquidate relevant to parties subject to administrative preliminary results. entries until the time for parties to file protective order (APO) of their DATES: Applicable May 27, 2021. a request for a statutory injunction has responsibility concerning the FOR FURTHER INFORMATION CONTACT: expired (i.e., within 90 days of disposition of proprietary information Jonathan Hall-Eastman (Canfor), John publication). disclosed under APO in accordance Hoffner (JDIL), Kristen Johnson/Samuel with 19 CFR 351.305(a)(3). Timely Cash Deposit Requirements Brummitt (Resolute), and Laura Griffith written notification of return/ (West Fraser), AD/CVD Operations, The following cash deposit destruction of APO materials or Office III, Enforcement and Compliance, requirements will be effective for all conversion to judicial protective order is International Trade Administration, shipments of subject merchandise hereby requested. Failure to comply U.S. Department of Commerce, 1401 entered, or withdrawn from warehouse, with the regulations and the terms of an Constitution Avenue NW, Washington, for consumption on or after the APO is a sanctionable violation. DC 20230; telephone: (202) 482–1468, publication date of the final results of Notification to Interested Parties (202) 482–3315, (202) 482–4793/(202) this administrative review, as provided 482–7851, and (202) 482–6430, We are issuing and publishing these by section 751(a)(2)(C) of the Act: (1) respectively. The cash deposit rate for the companies final results of administrative review in SUPPLEMENTARY INFORMATION: listed above will be equal to the accordance with sections 751(a)(1) and weighted-average dumping margins 777(i) of the Act, and 19 CFR Background 351.221(b)(5). established in the final results of this On January 3, 2018, Commerce administrative review; (2) for Dated: May 20, 2021. published in the Federal Register the merchandise exported by producers or Christian Marsh, countervailing duty (CVD) order on exporters not covered in this review but Acting Assistant Secretary for Enforcement softwood lumber from Canada.1 Several covered in a prior completed segment of and Compliance. interested parties requested that the proceeding, the cash deposit rate Appendix I Commerce conduct an administrative will continue to be the company- review of the CVD Order and, on March specific rate published for the most List of Topics Discussed in the Issues and 10, 2020, Commerce published in the recent period; (3) if the exporter is not Decision Memorandum Federal Register a notice of initiation of a firm covered in this review, a prior I. Summary the second administrative review.2 On review, or the original investigation, but II. Background May 19, 2020, Commerce selected the III. Scope of the Order the producer has been covered in a prior following producers and exporters as complete segment of this proceeding, IV. Changes Since the Preliminary Results V. Discussion of the Issues the mandatory respondents in the then the cash deposit rate will be the administrative review: Canfor rate established for the most recent Comment 1: Cost Adjustment for YP’s Affiliated Purchases of Cold-Rolled Steel Corporation, Resolute FP Canada Inc., period for the producer of the Comment 2: Treatment of Guarantee Fee and West Fraser Mills Ltd.3 On merchandise; (4) the cash deposit rate Income in YP’s General and September 14, 2020, Commerce selected for all other manufacturers or exporters Administrative (G&A) Expense Ratio 14 will continue to be 3.66 percent, the Comment 3: Basis for U.S. Price and 1 See Certain Softwood Lumber Products from Calculation of Imputed Credit Expenses Canada: Amended Final Affirmative Countervailing 12 See section 751(a)(2)(C) of the Act. VI. Recommendation Duty Determination and Countervailing Duty Order, 13 83 FR 347 (January 3, 2018) (CVD Order). See Notice of Discontinuation of Policy to Issue [FR Doc. 2021–11248 Filed 5–26–21; 8:45 am] Liquidation Instructions After 15 Days in 2 See Initiation of Antidumping and Applicable Antidumping and Countervailing Duty BILLING CODE 3510–DS–P Countervailing Duty Administrative Reviews, 85 FR Administrative Proceedings, 86 FR 3995 (January 13860 (March 10, 2020). 15, 2021). Investigation and Notice of Amended Final 3 See Memorandum, ‘‘Administrative Review of 14 See Corrosion-Resistant Steel Products from Determination of Investigation, 84 FR 6129 the Countervailing Duty Order on Certain Softwood Taiwan: Notice of Court Decision Not in Harmony (February 26, 2019) (Amended Final Lumber Products from Canada: Respondent with Final Determination of Antidumping Duty Determination). Selection,’’ dated May 19, 2020.
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J.D. Irving, Limited as a voluntary The list of topics discussed in the rates for non-selected companies in respondent in the administrative Preliminary Decision Memorandum is reviews in a manner that is consistent review.4 included at Appendix I. with section 705(c)(5) of the Act, which Commerce tolled all deadlines in provides instructions for calculating the Partial Rescission of Administrative administrative reviews by 50 days on all-others rate in an investigation. Review April 24, 2020, and by an additional 60 Section 705(c)(5)(A)(i) of the Act days on July 21, 2020,5 thereby As a result of the final results of the instructs Commerce, as a general rule, to extending the deadline for these CVD expedited review covering the CVD calculate an all-others rate equal to the preliminary results until January 21, Order, subject merchandise produced weighted average of the countervailable 2021. On December 2, 2020, Commerce and exported by certain companies is subsidy rates established for exporters extended the deadline for the excluded from the CVD Order.9 and/or producers individually preliminary results of this On May 6, 2021, Commerce issued a examined, excluding any zero, de administrative review to May 20, 2021, memorandum regarding its intent to minimis, or rates based entirely on facts in accordance with 19 CFR rescind this administrative review, in available. In this review, none of the 351.213(h)(2).6 part, for the companies excluded from rates for the respondents were zero, de the CVD Order.10 No interested party Scope of the Order minimis, or based entirely on facts submitted comments on the Intent to available. Therefore, for the POR, we are The product covered by this order is Rescind Review In Part Memorandum. assigning to the non-selected companies certain softwood lumber products from We therefore are rescinding the an average of the subsidy rates Canada. For a complete description of administrative review with respect to calculated for the companies that were the scope of the CVD Order, see the D&G, MLI, NAFP, Roland, and Lemay selected as respondents in the 7 Preliminary Decision Memorandum. for which there was a request for administrative review. review. Methodology For further information on the Subject merchandise which D&G, calculation of the non-selected rate, see Commerce is conducting this CVD MLI, NAFP, Roland, and Lemay exports ‘‘Preliminary Ad Valorem Rate for Non- administrative review in accordance but does not produce, as well as subject Selected Companies under Review’’ in with section 751(a)(1)(A) of the Tariff merchandise that D&G, MLI, NAFP, the Preliminary Decision Memorandum. Act of 1930, as amended (the Act). For Roland, and Lemay produces but is A list of all the non-selected companies each of the subsidy programs found exported by another company, remains is included in Appendix II. countervailable, Commerce subject to the CVD Order. Based on the preliminarily determines that there is a facts of this administrative review, we Preliminary Results of Review subsidy, i.e., a financial contribution by are also rescinding the review of D&G, For the period January 1, 2019, an ‘‘authority’’ that confers a benefit to MLI, NAFP, Roland, and Lemay where through December 31, 2019, we the recipient, and that the subsidy is they may have been the producer or preliminarily determine the following 8 specific. For a full description of the exporter given that there were no such estimated countervailable subsidy rates: methodology underlying our entries during the POR. For further preliminary conclusions, see the information on the companies excluded Subsidy rate Preliminary Decision Memorandum. from the CVD Order, see ‘‘Non- Companies (percent) Shipment Claim and Partial Rescission ad valorem 4 See Commerce’s Letter, ‘‘Second Administrative of Review’’ in the Preliminary Decision Canfor Corporation and its Review of the Countervailing Duty Order on Certain Memorandum. Softwood Lumber Products from Canada: Selection cross-owned affiliates 11 ...... 2.42 of JD Irving, Ltd. as a Voluntary Respondent,’’ Rate for Non-Selected Companies J.D. Irving, Limited and its September 14, 2020. Under Review cross-owned affiliates 12 ...... 3.77 5 See Memorandum, ‘‘Tolling of Deadlines for Resolute FP Canada Inc. and Antidumping and Countervailing Duty There are 261 companies for which a its cross-owned affiliates 13 ... 18.17 Administrative Reviews in Response to Operational review was requested and not West Fraser Mills Ltd. and its Adjustments Due to COVID–19,’’ dated April 24, 14 2020; see also Memorandum, ‘‘Tolling of Deadlines rescinded, but were not selected as cross-owned affiliates ...... 4.80 for Antidumping and Countervailing Duty mandatory respondents. The statute and Non-Selected Companies ...... 6.27 Administrative Reviews,’’ dated July 21, 2020. Commerce’s regulations do not directly 6 See Memorandum, ‘‘Certain Softwood Lumber address the establishment of rates to be Assessment Rate Products from Canada: Extension of Deadline for applied to companies not selected for Preliminary Results of Countervailing Duty In accordance with 19 CFR Administrative Review, 2019,’’ dated December 2, individual examination where 351.221(b)(4)(i), Commerce has 2020. Commerce limits its examination in an preliminarily assigned subsidy rates as 7 See Memorandum, ‘‘Decision Memorandum for administrative review pursuant to the Preliminary Results of Administrative Review of section 777A(e)(2) of the Act. However, the Countervailing Duty Order on Certain Softwood 11 Commerce finds the following companies to be Lumber Products from Canada; 2019,’’ dated Commerce normally determines the cross-owned with Canfor Corporation: Canadian concurrently with, and hereby adopted by, this Forest Products., Ltd. and Canfor Wood Products notice (Preliminary Decision Memorandum). The 9 See Certain Softwood Lumber Products from Marketing, Ltd. Preliminary Decision Memorandum is a public Canada: Final Results of Countervailing Duty 12 Commerce finds the following companies to be document and is on file electronically via Expedited Review, 84 FR 32121 (July 5, 2019). The cross-owned with J.D. Irving, Limited: Miramichi Enforcement and Compliance’s Antidumping and excluded companies are: Les Produits Forestiers Timber Holdings Limited, The New Brunswick Countervailing Duty Centralized Electronic Service D&G Ltee (D&G), Marcel Lauzon Inc. (MLI), North Railway Company, Rothesay Paper Holdings Ltd., System (ACCESS). ACCESS is available to American Forest Products Ltd. (NAFP) (located in and St. George Pulp & Paper Limited. registered users at https://access.trade.gov. In Saint-Quentin, New Brunswick), Roland Boulanger 13 Commerce finds the following companies to be addition, a complete version of the Preliminary & Cie Ltee (Roland), and Scierie Alexandre Lemay cross-owned with Resolute: Resolute Growth Decision Memorandum can be accessed directly on & Fils Inc. (Lemay). Canada Inc., Produits Forestiers Maurice S.E.C., and the internet at http://enforcement.trade.gov/frn/ 10 See Memorandum, ‘‘Administrative Review of Resolute Forest Products Inc. index.html. the Countervailing Duty Order on Certain Softwood 14 Commerce finds the following companies to be 8 See sections 771(5)(B) and (D) of the Act Lumber Products from Canada: Intent to Rescind cross-owned with West Fraser: West Fraser Timber regarding financial contribution; section 771(5)(E) the 2019 Administrative Review, in Part,’’ dated Co., Ltd., Blue Ridge Lumber Inc., Sunpine Inc., of the Act regarding benefit; and section 771(5A) of May 6, 2021 (Intent to Rescind Review In Part Sundre Forest Products Inc., Manning Forest the Act regarding specificity. Memorandum). Products, and West Fraser Alberta Holdings.
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indicated above. Consistent with section documents containing business 258258 B.C. Ltd., dba Pacific Coast Cedar 751(a)(2)(C) of the Act, upon issuance of proprietary information, until further Products the final results, Commerce shall notice.18 5214875 Manitoba Ltd. determine, and U.S. Customs and 752615 B.C Ltd., Fraserview Interested parties who wish to request Remanufacturing Inc., dba Fraserview Border Protection (CBP) shall assess, a hearing must do so within 30 days of Cedar Products. countervailing duties on all appropriate publication of these preliminary results 9224–5737 Quebec Inc. (aka A.G. Bois) entries covered by this review. by submitting a written request to the A.B. Cedar Shingle Inc. Commerce intends to issue assessment Assistant Secretary for Enforcement and Absolute Lumber Products, Ltd. instructions to CBP no earlier than 41 Compliance using ACCESS.19 Requests AJ Forest Products Ltd. days after the date of publication of the should contain the party’s name, Alberta Spruce Industries Ltd. final results of this review in the address, and telephone number; the Aler Forest Products, Ltd. Federal Register, in accordance with 19 Alpa Lumber Mills Inc. number of participants and whether any AM Lumber Brokerage CFR 356.8(a). If a timely summons is participant is a foreign national; and a American Pacific Wood Products filed at the U.S. Court of International list of the issues to be discussed. Issues Anbrook Industries Ltd. Trade, the assessment instructions will raised in the hearing will be limited to Andersen Pacific Forest Products Ltd. direct CBP not to liquidate relevant those raised in the respective case and Anglo-American Cedar Products, Ltd. entries until the time for parties to file rebuttal briefs.20 If a request for a Antrim Cedar Corporation a request for statutory injunction has hearing is made, Commerce intends to Aquila Cedar Products, Ltd. Arbec Lumber Inc. expired (i.e., within 90 days of hold the hearing at a time and date to publication). Aspen Planers Ltd. be determined. Parties should confirm B&L Forest Products Ltd. Cash Deposit Rate the date and time of the hearing two B.B. Pallets Inc. days before the scheduled date. Parties Babine Forest Products Limited Pursuant to section 751(a)(1) of the are reminded that all briefs and hearing Bakerview Forest Products Inc. Act, Commerce intends to instruct CBP requests must be filed electronically Bardobec Inc. to collect cash deposits of estimated using ACCESS and received BarretteWood Inc. countervailing duties in the amounts successfully in their entirety by 5:00 Barrette-Chapais Ltee indicated above with regard to Benoit & Dionne Produits Forestiers Ltee p.m. Eastern Time on the due date. Best Quality Cedar Products Ltd. shipments of subject merchandise Unless the deadline is extended entered, or withdrawn from warehouse, Blanchet Multi Concept Inc. pursuant to section 751(a)(3)(A) of the Blanchette & Blanchette Inc. for consumption on or after the date of Act, Commerce intends to issue the final Bois Aise de Montreal Inc. publication of the final results of this results of this administrative review, Bois Bonsai Inc. review. For all non-reviewed including the results of its analysis of Bois Daaquam Inc. companies, we will instruct CBP to the issues raised by parties in their Bois D’oeuvre Cedrico Inc. (aka Cedrico collect cash deposits of estimated Lumber Inc.) comments, within 120 days after the countervailing duties at the most recent Bois et Solutions Marketing SPEC, Inc. date of publication of these preliminary company-specific or all-others rate Boisaco Inc. results. applicable to the company, as Boscus Canada Inc. appropriate. These cash deposit Notification to Interested Parties BPWood Ltd. Bramwood Forest Inc. requirements, when imposed, shall These preliminary results are issued Brink Forest Products Ltd. remain in effect until further notice. and published in accordance with Brunswick Valley Lumber Inc. Disclosure and Public Comment sections 751(a)(1) and 777(i)(1) of the Busque & Laflamme Inc. Act, and 19 CFR 351.221(b)(4). C&C Wood Products Ltd. Commerce intends to disclose to Caledonia Forest Products Inc. parties to this proceeding the Dated: May 20, 2021. Campbell River Shake & Shingle Co., Ltd. calculations performed in reaching Ryan Majerus, Canadian American Forest Products Ltd. these preliminary results within five Deputy Assistant Secretary for Policy and Canadian Wood Products Inc. days of publication of this notice in the Negotiations. Canasia Forest Industries Ltd Federal Register.15 Interested parties Canusa cedar inc. Appendix I Canyon Lumber Company, Ltd. may submit written comments (case Careau Bois Inc. briefs) within 30 days of publication of List of Topics Discussed in the Preliminary Carrier & Begin Inc. the preliminary results. Rebuttal Decision Memorandum Carrier Forest Products Ltd. comments (rebuttal briefs), limited to I. Summary Carrier Lumber Ltd. issues raised in case briefs, are due II. Background Cedar Valley Holdings Ltd. within seven days after the time limit III. Period of Review Cedarline Industries, Ltd. for filing case briefs.16 Parties who IV. Non-Shipment Claim and Partial Central Alberta Pallet Supply submit arguments are requested to Rescission of Review Central Cedar Ltd. Central Forest Products Inc. submit with the argument: (1) A V. Scope of the Order VI. Subsidies Valuation Centurion Lumber, Ltd. statement of the issue; (2) a brief VII. Analysis of Programs Chaleur Sawmills LP summary of the argument; and (3) a VIII. Preliminary Ad Valorem Rate for Non- Channel-ex Trading Corporation table of authorities.17 Note that Selected Companies Under Review Clair Industrial Development Corp. Ltd. Commerce has temporarily modified IX. Recommendation Clermond Hamel Ltee certain of its requirements for serving CNH Products Inc. Appendix II Coast Clear Wood Ltd. 15 See 19 CFR 351.224(b). Non-Selected Exporters/Producers Coast Mountain Cedar Products Ltd. 16 Columbia River Shake & Shingle Ltd./Teal See 19 CFR 351.309(c)(1)(ii) and 351.309(d)(1); 1074712 BC Ltd. see also Temporary Rule Modifying AD/CVD Cedar Products Ltd., dba The Teal Jones Service Requirements Due to COVID–19; Extension Group of Effective Period, 85 FR 41363 (July 10, 2020) 18 See Temporary Rule. Commonwealth Plywood Co. Ltd. (Temporary Rule). 19 See 19 CFR 351.310(c). Comox Valley Shakes Ltd./Comox Valley 17 See 19 CFR 351.309(c)(2) and 351.309(d)(2). 20 See 19 CFR 351.310. Shakes (2019) Ltd.
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Conifex Fibre Marketing Inc. Lignum Forest Products LLP Skeena Sawmills Ltd Cowichan Lumber Ltd. Linwood Homes Ltd. Sound Spars Enterprise Ltd. CS Manufacturing Inc., dba Cedarshed Longlac Lumber Inc. South Beach Trading Inc. CWP—Industriel Inc. Lulumco Inc. Specialiste du Bardeau de Cedre Inc CWP—Montreal Inc. Magnum Forest Products, Ltd. Spruceland Millworks Inc. D & D Pallets, Ltd. Maibec inc. Star Lumber Canada Ltd. Dakeryn Industries Ltd. Manitou Forest Products Ltd. Sundher Timber Products Ltd. Decker Lake Forest Products Ltd. Marwood Ltd. Surrey Cedar Ltd. Delco Forest Products Ltd. Materiaux Blanchet Inc. T.G. Wood Products, Ltd. Delta Cedar Specialties Ltd. Matsqui Management and Consulting Taan Forest LP/Taan Forest Products Devon Lumber Co. Ltd. Services Ltd., dba Canadian Cedar Roofing Taiga Building Products Ltd. DH Manufacturing Inc. Depot Tall Tree Lumber Company Direct Cedar Supplies Ltd. Metrie Canada Ltd. Tembec Inc. Doubletree Forest Products Ltd. Mid Valley Lumber Specialties, Ltd. Temrex Produits Forestiers s.e.c. Downie Timber Ltd. Midway Lumber Mills Ltd. Terminal Forest Products Ltd. Dunkley Lumber Ltd. Mill & Timber Products Ltd. The Wood Source Inc. EACOM Timber Corporation Millar Western Forest Products Ltd. Tolko Industries Ltd. and Tolko Marketing East Fraser Fiber Co. Ltd. Mobilier Rustique (Beauce) Inc. and Sales Ltd. Edgewood Forest Products Inc. MP Atlantic Wood Ltd. Trans-Pacific Trading Ltd. ER Probyn Export Ltd. Multicedre ltee Triad Forest Products Ltd. Eric Goguen & Sons Ltd. Murray Brothers Lumber Company Ltd Twin Rivers Paper Co. Inc. Falcon Lumber Ltd. Nakina Lumber Inc. Tyee Timber Products Ltd. Fontaine Inc. National Forest Products Ltd. Universal Lumber Sales Ltd. Foothills Forest Products Inc. New Future Lumber Ltd. Usine Sartigan Inc. Fornebu Lumber Company Inc. Nicholson and Cates Ltd Vaagen Fibre Canada, ULC Fraser Specialty Products Ltd. Norsask Forest Products Limited Partnership Valley Cedar 2 Inc./Valley Cedar 2 ULC FraserWood Inc. North American Forest Products Ltd. (located Vancouver Island Shingle, Ltd. FraserWood Industries Ltd. in Abbotsford, British Columbia) Vancouver Specialty Cedar Products Ltd. Furtado Forest Products Ltd. North Enderby Timber Ltd. Vanderhoof Specialty Wood Products Ltd. G & R Cedar Ltd. Oikawa Enterprises Ltd. Visscher Lumber Inc Galloway Lumber Company Ltd. Olympic Industries, Inc./Olympic Industries W.I. Woodtone Industries Inc. Gilbert Smith Forest Products Ltd. Inc-Reman Code/Olympic Industries ULC/ Waldun Forest Product Sales Ltd. Glandell Enterprises Inc. Olympic Industries ULC-Reman/Olympic Watkins Sawmills Ltd. Goat Lake Forest Products Ltd. Industries ULC-Reman Code West Bay Forest Products Ltd. Goldband Shake & Shingle Ltd. Oregon Canadian Forest Products West Wind Hardwood Inc. Golden Ears Shingle Ltd. Pacific Coast Cedar Products, Ltd. Western Forest Products Inc. Goldwood Industries Ltd. Pacific Pallet, Ltd. Western Lumber Sales Limited Goodfellow Inc. Pacific Western Wood Works Ltd. Western Wood Preservers Ltd. Gorman Bros. Lumber Ltd. Parallel Wood Products Ltd. Weston Forest Products Inc. Groupe Crete Chertsey Inc. Pat Power Forest Products Corporation Westrend Exteriors Inc. Groupe Crete Division St-Faustin Inc. Phoenix Forest Products Inc. Weyerhaeuser Co. Groupe Lebel Inc. Pine Ideas Ltd. White River Forest Products L.P. Groupe Lignarex Inc. Pioneer Pallet & Lumber Ltd. Winton Homes Ltd. H.J. Crabbe & Sons Ltd. Porcupine Wood Products Ltd. Woodline Forest Products Ltd. Haida Forest Products Ltd. Power Wood Corp. Woodstock Forest Products/Woodstock Harry Freeman & Son Ltd. Precision Cedar Products Corp. Forest Products Inc. Hornepayne Lumber LP Prendiville Industries Ltd. (aka, Kenora Woodtone Specialties Inc. Imperial Cedar Products, Ltd. Forest Products) Yarrow Wood Ltd. Imperial Shake Co. Ltd. Produits Forestiers Petit Paris Inc. Independent Building Materials Dist. Produits forestiers Temrex, s.e.c. [FR Doc. 2021–11169 Filed 5–26–21; 8:45 am] Interfor Corporation Produits Matra Inc. and Sechoirs de Beauce BILLING CODE 3510–DS–P Island Cedar Products Ltd Inc. Ivor Forest Products Ltd. Promobois G.D.S. inc. J&G Log Works Ltd. Quadra Cedar DEPARTMENT OF COMMERCE J.H. Huscroft Ltd. Rayonier A.M. Canada GP Jan Woodlands (2001) Inc. Rembos Inc. International Trade Administration Jasco Forest Products Ltd. Rene Bernard Inc. [A–552–828] Jazz Forest Products Ltd. Richard Lutes Cedar Inc. Rielly Industrial Lumber Inc. Jhajj Lumber Corporation Passenger Vehicle and Light Truck Kalesnikoff Lumber Co. Ltd. S & K Cedar Products Ltd. Kan Wood, Ltd. S&R Sawmills Ltd Tires From the Socialist Republic of Kebois Ltee/Ltd. S&W Forest Products Ltd. Vietnam: Final Determination of Sales Keystone Timber Ltd. San Industries Ltd. at Less Than Fair Value Kootenay Innovative Wood Ltd. Sawarne Lumber Co. Ltd. L’Atelier de Readaptation au Travail de Scierie P.S.E. lnc. AGENCY: Enforcement and Compliance, Beauce Inc. Scierie St-Michel inc. International Trade Administration, Lafontaine Lumber Inc. Scierie West Brome Inc. Department of Commerce. Langevin Forest Products Inc. Scotsburn Lumber Co. Ltd. SUMMARY: The Department of Commerce Lecours Lumber Co. Limited Scott Lumber Sales (Commerce) determines that imports of Ledwidge Lumber Co. Ltd. Serpentine Cedar Ltd. passenger vehicle and light truck tires Leisure Lumber Ltd. Sexton Lumber Co. Ltd. Les Bois d’oeuvre Beaudoin Gauthier inc. Sigurdson Forest Products Ltd. (passenger tires) from the Socialist Les Bois Martek Lumber Silvaris Corporation Republic of Vietnam (Vietnam) are Les Bois Traites M.G. Inc. Silver Creek Premium Products Ltd. being, or are likely to be, sold in the Les Chantiers de Chibougamau Ltd. Sinclar Group Forest Products Ltd. United States at less than fair value Leslie Forest Products Ltd. Skana Forest Products Ltd. (LTFV). The period of investigation is
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October 1, 2019, through March 31, correction to the Preliminary determination, see the Preliminary 2020. Determination.5 See Appendix I for the Determination PDM and the Issues and DATES: Applicable May 27, 2021. final scope of the investigation. Decision Memorandum. FOR FURTHER INFORMATION CONTACT: Analysis of Comments Received Changes Since the Preliminary Jasun Moy or Robert Scully, AD/CVD Determination All the issues raised in the case and Operations, Office V, Enforcement and Compliance, International Trade rebuttal briefs that were submitted by Based on our analysis of the Administration, U.S. Department of parties in this investigation are comments received and our findings Commerce, 1401 Constitution Avenue addressed in the Issues and Decision related to our request for information in NW, Washington, DC 20230; telephone: Memorandum. A list of the issues lieu of on-site verification, we have (202) 482–8194 or (202) 482–0572, addressed in the Issues and Decision made certain changes to the margin respectively. Memorandum is attached to this notice calculations. For a discussion of these as Appendix II. The Issues and Decision changes, see the Issues and Decision SUPPLEMENTARY INFORMATION: Memorandum is a public document and Memorandum. is on file electronically via Enforcement Background Vietnam-Wide Entity and Compliance’s Antidumping and On January 6, 2021, Commerce Countervailing Duty Centralized For the final determination, we published in the Federal Register the Electronic Service System (ACCESS). continue to find that the use of adverse preliminary affirmative determination ACCESS is available to registered users facts available (AFA), pursuant to in the LTFV investigation of passenger at https://access.trade.gov. In addition, a sections 776(a) and (b) of the Act, is tires from Vietnam, in which we also complete version of the Issues and warranted in determining the rate for postponed the final determination until Decision Memorandum can be accessed the Vietnam-wide entity. In the May 21, 2021.1 We invited interested directly at http://enforcement.trade.gov/ Preliminary Determination, Commerce parties to comment on the Preliminary based the AFA rate for the Vietnam- Determination. A summary of the events frn/index.html. wide entity on the petition margin of that occurred since Commerce Verification 22.30 percent.7 For this final published the Preliminary Commerce was unable to conduct on- Determination may be found in the determination, we continue to rely on site verification of the information Issues and Decision Memorandum.2 AFA in determining the rate for the relied upon in making its final Vietnam-wide entity and, as AFA, we Scope of the Investigation determination in this investigation. continue to select the highest petition The products covered by this However, we took additional steps in margin of 22.30 percent as the estimated investigation are passenger tires from lieu of an on-site verification to verify weighted-average dumping margin for Vietnam. For a complete description of the information relied upon in making the Vietnam-wide entity.8 this final determination, in accordance the scope of this investigation, see Combination Rates Appendix I. with section 782(i) of the Tariff Act of 1930, as amended (the Act).6 In the Initiation Notice,9 Commerce Scope Comments stated that it would calculate producer/ Methodology During the course of this exporter combination rates for the investigation, Commerce received scope Commerce conducted this respondents that are eligible for a comments from interested parties. investigation in accordance with section separate rate in this investigation. Policy Commerce issued a Preliminary Scope 731 of the Act. Export price was Bulletin 05.1 describes this practice.10 Decision Memorandum to address these calculated in accordance with section In this investigation, we assigned comments.3 We received comments 772(a) of the Act. Constructed export producer/exporter combination rates for from interested parties on the price was calculated in accordance with respondents eligible for separate rates Preliminary Scope Decision section 772(b) of the Act. Because and these combination rates are listed in Memorandum, which we addressed in Vietnam is a non-market economy the table in the ‘‘Final Determination’’ the Final Scope Decision within the meaning of section 771(18) of section of this notice. Memorandum.4 With the exception of the Act, normal value was calculated in Final Determination one revision to correct a typographical accordance with section 773(c) of the error, Commerce is not modifying the Act. For a full description of the The final estimated weighted-average scope language as it appeared in the methodology underlying Commerce’s dumping margins are as follows:
1 See Passenger Vehicle and Light Truck Tires Vietnam: Preliminary Scope Comments Decision dated January 28, 2021; Sailun’s Letter, ‘‘Sailun from the Socialist Republic of Vietnam: Preliminary Memorandum.’’ dated December 29, 2020 Response to Commerce Verification Document Affirmative Determination of Sales at Less Than (Preliminary Scope Decision Memorandum). Request,’’ dated February 2, 2021; and Kenda’s Fair Value, Postponement of Final Determination, 4 See Memorandum, ‘‘Passenger Vehicle and Letter, ‘‘Response to the Department’s Request for and Extension of Provisional Measures, 86 FR 504 Light Truck Tires from the Republic of Korea, Documentation in Lieu of On-Site Verification,’’ (January 6, 2021) (Preliminary Determination), and Taiwan, Thailand, and the Socialist Republic of dated February 4, 2021. accompanying Preliminary Decision Memorandum Vietnam: Scope Comments Final Decision 7 See Preliminary Determination PDM at 18. (PDM). Memorandum.’’ dated concurrently with this notice 8 For the corroboration of this margin, see Issues 2 See Memorandum, ‘‘Issues and Decision (Final Scope Decision Memorandum). and Decision Memorandum at Comment 1. Memorandum for the Final Affirmative 5 See Passenger Vehicle and Light Truck Tires 9 Determination in the Less-Than-Fair-Value from the Republic of Korea, Taiwan, Thailand, and See Initiation Notice, 85 FR at 38858. Investigation of Passenger Vehicle and Light Truck the Socialist Republic of Vietnam: Notice of 10 See Enforcement and Compliance’s Policy Tires from the Socialist Republic of Vietnam,’’ Correction to Preliminary Determinations in Less- Bulletin No. 05.1, regarding, ‘‘Separate-Rates dated concurrently with, and hereby adopted by, Than-Fair-Value Investigations, 86 FR 7252 Practice and Application of Combination Rates in this notice (Issues and Decision Memorandum). (January 27, 2021). Antidumping Investigations involving Non-Market 3 See Memorandum, ‘‘Passenger Vehicle and 6 See Commerce’s Letter, ‘‘Request for Economy Countries,’’ April 5, 2005 (Policy Bulletin Light Truck Tires from the Republic of Korea, Documentation,’’ dated January 26, 2021; 05.1), available on Commerce’s website at http:// Taiwan, Thailand, and the Socialist Republic of Commerce’s Letter, ‘‘Request for Documentation,’’ enforcement.trade.gov/policy/bull05-1.pdf.
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Estimated Cash deposit weighted-average rate (adjusted for Exporter Producer dumping margin subsidy offset) (percent) (percent)
Kenda Rubber (Vietnam) Co. Ltd ...... Kenda Rubber (Vietnam) Co. Ltd ...... 0.00 0.00 Sailun Group (HongKong) Co., Limited/Sailun Tire Sailun (Vietnam) Co., Ltd ...... 0.00 0.00 Americas Inc. Bridgestone Corporation ...... Bridgestone Tire Manufacturing Vietnam LLC ...... 0.00 0.00 Bridgestone Tire Manufacturing Vietnam LLC ...... Bridgestone Tire Manufacturing Vietnam LLC ...... 0.00 0.00 Kumho Tire (Vietnam) Co., Ltd ...... Kumho Tire (Vietnam) Co., Ltd ...... 0.00 0.00 The Yokohama Rubber Co., Ltd ...... Yokohama Tyre Vietnam Co ...... 0.00 0.00 Vietnam-Wide Entity ...... 22.30 22.27
Disclosure from the order. However, entries of margins by the appropriate rates.11 We intend to disclose the calculations shipments of subject merchandise from However, provisional measures are no performed in this final determination these companies in any other producer/ longer in effect in the companion CVD within five days of its public exporter combinations, or by third case. Therefore, we are not instructing announcement or, if there is no public parties that sourced subject CBP to collect cash deposits based upon announcement, within five days of the merchandise from the excluded the estimated the estimated weighted- date of publication of this notice to producer/exporter combinations, will be average dumping margins adjusted for parties in this proceeding in accordance subject to suspension of liquidation at domestic subsidy pass-through or export with 19 CFR 351.224(b). the Vietnam-wide entity rate. subsidies at this time. Additionally, any exclusion will not International Trade Commission Continuation of Suspension of apply to entries of shipments of subject Notification Liquidation merchandise from the other producer/ In accordance with section exporter combinations listed in the table In accordance with section 735(d) of 735(c)(1)(B) of the Act, Commerce will above that were assigned a weighted- the Act, we will notify the International instruct U.S. Customs and Border average dumping margin of zero. Trade Commission (ITC) of the final Protection (CBP) to continue to suspend Pursuant to section 735(c)(1)(B)(ii) of affirmative determination of sales at the liquidation of all appropriate entries the Act and 19 CFR 351.210(d), where LTFV. Because Commerce’s final of subject merchandise, as described in appropriate, we will instruct CBP to determination is affirmative, in Appendix I of this notice, entered, or require a cash deposit for entries of accordance with section 735(b)(2) of the withdrawn from warehouse, for subject merchandise equal to the Act, the ITC will make its final consumption on or after January 6, estimated weighted-average dumping determination as to whether the 2021, the date of publication in the margin as follows: (1) For the exporter/ domestic industry in the United States Federal Register of the affirmative producer combinations listed in the is materially injured, or threatened with Preliminary Determination, except for table above, except those specified for material injury, by reason of imports or those entries of subject merchandise Kenda and Sailun Vietnam/Sailun sales (or the likelihood of sales) for produced and exported by Kenda and Group (HongKong) Co., Limited/Sailun importation of passenger tires no later entries of subject merchandise produced Tire Americas Inc., the cash deposit rate than 45 days after this final by Sailun Vietnam and exported by is equal to the estimated weighted- determination. If the ITC determines Sailun Group (HongKong) Co., Limited average dumping margin listed for that that such injury does not exist, this or Sailun Tire Americas Inc. combination in the table; (2) for all proceeding will be terminated, and all (collectively, Sailun). combinations of Vietnamese exporters/ cash deposits posted will be refunded Because the estimated weighted- producers not listed in the above table, and suspension of liquidation will be average dumping margins for Kenda and the cash deposit rate is equal to the lifted. If the ITC determines that such Sailun in the above-specified producer/ estimated weighted-average dumping injury does exist, Commerce will issue exporter combinations are zero, entries margin listed in the table for the an AD order directing CBP to assess, of shipments of subject merchandise Vietnam-wide entity; and (3) for all non- upon further instruction by Commerce, from these producer/exporter Vietnamese exporters not listed in the antidumping duties on all imports of the combinations will not be subject to table above, the cash deposit rate subject merchandise entered, or suspension of liquidation or cash applicable to the Vietnamese exporter/ withdrawn from warehouse, for deposit requirements. Accordingly, producer combination (or the Vietnam- consumption on or after the effective Commerce will direct CBP not to wide entity) that supplied that non- date of the suspension of liquidation, as suspend liquidation of entries of subject Vietnamese exporter. discussed above in the ‘‘Continuation of merchandise produced and exported by Commerce normally adjusts cash Suspension of Liquidation’’ section. Kenda, and produced by Sailun deposits for estimated antidumping Notification Regarding Administrative Vietnam and exported by Sailun Group duties by the amount of domestic Protective Orders (HongKong) Co., Limited or Sailun Tire subsidy pass-through and export This notice will serve as a final Americas Inc. In accordance with subsidies countervailed in a companion reminder to the parties subject to section 735(a)(4) of the Act and 19 CFR countervailing duty (CVD) proceeding administrative protective order (APO) of 351.204(e)(1), should the investigation when CVD provisional measures are in their responsibility concerning the result in an antidumping duty (AD) effect. Accordingly, where Commerce order pursuant to section 736 of the Act, made an affirmative determination for domestic subsidy pass-through or export 11 See Issues and Decision Memorandum; see also entries of shipments of subject Memorandum, ‘‘Calculation of Double Remedies merchandise from these producer/ subsidies, Commerce has offset the and Export Subsidy Offset,’’ dated December 29, exporter combinations will be excluded estimated weighted-average dumping 2020.
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disposition of proprietary information Specifically excluded from the scope are or light truck section of the Tire and Rim disclosed under APO in accordance the following types of tires: Association Year Book; or with 19 CFR 351.305(a)(3). Timely (1) Racing car tires; such tires do not bear (2) if the maximum cold inflation pressure written notification of return or the symbol ‘‘DOT’’ on the sidewall and may molded on the tire is less than any cold be marked with ‘‘ZR’’ in size designation; inflation pressure listed for that size destruction of APO materials or (2) pneumatic tires, of rubber, that are not designation in either the passenger car or conversion to judicial protective order is new, including recycled and retreaded tires; light truck section of the Tire and Rim hereby requested. Failure to comply (3) non-pneumatic tires, such as solid Association Year Book, the maximum load with the regulations and the terms of an rubber tires; limit molded on the tire is higher than the APO is a sanctionable violation. (4) tires designed and marketed exclusively maximum load limit listed at that cold as temporary use spare tires for passenger inflation pressure for that size designation in Notification to Interested Parties vehicles which, in addition, exhibit each of either the passenger car or light truck section This determination and this notice are the following physical characteristics: of the Tire and Rim Association Year Book; issued and published in accordance (a) The size designation and load index (7) tires designed and marketed exclusively with sections 735(d) and 777(i)(1) of the combination molded on the tire’s sidewall for off-road use and which, in addition, are listed in Table PCT–1R (‘‘T’’ Type Spare exhibit each of the following physical Act, and 19 CFR 351.210(c). Tires for Temporary Use on Passenger characteristics: Dated: May 21, 2021. Vehicles) or PCT–1B (‘‘T’’ Type Diagonal (a) The size designation and load index Christian Marsh, (Bias) Spare Tires for Temporary Use on combination molded on the tire’s sidewall Passenger Vehicles) of the Tire and Rim are listed in the off-the-road, agricultural, Acting Assistant Secretary for Enforcement Association Year Book, industrial or ATV section of the Tire and Rim and Compliance. (b) the designation ‘‘T’’ is molded into the Association Year Book, Appendix I—Scope of the Investigation tire’s sidewall as part of the size designation, (b) in addition to any size designation and, markings, the tire incorporates a warning, The scope of this investigation is passenger (c) the tire’s speed rating is molded on the prominently molded on the sidewall, that the vehicle and light truck tires. Passenger sidewall, indicating the rated speed in MPH tire is ‘‘Not For Highway Service’’ or ‘‘Not for vehicle and light truck tires are new or a letter rating as listed by Tire and Rim Highway Use’’, pneumatic tires, of rubber, with a passenger Association Year Book, and the rated speed (c) the tire’s speed rating is molded on the vehicle or light truck size designation. Tires is 81 MPH or a ‘‘M’’ rating; sidewall, indicating the rated speed in MPH covered by this investigation may be tube- (5) tires designed and marketed exclusively or a letter rating as listed by the Tire and Rim type, tubeless, radial, or non-radial, and they as temporary use spare tires for light trucks Association Year Book, and the rated speed may be intended for sale to original which, in addition, exhibit each of the does not exceed 55 MPH or a ‘‘G’’ rating, and equipment manufacturers or the replacement following physical characteristics: (d) the tire features a recognizable off-road market. (a) The tires have a 265/70R17, 255/80R17, tread design; Subject tires have, at the time of 265/70R16, 245/70R17, 245/75R17, 245/ (8) Tires designed and marketed for off- importation, the symbol ‘‘DOT’’ on the 70R18, or 265/70R18 size designation; road use as all-terrain-vehicle (ATV) tires or sidewall, certifying that the tire conforms to (b) ‘‘Temporary Use Only’’ or ‘‘Spare’’ is utility-terrain-vehicle (UTV) tires, and which, applicable motor vehicle safety standards. molded into the tire’s sidewall; in addition, exhibit each of the following Subject tires may also have the following characteristics: prefixes or suffix in their tire size (c) the tread depth of the tire is no greater than 6.2 mm; and (a) The tire’s speed rating is molded on the designation, which also appears on the sidewall, indicating the rated speed in MPH sidewall of the tire: (d) Uniform Tire Quality Grade Standards (‘‘UTQG’’) ratings are not molded into the or a letter rating as listed by the Tire and Rim Prefix designations: Association Year Book, and the rated speed P—Identifies a tire intended primarily for tire’s sidewall with the exception of 265/ 70R17 and 255/80R17 which may have does not exceed 87 MPH or an ‘‘N’’ rating, service on passenger cars. and LT—Identifies a tire intended primarily for UTQG molded on the tire sidewall; (6) tires designed and marketed exclusively (b) both of the following physical service on light trucks. characteristics are satisfied: Suffix letter designations: for specialty tire (ST) use which, in addition, exhibit each of the following conditions: (i) The size designation and load index LT—Identifies light truck tires for service combination molded on the tire’s sidewall on trucks, buses, trailers, and multipurpose (a) The size designation molded on the tire’s sidewall is listed in the ST sections of does not match any of those listed in the passenger vehicles used in nominal highway passenger car or light truck sections of the service. the Tire and Rim Association Year Book, (b) the designation ‘‘ST’’ is molded into the Tire and Rim Association Year Book, and All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all (ii) The size designation and load index tires with an ‘‘LT’’ suffix in their sidewall tire’s sidewall as part of the size designation, (c) the tire incorporates a warning, combination molded on the tire’s sidewall markings are covered by this investigation matches any of the following size designation regardless of their intended use. prominently molded on the sidewall, that the tire is ‘‘For Trailer Service Only’’ or ‘‘For (American standard or metric) and load In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ index combinations: prefix or suffix in their sidewall markings, as Trailer Use Only’’, well as all tires that include any other prefix (d) the load index molded on the tire’s sidewall meets or exceeds those load indexes American or suffix in their sidewall markings, are standard size Metric size Load index included in the scope, regardless of their listed in the Tire and Rim Association Year Book for the relevant ST tire size, and intended use, as long as the tire is of a size 26x10R12 ...... 254/70R/12 72 (e) either that fits passenger cars or light trucks. Sizes 27x10R14 ...... 254/65R/14 73 (i) the tire’s speed rating is molded on the that fit passenger cars and light trucks 28x10R14 ...... 254/70R/14 75 include, but are not limited to, the numerical sidewall, indicating the rated speed in MPH 28x10R14 ...... 254/70R/14 86 size designations listed in the passenger car or a letter rating as listed by Tire and Rim 30X10R14 ...... 254/80R/14 79 section or light truck section of the Tire and Association Year Book, and the rated speed 30x10R15 ...... 254/75R/15 78 Rim Association Year Book, as updated does not exceed 81 MPH or an ‘‘M’’ rating; 30x10R14 ...... 254/80R/14 90 annually. The scope includes all tires that are or 31x10R14 ...... 254/85R/14 81 of a size that fits passenger cars or light (ii) the tire’s speed rating molded on the 32x10R14 ...... 254/90R/14 95 trucks, unless the tire falls within one of the sidewall is 87 MPH or an ‘‘N’’ rating, and in 32x10R15 ...... 254/85R/15 83 specific exclusions set out below. either case the tire’s maximum pressure and 32x10R15 ...... 254/85R/15 94 Passenger vehicle and light truck tires, maximum load limit are molded on the 33x10R15 ...... 254/90R/15 86 whether or not attached to wheels or rims, sidewall and either 33x10R15 ...... 254/90R/15 95 are included in the scope. However, if a (1) both exceed the maximum pressure and 35x9.50R15 ..... 241/105R/15 82 subject tire is imported attached to a wheel maximum load limit for any tire of the same 35x10R15 ...... 254/100R/15 97 or rim, only the tire is covered by the scope. size designation in either the passenger car
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The products covered by this investigation (passenger tires) from Taiwan are being, Memorandum.4 With the exception of are currently classified under the following or are likely to be, sold in the United one revision to correct a typographical Harmonized Tariff Schedule of the United States at less than fair value (LTFV). The error, Commerce is not modifying the States (HTSUS) subheadings: 4011.10.10.10, period of investigation (POI) April 1, scope language as it appeared in the 4011.10.10.20, 4011.10.10.30, 4011.10.10.40, 2019, through March 31, 2020. correction to the Preliminary 4011.10.10.50, 4011.10.10.60, 4011.10.10.70, 5 4011.10.50.00, 4011.20.10.05, and DATES: Applicable May 27, 2021. Determination. See Appendix I for the 4011.20.50.10. Tires meeting the scope FOR FURTHER INFORMATION CONTACT: final scope of the investigation. description may also enter under the Lauren Caserta or Chien-Min Yang, AD/ Analysis of Comments Received following HTSUS subheadings: CVD Operations, Office VII, All issues raised in the case and 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, Enforcement and Compliance, 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, rebuttal briefs that were submitted by 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, International Trade Administration, parties in this investigation are 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, U.S. Department of Commerce, 1401 addressed in the Issues and Decision and 8708.70.60.60. While HTSUS Constitution Avenue NW, Washington, Memorandum. A list of the issues subheadings are provided for convenience DC 20230; telephone: (202) 482–4737 or addressed in the Issues and Decision and for customs purposes, the written (202) 482–5484, respectively. Memorandum is attached to this notice description of the subject merchandise is SUPPLEMENTARY INFORMATION: at Appendix II. The Issues and Decision dispositive. Background Memorandum is a public document and Appendix II—List of Topics Discussed is on file electronically via Enforcement in the Issues and Decision On January 6, 2021, Commerce and Compliance’s Antidumping and Memorandum published in the Federal Register its Countervailing Duty Centralized preliminary affirmative determination I. Summary Electronic Service System (ACCESS). in the LTFV investigation of passenger ACCESS is available to registered users II. Background tires from Taiwan, in which we also III. Scope of the Investigation at https://access.trade.gov. In addition, a IV. Changes Since the Preliminary postponed the final determination until complete version of the Issues and 1 Determination May 21, 2021. We invited interested Decision Memorandum can be accessed V. Adjustment under Section 777A(f) of the parties to comment on the Preliminary directly at http://enforcement.trade.gov/ Act Determination. A summary of the events frn. VI. Adjustments to Cash Deposit Rates for that occurred since Commerce Export Subsidies published the Preliminary Verification VII. Discussion of the Issues Determination, may be found in the Commerce was unable to conduct on- Comment 1: Appropriate Adverse Facts Issues and Decision Memorandum.2 site verification of the information Available (AFA) Rate for the Vietnam- relied upon in making its final Wide Entity Scope of the Investigation Comment 2: Selecting Kumho Tire determination in this investigation. (Vietnam) Co., Ltd. (KTV) as a Voluntary The products covered by this However, we took additional steps in Respondent investigation are passenger tires from lieu of on-site verification to verify the Comment 3: KTV’s Request to Be Excluded Taiwan. For a complete description of information relied upon in making this from the Order the scope of this investigation, see final determination, in accordance with Comment 4: Whether Kenda’s Rate Should Appendix I. section 782(i) of the Tariff Act of 1930, Be Based on AFA as amended (the Act).6 Comment 5: Whether Sailun’s Rate Should Scope Comments Be Based on AFA During the course of this Changes Since the Preliminary Comment 6: Classification of U.S. Sales as investigation, Commerce received scope Determination Export Price (EP) or Constructed Export comments from interested parties. Based on our analysis of the Price (CEP) Commerce issued a Preliminary Scope comments received and our findings Comment 7: Surrogate Value (SV) for Ocean Freight for Sailun’s Sales Decision Memorandum to address these related to our request for information in 3 Comment 8: SV of Bead Wire comments. We received comments lieu of verification, we made changes to Comment 9: Other Issues Raised by Sailun from interested parties on the the margin calculations for both Cheng VIII. Recommendation Preliminary Scope Decision Shin Rubber Ind. Co., Ltd.’s (Cheng [FR Doc. 2021–11266 Filed 5–26–21; 8:45 am] Memorandum, which we addressed in Shin) and Nankang Rubber Tire Corp. BILLING CODE 3510–DS–P the Final Scope Decision Ltd. (Nankang). For a discussion of
1 See Passenger Vehicle and Light Truck Tires 4 See Memorandum, ‘‘Passenger Vehicle and DEPARTMENT OF COMMERCE from Taiwan: Preliminary Affirmative Light Truck Tires from the Republic of Korea, Determination of Sales at Less Than Fair Value, Taiwan, Thailand, and the Socialist Republic of Postponement of Final Determination, and Vietnam: Scope Comments Final Decision International Trade Administration Extension of Provisional Measures, 86 FR 508 Memorandum.’’ dated concurrently with this notice (January 6, 2021) (Preliminary Determination), and (Final Scope Decision Memorandum). [A–583–869] accompanying Preliminary Decision Memorandum 5 See Passenger Vehicle and Light Truck Tires (PDM). from the Republic of Korea, Taiwan, Thailand, and Passenger Vehicle and Light Truck 2 See Memorandum, ‘‘Issues and Decision the Socialist Republic of Vietnam: Notice of Tires From Taiwan: Final Affirmative Memorandum for the Final Affirmative Correction to Preliminary Determinations in Less- Determination of Sales at Less Than Determination in the Less-Than-Fair-Value Than-Fair-Value Investigations, 86 FR 7252 Fair Value Investigation of Passenger Vehicle and Light Truck (January 27, 2021). Tires from Taiwan,’’ dated concurrently with, and 6 See Commerce’s Letters, ‘‘In Lieu of Verification herby adopted by, this notice (Issues and Decision AGENCY: Questionnaire for Cheng Shin Rubber Ind. Co. Ltd. Enforcement and Compliance, Memorandum). in the Antidumping Duty Investigation of Passenger International Trade Administration, 3 See Memorandum, ‘‘Passenger Vehicle and Vehicle and Light Truck Tires from Taiwan,’’ dated Department of Commerce. Light Truck Tires from the Republic of Korea, February 25, 2021; and ‘‘In Lieu of Verification SUMMARY: Taiwan, Thailand, and the Socialist Republic of Questionnaire for Nankang Rubber Tire Corp., Ltd. The Department of Commerce Vietnam: Preliminary Scope Comments Decision in the Antidumping Duty Investigation of Passenger (Commerce) determines that imports of Memorandum.’’ dated December 29, 2020 Vehicle and Light Truck Tires from Taiwan,’’ dated passenger vehicle and light truck tires (Preliminary Scope Decision Memorandum). February 24, 2021.
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these changes, see the Issues and Estimated material injury, by reason of imports or Decision Memorandum. weighted- sales (or the likelihood of sales) of average passenger tires no later than 45 days All-Others Rate Exporter/producer dumping margin after this final determination. If the ITC Section 735(c)(5)(A) of the Act (percent) determines that such injury does not provides that the estimated weighted- exist, this proceeding will be Cheng Shin Rubber Ind. Co., Ltd 20.04 average dumping margin for all other terminated, and all cash deposits posted Nankang Rubber Tire Corp. Ltd 101.84 will be refunded and suspension of producers and exporters not All Others ...... 84.75 individually investigated shall be equal liquidation will be lifted. If the ITC determines that such injury does exist, to the weighted average of the estimated Disclosure weighted-average dumping margins Commerce will issue an antidumping duty order directing CBP to assess, upon established for exporters and producers We intend to disclose the calculations performed in this final determination further instruction by Commerce, individually investigated excluding within five days of the date of antidumping duties on all imports of the rates that are zero, de minimis, or publication of this notice to parties in subject merchandise entered, or determined entirely under section 776 this proceeding in accordance with 19 withdrawn from warehouse, for of the Act. Pursuant to section CFR 351.224(b). consumption on or after the effective 735(c)(5)(B) of the Act, if the estimated date of the suspension of liquidation, as weighted-average dumping margins Continuation of Suspension of Liquidation discussed above in the ‘‘Continuation of established for all exporters and Suspension of Liquidation’’ section. producers individually examined are In accordance with section zero, de minimis or determined based 735(c)(1)(B) of the Act, Commerce will Notification Regarding Administrative entirely on facts otherwise available, instruct U.S. Customs and Border Protective Orders Commerce may use any reasonable Protection (CBP) to continue to suspend This notice will serve as a final method to establish the estimated liquidation of all appropriate entries of reminder to the parties subject to weighted-average dumping margin for passenger tires from Taiwan, as administrative protective order (APO) of all other producers or exporters. described in Appendix I of this notice, their responsibility concerning the In this investigation, Commerce which are entered, or withdrawn from disposition of proprietary information calculated estimated weighted-average warehouse, for consumption on or after disclosed under APO in accordance dumping margins for Cheng Shin and January 6, 2021, the date of publication with 19 CFR 351.305(a)(3). Timely Nankang that are not zero, de minimis, in the Federal Register of the written notification of return or affirmative Preliminary Determination. or based entirely on facts otherwise destruction of APO materials or Pursuant to section 735(c)(1)(B)(ii) of available. Commerce calculated the all- conversion to judicial protective order is the Act and 19 CFR 351.210(d), we will hereby requested. Failure to comply others rate using a weighted-average of instruct CBP to require a cash deposit the estimated weighted-average with the regulations and the terms of an equal to the estimated weighted-average APO is a sanctionable violation. dumping margins calculated for the dumping margin or the estimated all- examined respondents weighted by each others rate, as follows: (1) The cash Notification to Interested Parties company’s publicly-ranged total U.S. deposit rate for the respondents listed This determination and this notice are sale values for the merchandise under above will be equal to the company- 7 issued and published pursuant to consideration. specific estimated weighted-average sections 735(d) and 777(i)(1) of the Act, Final Determination dumping margins determined in this and 19 CFR 351.210(c). final determination; (2) if the exporter is Dated: May 21, 2021. The final estimated weighted-average not a respondent identified above, but Christian Marsh, dumping margins are as follows: the producer is, then the cash deposit rate will be equal to the company- Acting Assistant Secretary for Enforcement and Compliance. 7 With two respondents under examination, specific estimated weighted-average Commerce normally calculates: (A) A weighted- dumping margin established for that Appendix I—Scope of the Investigation average of the estimated weighted-average dumping producer of the subject merchandise; margins calculated for the examined respondents; The scope of this investigation is passenger (B) a simple average of the estimated weighted- and (3) the cash deposit rate for all other vehicle and light truck tires. Passenger average dumping margins calculated for the producers and exporters will be equal to vehicle and light truck tires are new examined respondents; and (C) a weighted-average the all-others estimated weighted- pneumatic tires, of rubber, with a passenger of the estimated weighted-average dumping margins average dumping margin. These vehicle or light truck size designation. Tires calculated for the examined respondents using each suspension of liquidation instructions covered by this investigation may be tube- company’s publicly-ranged U.S. sale quantities for will remain in effect until further notice. type, tubeless, radial, or non-radial, and they the merchandise under consideration. Commerce may be intended for sale to original then compares (B) and (C) to (A) and selects the rate closest to (A) as the most appropriate rate for all International Trade Commission equipment manufacturers or the replacement other producers and exporters. See, e.g., Ball Notification market. Subject tires have, at the time of Bearings and Parts Thereof from France, Germany, In accordance with section 735(d) of Italy, Japan, and the United Kingdom: Final Results importation, the symbol ‘‘DOT’’ on the of Antidumping Duty Administrative Reviews, Final the Act, we will notify the International sidewall, certifying that the tire conforms to Results of Changed-Circumstances Review, and Trade Commission (ITC) of the final applicable motor vehicle safety standards. Revocation of an Order in Part, 75 FR 53661, 53663 affirmative determination of sales at Subject tires may also have the following (September 1, 2010). As complete publicly ranged LTFV. Because Commerce’s final prefixes or suffix in their tire size sales data was available, Commerce based the all- determination is affirmative, in designation, which also appears on the others rate on the publicly ranged sales data of the sidewall of the tire: mandatory respondents. For a complete analysis of accordance with section 735(b)(2) of the the data, please see Memorandum, ‘‘Antidumping Prefix designations: Act, the ITC will make its final P—Identifies a tire intended primarily for Duty Investigation of Passenger Vehicle and Light determination as to whether the Truck Tires from Taiwan: Final Determination service on passenger cars. Calculation for the All-Others Rate,’’ dated domestic industry in the United States LT—Identifies a tire intended primarily for concurrently with this FR notice. is materially injured, or threatened with service on light trucks.
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Suffix letter designations: (6) tires designed and marketed exclusively (b) both of the following physical LT—Identifies light truck tires for service for specialty tire (ST) use which, in addition, characteristics are satisfied: on trucks, buses, trailers, and multipurpose exhibit each of the following conditions: (i) The size designation and load index passenger vehicles used in nominal highway (a) The size designation molded on the combination molded on the tire’s sidewall service. tire’s sidewall is listed in the ST sections of does not match any of those listed in the All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all the Tire and Rim Association Year Book, passenger car or light truck sections of the tires with an ‘‘LT’’ suffix in their sidewall (b) the designation ‘‘ST’’ is molded into the Tire and Rim Association Year Book, and markings are covered by these investigations tire’s sidewall as part of the size designation, (ii) The size designation and load index regardless of their intended use. (c) the tire incorporates a warning, combination molded on the tire’s sidewall In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ prominently molded on the sidewall, that the matches any of the following size designation prefix or suffix in their sidewall markings, as tire is ‘‘For Trailer Service Only’’ or ‘‘For (American standard or metric) and load well as all tires that include any other prefix Trailer Use Only’’, index combinations: or suffix in their sidewall markings, are (d) the load index molded on the tire’s sidewall meets or exceeds those load indexes included in the scope, regardless of their American Metric size Load index intended use, as long as the tire is of a size listed in the Tire and Rim Association Year standard size that fits passenger cars or light trucks. Sizes Book for the relevant ST tire size, and that fit passenger cars and light trucks (e) either 26x10R12 ...... 254/70R/12 72 27x10R14 ...... 254/65R/14 73 include, but are not limited to, the numerical (i) the tire’s speed rating is molded on the 28x10R14 ...... 254/70R/14 75 size designations listed in the passenger car sidewall, indicating the rated speed in MPH or a letter rating as listed by Tire and Rim 28x10R14 ...... 254/70R/14 86 section or light truck section of the Tire and Association Year Book, and the rated speed 30x10R14 ...... 254/80R/14 79 Rim Association Year Book, as updated does not exceed 81 MPH or an ‘‘M’’ rating; 30x10R15 ...... 254/75R/15 78 annually. The scope includes all tires that are or 30x10R14 ...... 254/80R/14 90 of a size that fits passenger cars or light (ii) the tire’s speed rating molded on the 31x10R14 ...... 254/85R/14 81 trucks, unless the tire falls within one of the sidewall is 87 MPH or an ‘‘N’’ rating, and in 32x10R14 ...... 254/90R/14 95 specific exclusions set out below. either case the tire’s maximum pressure and 32x10R15 ...... 254/85R/15 83 Passenger vehicle and light truck tires, maximum load limit are molded on the 32x10R15 ...... 254/85R/15 94 whether or not attached to wheels or rims, sidewall and either 33x10R15 ...... 254/90R/15 86 are included in the scope. However, if a (1) both exceed the maximum pressure and 33x10R15 ...... 254/90R/15 95 subject tire is imported attached to a wheel maximum load limit for any tire of the same 35x9.50R15 ..... 241/105R/15 82 or rim, only the tire is covered by the scope. size designation in either the passenger car 35x10R15 ...... 254/100R/15 97 Specifically excluded from the scope are or light truck section of the Tire and Rim the following types of tires: Association Year Book; or The products covered by this investigation (1) Racing car tires; such tires do not bear (2) if the maximum cold inflation pressure are currently classified under the following the symbol ‘‘DOT’’ on the sidewall and may molded on the tire is less than any cold Harmonized Tariff Schedule of the United be marked with ‘‘ZR’’ in size designation; inflation pressure listed for that size States (HTSUS) subheadings: 4011.10.10.10, (2) pneumatic tires, of rubber, that are not designation in either the passenger car or 4011.10.10.20, 4011.10.10.30, 4011.10.10.40, new, including recycled and retreaded tires; light truck section of the Tire and Rim 4011.10.10.50, 4011.10.10.60, 4011.10.10.70, (3) non-pneumatic tires, such as solid Association Year Book, the maximum load 4011.10.50.00, 4011.20.10.05, and rubber tires; limit molded on the tire is higher than the 4011.20.50.10. Tires meeting the scope (4) tires designed and marketed exclusively maximum load limit listed at that cold description may also enter under the as temporary use spare tires for passenger inflation pressure for that size designation in following HTSUS subheadings: vehicles which, in addition, exhibit each of either the passenger car or light truck section 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, the following physical characteristics: of the Tire and Rim Association Year Book; 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, (a) The size designation and load index (7) tires designed and marketed exclusively 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, combination molded on the tire’s sidewall for off-road use and which, in addition, 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, are listed in Table PCT–1R (‘‘T’’ Type Spare exhibit each of the following physical and 8708.70.60.60. While HTSUS Tires for Temporary Use on Passenger characteristics: subheadings are provided for convenience Vehicles) or PCT–1B (‘‘T’’ Type Diagonal (a) The size designation and load index and for customs purposes, the written (Bias) Spare Tires for Temporary Use on combination molded on the tire’s sidewall description of the subject merchandise is Passenger Vehicles) of the Tire and Rim are listed in the off-the-road, agricultural, dispositive. Association Year Book, industrial or ATV section of the Tire and Rim (b) the designation ‘‘T’’ is molded into the Appendix II—List of Topics Discussed Association Year Book, in the Issues and Decision tire’s sidewall as part of the size designation, (b) in addition to any size designation and, markings, the tire incorporates a warning, Memorandum (c) the tire’s speed rating is molded on the prominently molded on the sidewall, that the I. Summary sidewall, indicating the rated speed in MPH tire is ‘‘Not For Highway Service’’ or ‘‘Not for II. Background or a letter rating as listed by Tire and Rim Highway Use’’, III. Scope of the Investigation Association Year Book, and the rated speed (c) the tire’s speed rating is molded on the IV. Nankang’s Withdrawal and Request for is 81 MPH or a ‘‘M’’ rating; sidewall, indicating the rated speed in MPH Destruction of Business Proprietary (5) tires designed and marketed exclusively or a letter rating as listed by the Tire and Rim Information as temporary use spare tires for light trucks Association Year Book, and the rated speed V. Changes from the Preliminary which, in addition, exhibit each of the does not exceed 55 MPH or a ‘‘G’’ rating, and Determination following physical characteristics: (d) the tire features a recognizable off-road VI. Discussion of the Issues (a) The tires have a 265/70R17, 255/80R17, tread design; Comment 1: Whether Commerce Should 265/70R16, 245/70R17, 245/75R17, 265/ (8) Tires designed and marketed for off- Utilize Cheng Shin’s Affiliate Sales for 70R18, or 265/70R18 size designation; road use as all-terrain-vehicle (ATV) tires or the Calculation of Normal Value (b) ‘‘Temporary Use Only’’ or ‘‘Spare’’ is utility-terrain-vehicle (UTV) tires, and which, Comment 2: Whether Commerce Should molded into the tire’s sidewall; in addition, exhibit each of the following Treat Home Market Sales as Being at the (c) the tread depth of the tire is no greater characteristics: Same Level of Trade than 6.2 mm; and (a) the tire’s speed rating is molded on the Comment 3: Whether Commerce Should (d) Uniform Tire Quality Grade Standards sidewall, indicating the rated speed in MPH Grant Certain Post-Sale Price (‘‘UTQG’’) ratings are not molded into the or a letter rating as listed by the Tire and Rim Adjustments and Inland Freight tire’s sidewall with the exception of 265/ Association Year Book, and the rated speed Expenses for Affiliated Sales 70R17 and 255/80R17 which may have does not exceed 87 MPH or an ‘‘N’’ rating, Comment 4: Whether Commerce Should UTQG molded on the tire sidewall; and Exclude Certain Alleged ‘‘Out-of-Scope’’
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Tires from Cheng Shin’s Margin In addition to the Government of Final Scope Decision Memorandum.5 Calculation Vietnam (GOV), the mandatory With the exception of one revision to Comment 5: Whether Commerce Should respondents in this investigation are correct a typographical error, Commerce Match Control Numbers in the U.S. and is not modifying the scope language as Home Markets Based on Similarities in Kumho Tire (Vietnam) Co., Ltd. (KTV) Product Characteristics and Sailun (Vietnam) Co., Ltd. (Sailun). it appeared in the correction to the Comment 6: Whether Commerce Should In the Preliminary Determination, and preliminary determinations issued in Take Tire Category into Account in in accordance with section 705(a)(1) of the concurrent AD investigations.6 See Conducting its Matching Analysis the Tariff Act of 1930, as amended (the Appendix I for the final scope of the Comment 7: Whether Commerce Should Act), and 19 CFR 351.210(b)(4), investigation. Exclude Home Market CONNUMs with Commerce aligned the final Verification Small Quantities From the Dumping countervailable duty (CVD) Calculation Commerce was unable to conduct on- Comment 8: Whether Commerce Should determination with the final 2 site verification of the information Remove Maxxis-branded Home Market antidumping duty (AD) determination. Sales for the Calculation of Normal A summary of the events that relied upon in making its final Value occurred since Commerce published the determination in this investigation. Comment 9: Whether Commerce Should Preliminary Determination is found in However, we took additional steps in Remove Sales Not Intended for Sale in the Issues and Decision Memorandum.3 lieu of on-site verification to verify the the U.S. Market from Dumping The Issues and Decision Memorandum information relied upon in making this Calculation is a public document and is on file final determination, in accordance with Comment 10: Whether Commerce Should section 782(i) of the Act.7 Use the A-to-A Methodology in the Final electronically via Enforcement and Determination and Refrain from Zeroing Compliance’s Antidumping and Analysis of Subsidy Programs and Comment 11: Whether Commerce Should Countervailing Duty Centralized Comments Received Allow Certain Non-Operating Income Electronic Service System (ACCESS). The subsidy programs under Offsets to the Reported General and ACCESS is available to registered users Administrative (G&A) Expenses investigation and the issues raised in at http://access.trade.gov. In addition, a the case and rebuttal briefs by parties in VII. Recommendation complete version of the Issues and [FR Doc. 2021–11263 Filed 5–26–21; 8:45 am] this investigation are discussed in the Decision Memorandum can be accessed Issues and Decision Memorandum. For BILLING CODE 3510–DS–P directly at http://enforcement.trade.gov/ a list of the issues raised by parties, to frn/. which we responded in the Issues and DEPARTMENT OF COMMERCE Period of Investigation Decision Memorandum, see Appendix II of this notice. The period of investigation is January International Trade Administration 1, 2019, through December 31, 2019. Methodology [C–552–829] Scope of the Investigation Commerce conducted this investigation in accordance with section Passenger Vehicle and Light Truck The products covered by this 701 of the Act. For each of the subsidy Tires From the Socialist Republic of investigation are passenger tires from programs found countervailable, Vietnam: Final Affirmative Vietnam. For a complete description of Commerce determines that there is a Countervailing Duty Determination the scope of the investigation, see subsidy, i.e., a financial contribution by Appendix I. AGENCY: Enforcement and Compliance, an ‘‘authority’’ that gives rise to a International Trade Administration, Scope Comments benefit to the recipient, and that the Department of Commerce. subsidy is specific.8 For a full During the course of this SUMMARY: The Department of Commerce investigation, Commerce received scope (Commerce) determines that 5 See Memorandum, ‘‘Passenger Vehicle and comments from interested parties. Light Truck Tires from the Republic of Korea, countervailable subsidies are being Commerce issued a Preliminary Scope Taiwan, Thailand, and the Socialist Republic of provided to producers and exporters of Decision Memorandum to address these Vietnam: Scope Comments Final Decision Memorandum,’’ dated concurrently with, and passenger vehicle and light truck tires comments.4 We received comments (passenger tires) from the Socialist hereby adopted by, this notice (Final Scope from interested parties on the Decision Memorandum). Republic of Vietnam (Vietnam). Preliminary Scope Decision 6 See Passenger Vehicle and Light Truck Tires DATES: Applicable May 27, 2021. Memorandum, which we address in the from the Republic of Korea, Taiwan, Thailand, and FOR FURTHER INFORMATION CONTACT: the Socialist Republic of Vietnam: Notice of Correction to Preliminary Determinations in Less- Michael Romani or Thomas Schauer, Affirmative Countervailing Duty Determination and Than-Fair-Value Investigations, 86 FR 7252 AD/CVD Operations, Office I, Alignment of Final Determination With Final (January 27, 2021). Enforcement and Compliance, Antidumping Duty Determination, 85 FR 71607 7 See Commerce’s Letters, dated February 18, International Trade Administration, (November 10, 2020) (Preliminary Determination), 2021; see also GOV’s Letter, ‘‘Passenger Vehicle and and accompanying Preliminary Decision Light Truck Tires from the Socialist Republic of U.S. Department of Commerce, 1401 Memorandum. Vietnam: GOV’s Verification Questionnaire Constitution Avenue NW, Washington, 2 See Preliminary Determination, 85 FR at 71608. Response,’’ dated February 26, 2021; KTVs Letter, DC 20230; telephone: (202) 482–0198 or 3 See Memorandum, ‘‘Issues and Decision ‘‘Countervailing Duty Investigation of Passenger (202) 482–0410, respectively. Memorandum for the Final Determination in the Vehicle and Light Truck Tires from Vietnam— Countervailing Duty Investigation of Passenger Response to February 18 In Lieu of Verification SUPPLEMENTARY INFORMATION: Vehicle and Light Truck Tires from the Socialist Questionnaire,’’ dated February 26, 2021; and Republic of Vietnam,’’ dated concurrently with, and Sailun’s Letter, ‘‘Sailun Verification Questionnaire Background hereby adopted by, this notice (Issues and Decision Response in the Countervailing Duty Investigation On November 10, 2020, Commerce Memorandum). of Passenger Vehicle and Light Truck Tires 4 See Memorandum, ‘‘Passenger Vehicle and (‘‘PVLT’’) From Vietnam (C–552–829),’’ dated published the Preliminary February 26, 2021. 1 Light Truck Tires from the Republic of Korea, Determination in the Federal Register. Taiwan, Thailand, and the Socialist Republic of 8 See sections 771(5)(B) and (D) of the Act Vietnam: Preliminary Scope Comments Decision regarding financial contribution; section 771(5)(E) 1 See Passenger Vehicle and Light Truck Tires Memorandum,’’ dated December 29, 2020 of the Act regarding benefit; and section 771(5A) of from the Socialist Republic of Vietnam: Preliminary (Preliminary Scope Decision Memorandum). the Act regarding specificity.
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description of the methodology Subsidy rate information related to this investigation. underlying this final determination, see Company (percent) We will allow the ITC access to all the Issues and Decision Memorandum. privileged and business proprietary Sailun (Vietnam) Co., Ltd ...... 6.23 information in our files, provided the Changes Since the Preliminary All Others ...... 6.46 ITC confirms that it will not disclose Determination such information, either publicly or Based on our review and analysis of Disclosure under an administrative protective order the record and the comments received, We intend to disclose the calculations (APO), without the written consent of we made certain changes to the performed in this final determination to the Assistant Secretary for Enforcement countervailable subsidy rate interested parties within five days of and Compliance. calculations. For discussion of these any public announcement or, if there is changes, see the Issues and Decision no public announcement, within five Notification Regarding APO Memorandum. days of the date of the publication of In the event that the ITC issues a final All-Others Rate this notice in the Federal Register, in negative injury determination, this accordance with 19 CFR 351.224(b). notice will serve as the only reminder Section 705(c)(5)(A) of the Act to the parties subject to APO of their provides that in the final determination, Continuation of Suspension of responsibility concerning the Commerce shall determine an all-others Liquidation disposition of proprietary information rate for companies not individually As a result of our Preliminary disclosed under APO in accordance examined. This rate shall be an amount Determination, and pursuant to section with 19 CFR 351.305(a)(3). Timely equal to the weighted average of the 703(d)(1)(B) and (d)(2) of the Act, we written notification of the return or estimated subsidy rates established for instructed U.S. Customs and Border destruction of APO materials, or those companies individually Protection (CBP) to suspend liquidation conversion to judicial protective order, examined, excluding any rates that are of all passenger tires from Vietnam, that is hereby requested. Failure to comply zero, de minimis, or based entirely were entered, or withdrawn from with the regulations and terms of an under section 776 of the Act. warehouse, for consumption on or after APO is a violation subject to sanction. In this investigation, Commerce November 10, 2020, the date of the calculated individual estimated publication of the Preliminary Notification to Interested Parties countervailable subsidy rates for KTV Determination in the Federal Register. This determination is issued and and Sailun that are not zero, de In accordance with section 703(d) of published in accordance with sections minimis, or based entirely on facts the Act, effective March 10, 2021, we 705(d) and 777(i) of the Act, and 19 CFR otherwise available. Commerce instructed CBP to discontinue the 351.210(c). calculated the all-others rate using a suspension of liquidation of all entries, Dated: May 21, 2021. weighted average of the individual but to continue the suspension of Christian Marsh, estimated subsidy rates calculated for liquidation of all entries between the examined respondents using each November 10, 2020, through March 9, Acting Assistant Secretary for Enforcement and Compliance. company’s publicly-ranged values for 2021. the merchandise under consideration.9 If the U.S. International Trade Appendix I—Scope of the Investigation Commission (ITC) issues a final Final Determination The scope of this investigation is passenger affirmative injury determination, we vehicle and light truck tires. Passenger We determine the countervailable will issue a CVD order, reinstate the subsidy rates to be: vehicle and light truck tires are new suspension of liquidation, and require a pneumatic tires, of rubber, with a passenger cash deposit of estimated vehicle or light truck size designation. Tires Subsidy rate Company (percent) countervailable duties for such entries covered by this investigation may be tube- of subject merchandise in the amounts type, tubeless, radial, or non-radial, and they Kumho Tire (Vietnam) Co., Ltd 7.89 indicated above, in accordance with may be intended for sale to original section 706(a) of the Act. If the ITC equipment manufacturers or the replacement market. 9 With two respondents under examination, determines that material injury, or Subject tires have, at the time of Commerce normally calculates: (A) A weighted- threat of material injury, does not exist, importation, the symbol ‘‘DOT’’ on the average of the estimated subsidy rates calculated for this proceeding will be terminated and the examined respondents; (B) a simple average of sidewall, certifying that the tire conforms to the estimated subsidy rates calculated for the all cash deposits will be refunded or applicable motor vehicle safety standards. examined respondents; and (C) a weighted-average canceled. Subject tires may also have the following of the estimated subsidy rates calculated for the prefixes or suffix in their tire size examined respondents using each company’s ITC Notification designation, which also appears on the publicly-ranged U.S. sale quantities for the In accordance with section 705(d) of sidewall of the tire: merchandise under consideration. Commerce then the Act, we will notify the ITC of our Prefix designations: compares (B) and (C) to (A) and selects the rate P—Identifies a tire intended primarily for closest to (A) as the most appropriate rate for all determination. Because the final other producers and exporters. See, e.g., Ball service on passenger cars. determination in this proceeding is LT—Identifies a tire intended primarily for Bearings and Parts Thereof from France, Germany, affirmative, in accordance with section Italy, Japan, and the United Kingdom: Final Results service on light trucks. of Antidumping Duty Administrative Reviews, Final 705(b) of the Act, the ITC will make its Suffix letter designations: Results of Changed-Circumstances Review, and final determination as to whether the LT—Identifies light truck tires for service Revocation of an Order in Part, 75 FR 53661, 53663 domestic industry in the United States on trucks, buses, trailers, and multipurpose (September 1, 2010). As complete publicly ranged is materially injured, or threatened with passenger vehicles used in nominal highway sales data was available, Commerce based the all- material injury, by reason of imports of service. others rate on the publicly ranged sales data of the All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all mandatory respondents. For a complete analysis of passenger tires from Vietnam no later the data, see Memorandum, ‘‘Countervailing Duty tires with an ‘‘LT’’ suffix in their sidewall than 45 days after our final markings are covered by this investigation Investigation of Passenger Vehicle and Light Truck determination. In addition, we are Tires from the Socialist Republic of Vietnam: regardless of their intended use. Calculation of All-Others Rate,’’ dated concurrently making available to the ITC all non- In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ with this notice. privileged and non-proprietary prefix or suffix in their sidewall markings, as
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well as all tires that include any other prefix (d) the load index molded on the tire’s American or suffix in their sidewall markings, are sidewall meets or exceeds those load indexes standard size Metric size Load index included in the scope, regardless of their listed in the Tire and Rim Association Year intended use, as long as the tire is of a size Book for the relevant ST tire size, and 26x10R12 ...... 254/70R/12 72 that fits passenger cars or light trucks. Sizes (e) either 27x10R14 ...... 254/65R/14 73 that fit passenger cars and light trucks (i) the tire’s speed rating is molded on the 28x10R14 ...... 254/70R/14 75 include, but are not limited to, the numerical sidewall, indicating the rated speed in MPH 28x10R14 ...... 254/70R/14 86 size designations listed in the passenger car or a letter rating as listed by Tire and Rim 30x10R14 ...... 254/80R/14 79 section or light truck section of the Tire and Association Year Book, and the rated speed 30x10R15 ...... 254/75R/15 78 Rim Association Year Book, as updated does not exceed 81 MPH or an ‘‘M’’ rating; 30x10R14 ...... 254/80R/14 90 annually. The scope includes all tires that are or 31x10R14 ...... 254/85R/14 81 of a size that fits passenger cars or light (ii) the tire’s speed rating molded on the 32x10R14 ...... 254/90R/14 95 trucks, unless the tire falls within one of the sidewall is 87 MPH or an ‘‘N’’ rating, and in 32x10R15 ...... 254/85R/15 83 specific exclusions set out below. either case the tire’s maximum pressure and 32x10R15 ...... 254/85R/15 94 Passenger vehicle and light truck tires, maximum load limit are molded on the 33x10R15 ...... 254/90R/15 86 whether or not attached to wheels or rims, sidewall and either 33x10R15 ...... 254/90R/15 95 are included in the scope. However, if a (1) both exceed the maximum pressure and 35x9.50R15 ..... 241/105R/15 82 subject tire is imported attached to a wheel maximum load limit for any tire of the same 35x10R15 ...... 254/100R/15 97 or rim, only the tire is covered by the scope. size designation in either the passenger car Specifically excluded from the scope are or light truck section of the Tire and Rim the following types of tires: Association Year Book; or The products covered by this investigation (1) Racing car tires; such tires do not bear (2) if the maximum cold inflation pressure are currently classified under the following the symbol ‘‘DOT’’ on the sidewall and may molded on the tire is less than any cold Harmonized Tariff Schedule of the United be marked with ‘‘ZR’’ in size designation; inflation pressure listed for that size States (HTSUS) subheadings: 4011.10.10.10, (2) pneumatic tires, of rubber, that are not designation in either the passenger car or 4011.10.10.20, 4011.10.10.30, 4011.10.10.40, new, including recycled and retreaded tires; light truck section of the Tire and Rim 4011.10.10.50, 4011.10.10.60, 4011.10.10.70, (3) non-pneumatic tires, such as solid Association Year Book, the maximum load 4011.10.50.00, 4011.20.10.05, and rubber tires; limit molded on the tire is higher than the 4011.20.50.10. Tires meeting the scope (4) tires designed and marketed exclusively maximum load limit listed at that cold description may also enter under the as temporary use spare tires for passenger inflation pressure for that size designation in following HTSUS subheadings: vehicles which, in addition, exhibit each of either the passenger car or light truck section 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, the following physical characteristics: of the Tire and Rim Association Year Book; 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, (a) The size designation and load index (7) tires designed and marketed exclusively 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, combination molded on the tire’s sidewall for off-road use and which, in addition, 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, are listed in Table PCT–1R (‘‘T’’ Type Spare exhibit each of the following physical and 8708.70.60.60. While HTSUS Tires for Temporary Use on Passenger characteristics: subheadings are provided for convenience Vehicles) or PCT–1B (‘‘T’’ Type Diagonal (a) The size designation and load index and for customs purposes, the written (Bias) Spare Tires for Temporary Use on combination molded on the tire’s sidewall description of the subject merchandise is Passenger Vehicles) of the Tire and Rim are listed in the off-the-road, agricultural, dispositive. Association Year Book, industrial or ATV section of the Tire and Rim Appendix II—List of Topics Discussed (b) the designation ‘‘T’’ is molded into the Association Year Book, in the Final Decision Memorandum tire’s sidewall as part of the size designation, (b) in addition to any size designation and, markings, the tire incorporates a warning, I. Summary (c) the tire’s speed rating is molded on the prominently molded on the sidewall, that the II. Background sidewall, indicating the rated speed in MPH tire is ‘‘Not For Highway Service’’ or ‘‘Not for III. Scope of the Investigation or a letter rating as listed by Tire and Rim Highway Use’’, IV. Subsidies Valuation Information Association Year Book, and the rated speed (c) the tire’s speed rating is molded on the V. Analysis of Programs is 81 MPH or a ‘‘M’’ rating; sidewall, indicating the rated speed in MPH VI. Analysis of Comments (5) tires designed and marketed exclusively or a letter rating as listed by the Tire and Rim Comment 1: Whether International and as temporary use spare tires for light trucks Association Year Book, and the rated speed U.S. Law Permits Commerce to which, in addition, exhibit each of the does not exceed 55 MPH or a ‘‘G’’ rating, and Countervail Exchanges of Undervalued following physical characteristics: (d) the tire features a recognizable off-road Currency (a) The tires have a 265/70R17, 255/80R17, tread design; Comment 2: Whether Commerce’s 265/70R16, 245/70R17, 245/75R17, 245/ (8) Tires designed and marketed for off- Promulgation of the Currency 70R18, or 265/70R18 size designation; road use as all-terrain-vehicle (ATV) tires or Regulations in the Absence of Legislative (b) ‘‘Temporary Use Only’’ or ‘‘Spare’’ is utility-terrain-vehicle (UTV) tires, and which, Authority Is Outside Its Legal Authority molded into the tire’s sidewall; in addition, exhibit each of the following Comment 3: Whether an Exchange of (c) the tread depth of the tire is no greater characteristics: Currency Constitutes a Financial than 6.2 mm; and (a) The tire’s speed rating is molded on the Contribution (d) Uniform Tire Quality Grade Standards sidewall, indicating the rated speed in MPH Comment 4: Whether the Currency (‘‘UTQG’’) ratings are not molded into the or a letter rating as listed by the Tire and Rim Program Is Specific tire’s sidewall with the exception of 265/ Association Year Book, and the rated speed Comment 5: Whether the Vietnamese Dong 70R17 and 255/80R17 which may have does not exceed 87 MPH or an ‘‘N’’ rating, Was Undervalued During the POI UTQG molded on the tire sidewall; and Comment 6: Whether Countervailing (6) tires designed and marketed exclusively (b) both of the following physical Currency Exchanges Results in a Double for specialty tire (ST) use which, in addition, characteristics are satisfied: Remedy exhibit each of the following conditions: (i) The size designation and load index Comment 7: How the Subsidy Rate for the (a) The size designation molded on the combination molded on the tire’s sidewall Currency Program Should Be Calculated tire’s sidewall is listed in the ST sections of does not match any of those listed in the Comment 8: Whether Import Duty the Tire and Rim Association Year Book, passenger car or light truck sections of the Exemptions for Raw Materials Are (b) the designation ‘‘ST’’ is molded into the Tire and Rim Association Year Book, and Countervailable tire’s sidewall as part of the size designation, (ii) The size designation and load index Comment 9: Whether Commerce Should (c) the tire incorporates a warning, combination molded on the tire’s sidewall Revise the Benchmark for the Provision prominently molded on the sidewall, that the matches any of the following size designation of Natural Rubber to KTV tire is ‘‘For Trailer Service Only’’ or ‘‘For (American standard or metric) and load Comment 10: Whether KTV’s Preferential Trailer Use Only’’, index combinations: Rent is Countervailable
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Comment 11: Whether Sailun Used the Scope of the Investigation relied upon in making its final Program on Preferential Rent determination in this investigation. Comment 12: Whether Commerce Should The products covered by this investigation are passenger tires from However, we took additional steps in Revise the Benchmark for Preferential lieu of on-site verification to verify the Rent for KTV Korea. For a complete description of the VII. Recommendation scope of this investigation, see information relied upon in making this Appendix I. final determination, in accordance with [FR Doc. 2021–11265 Filed 5–26–21; 8:45 am] section 782(i) of the Tariff Act of 1930, BILLING CODE 3510–DS–P Scope Comments as amended (the Act).6 During the course of this Changes Since the Preliminary DEPARTMENT OF COMMERCE investigation, Commerce received scope Determination comments from interested parties. International Trade Administration Commerce issued a Preliminary Scope Based on our analysis of the Decision Memorandum to address these comments received and our findings [A–580–908] comments.3 We received comments related to our requests for information from interested parties on the in lieu of verification, we made changes Passenger Vehicle and Light Truck to the margin calculations regarding Tires From the Republic of Korea: Preliminary Scope Decision Memorandum, which we addressed in Hankook Tire & Technology Co. Ltd. Final Affirmative Determination of (Hankook) and Nexen Tire Corporation Sales at Less Than Fair Value the Final Scope Decision Memorandum.4 With the exception of (Nexen). For a discussion of these AGENCY: Enforcement and Compliance, one revision to correct a typographical changes, see the Issues and Decision International Trade Administration, error, Commerce is not modifying the Memorandum as well as the final Department of Commerce. scope language as it appeared in the analysis memoranda for Hankook and Nexen.7 SUMMARY: The Department of Commerce correction to the Preliminary (Commerce) determines that passenger Determination.5 See Appendix I for the All-Others Rate final scope of the investigation. vehicle and light truck tires (passenger Section 735(c)(5)(A) of the Act tires) from the Republic of Korea (Korea) Analysis of Comments Received provides that the estimated weighted- are being, or are likely to be, sold in the All issues raised in the case and average dumping margin for all other United States at less than fair value producers and exporters not (LTFV) for the period of investigation rebuttal briefs that were submitted by parties in this investigation are individually investigated shall be equal (POI) April 1, 2019, through March 31, to the weighted average of the estimated 2020. addressed in the Issues and Decision Memorandum. A list of the issues weighted-average dumping margins DATES: Applicable May 27, 2021. addressed in the Issues and Decision established for exporters and producers FOR FURTHER INFORMATION CONTACT: Elfi Memorandum is attached to this notice individually investigated excluding Blum or Jun Jack Zhao, AD/CVD at Appendix II. The Issues and Decision rates that are zero, de minimis, or Operations, Office VII, Enforcement and Memorandum is a public document and determined entirely under section 776 Compliance, International Trade is on file electronically via Enforcement of the Act. Pursuant to section Administration, U.S. Department of and Compliance’s Antidumping and 735(c)(5)(B) of the Act, if the estimated Commerce, 1401 Constitution Avenue Countervailing Duty Centralized weighted-average dumping margins NW, Washington, DC 20230; telephone: Electronic Service System (ACCESS). established for all exporters and (202) 482–0197 or (202) 482–1396, ACCESS is available to registered users producers individually examined are respectively. at https://access.trade.gov. In addition, a zero, de minimis or determined based entirely on facts otherwise available, SUPPLEMENTARY INFORMATION: complete version of the Issues and Decision Memorandum can be accessed Commerce may use any reasonable Background directly at http://enforcement.trade.gov/ method to establish the estimated On January 6, 2021, Commerce frn. weighted-average dumping margin for all other producers or exporters. published in the Federal Register its Verification preliminary affirmative determination In this investigation, Commerce in the LTFV investigation of passenger Commerce was unable to conduct on- calculated estimated weighted-average tires from Korea, in which we also site verification of the information dumping margins for Hankook and postponed the final determination until Nexen that are not zero, de minimis, or May 21, 2021.1 We invited interested Tires from the Republic of Korea,’’ dated based entirely on facts otherwise concurrently with, and herby adopted by, this parties to comment on the Preliminary notice (Issues and Decision Memorandum). 6 See Commerce’s Letters, ‘‘In Lieu of Verification Determination. A summary of the events 3 See Memorandum, ‘‘Passenger Vehicle and Supplemental,’’ dated March 8, 2021; see also that occurred since Commerce Light Truck Tires from the Republic of Korea, Hankook’s Letter, ‘‘Passenger Vehicle and Light published the Preliminary Taiwan, Thailand, and the Socialist Republic of Truck Tires from the Republic of Korea (A–580– Vietnam: Preliminary Scope Comments Decision 908): Verification Questionnaire Response,’’ dated Determination is found in the Issues and Memorandum.’’ dated December 29, 2020 2 March 16, 2021, and Nexen’s Letter, ‘‘Passenger Decision Memorandum. (Preliminary Scope Decision Memorandum). Vehicle and Light Truck Tires from South Korea: 4 See Memorandum, ‘‘Passenger Vehicle and Response to Request for Information In Lieu of 1 See Passenger Vehicle and Light Truck Tires Light Truck Tires from the Republic of Korea, Verification,’’ dated March 17, 2021. from the Republic of Korea: Preliminary Affirmative Taiwan, Thailand, and the Socialist Republic of 7 See Memoranda, ‘‘Analysis for the Final Determination of Sales at Less Than Fair Value, Vietnam: Scope Comments Final Decision Determination of the Less-Than-Fair Value Postponement of Final Determination, and Memorandum.’’ dated concurrently with this notice Investigation of Passenger Vehicle and Light Truck Extension of Provisional Measures, 86 FR 501 (Final Scope Decision Memorandum). Tires from South Korea: Final Margin Analysis for (January 6, 2021) (Preliminary Determination), and 5 See Passenger Vehicle and Light Truck Tires Hankook Tire & Technology Co. Ltd.’’ dated May accompanying Preliminary Decision Memorandum. from the Republic of Korea, Taiwan, Thailand, and 21, 2021; ‘‘Analysis for the Final Determination of 2 See Memorandum, ‘‘Issues and Decision the Socialist Republic of Vietnam: Notice of the Less-Than-Fair Value Investigation of Passenger Memorandum for the Final Affirmative Correction to Preliminary Determinations in Less- Vehicle and Light Truck Tires from South Korea: Determination in the Less-Than-Fair-Value Than-Fair-Value Investigations, 86 FR 7252 Final Margin Analysis for Nexen Tire Corporation.’’ Investigation of Passenger Vehicle and Light Truck (January 27, 2021). dated May 21, 2021.
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available. Commerce calculated the all- in Appendix I of this notice, which are disclosed under APO in accordance others rate using a weighted average of entered, or withdrawn from warehouse, with 19 CFR 351.305(a)(3). Timely the estimated weighted-average for consumption on or after January 6, written notification of the return or dumping margins calculated for the 2021, the date of publication in the destruction of APO materials or examined respondents weighted by each Federal Register of the affirmative conversion to judicial protective order is respondent’s publicly-ranged total U.S. Preliminary Determination. hereby requested. Failure to comply sale values for the merchandise under Pursuant to section 735(c)(1)(B)(ii) of with the regulations and the terms of an consideration.8 the Act and 19 CFR 351.210(d), we will APO is a sanctionable violation. instruct CBP to require a cash deposit as Final Determination follows: (1) The cash deposit rate for the Notification to Interested Parties The final estimated weighted-average respondents listed above will be equal This determination and this notice are dumping margins are as follows: to the company-specific estimated issued and published pursuant to weighted-average dumping margin sections 735(d) and 777(i)(1) of the Act, Estimated determined in this final determination; and 19 CFR 351.210(c). weighted- (2) if the exporter is not a company average Dated: May 21, 2021. Exporter or producer dumping identified above, but the producer is, margin then the cash deposit rate will be equal Christian Marsh, (percent) to the company-specific estimated Acting Assistant Secretary for Enforcement weighted-average dumping margin and Compliance. Hankook Tire & Technology Co. established for that producer of the Appendix I—Scope of the Investigation Ltd ...... 27.05 subject merchandise; and (3) the cash Nexen Tire Corporation ...... 14.72 The scope of this investigation is passenger All Others ...... 21.74 deposit rate for all other producers and exporters will be equal to the all-others vehicle and light truck tires. Passenger vehicle and light truck tires are new estimated weighted-average dumping Disclosure pneumatic tires, of rubber, with a passenger margin. These suspension of liquidation vehicle or light truck size designation. Tires We intend to disclose the calculations instructions will remain in effect until covered by this investigation may be tube- performed in this final determination further notice. type, tubeless, radial, or non-radial, and they within five days of its public International Trade Commission may be intended for sale to original announcement or, if there is no public equipment manufacturers or the replacement announcement, within five days of the Notification market. date of publication of this notice to In accordance with section 735(d) of Subject tires have, at the time of parties in this proceeding in accordance the Act, we will notify the International importation, the symbol ‘‘DOT’’ on the with 19 CFR 351.224(b). Trade Commission (ITC) of the final sidewall, certifying that the tire conforms to affirmative determination of sales at applicable motor vehicle safety standards. Continuation of Suspension of LTFV. Because Commerce’s final Subject tires may also have the following Liquidation prefixes or suffix in their tire size determination is affirmative, in designation, which also appears on the In accordance with section accordance with section 735(b)(2) of the sidewall of the tire: 735(c)(1)(B) of the Act, Commerce will Act, the ITC will make its final Prefix designations: instruct U.S. Customs and Border determination as to whether the P—Identifies a tire intended primarily for Protection (CBP) to continue to suspend domestic industry in the United States service on passenger cars. liquidation of all appropriate entries of is materially injured, or threatened with LT—Identifies a tire intended primarily for passenger tires from Korea, as described material injury, by reason of imports or service on light trucks. sales (or the likelihood of sales) of Suffix letter designations: LT—Identifies light truck tires for service 8 With two respondents under examination, passenger tires no later than 45 days on trucks, buses, trailers, and multipurpose Commerce normally calculates: (A) An average, after this final determination. If the ITC weighted by each respondent’s publicly-ranged U.S. passenger vehicles used in nominal highway sale quantity for the merchandise under determines that such injury does not service. consideration, of the estimated weighted-average exist, this proceeding will be All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all dumping margins calculated for the examined terminated, and all cash deposits posted tires with an ‘‘LT’’ suffix in their sidewall respondents; (B) a simple average of the estimated will be refunded and suspension of markings are covered by this investigation weighted-average dumping margins calculated for liquidation will be lifted. If the ITC regardless of their intended use. the examined respondents; and (C) an average, In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ weighted by each company’s publicly-ranged U.S. determines that such injury does exist, sale quantities for the merchandise under Commerce will issue an antidumping prefix or suffix in their sidewall markings, as consideration, of the estimated weighted-average duty order directing CBP to assess, upon well as all tires that include any other prefix or suffix in their sidewall markings, are dumping margins calculated for the examined further instruction by Commerce, respondents. Commerce then compares (B) and (C) included in the scope, regardless of their to (A) and selects either the (B) or (C) rate based antidumping duties on all imports of the intended use, as long as the tire is of a size on the rate closest to (A) as the most appropriate subject merchandise entered, or that fits passenger cars or light trucks. Sizes rate for all other producers and exporters. See, e.g., withdrawn from warehouse, for that fit passenger cars and light trucks Ball Bearings and Parts Thereof from France, include, but are not limited to, the numerical Germany, Italy, Japan, and the United Kingdom: consumption on or after the effective Final Results of Antidumping Duty Administrative date of the suspension of liquidation, as size designations listed in the passenger car Reviews, Final Results of Changed-Circumstances discussed above in the ‘‘Continuation of section or light truck section of the Tire and Review, and Revocation of an Order in Part, 75 FR Suspension of Liquidation’’ section. Rim Association Year Book, as updated 53661, 53663 (September 1, 2010). As complete annually. The scope includes all tires that are publicly ranged sales data are available, Commerce Notification Regarding Administrative of a size that fits passenger cars or light based the all-others rate on the publicly ranged Protective Orders trucks, unless the tire falls within one of the sales data of the mandatory respondents. For a specific exclusions set out below. complete analysis of the data, please see ’ This notice will serve as a final Passenger vehicle and light truck tires, Memorandum ‘‘Final Determination of the Less- reminder to the parties subject to Than-Fair Value Investigation of Passenger Vehicles whether or not attached to wheels or rims, and Light Truck Tires from Korea: Rate for Non- administrative protective order (APO) of are included in the scope. However, if a Examined Companies,’’ dated concurrently with their responsibility concerning the subject tire is imported attached to a wheel this notice. disposition of proprietary information or rim, only the tire is covered by the scope.
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Specifically excluded from the scope are or light truck section of the Tire and Rim The products covered by this investigation the following types of tires: Association Year Book; or are currently classified under the following (1) Racing car tires; such tires do not bear (2) if the maximum cold inflation pressure Harmonized Tariff Schedule of the United the symbol ‘‘DOT’’ on the sidewall and may molded on the tire is less than any cold States (HTSUS) subheadings: 4011.10.10.10, be marked with ‘‘ZR’’ in size designation; inflation pressure listed for that size 4011.10.10.20, 4011.10.10.30, 4011.10.10.40, (2) pneumatic tires, of rubber, that are not designation in either the passenger car or 4011.10.10.50, 4011.10.10.60, 4011.10.10.70, new, including recycled and retreaded tires; light truck section of the Tire and Rim 4011.10.50.00, 4011.20.10.05, and (3) non-pneumatic tires, such as solid Association Year Book, the maximum load 4011.20.50.10. Tires meeting the scope rubber tires; limit molded on the tire is higher than the description may also enter under the (4) tires designed and marketed exclusively maximum load limit listed at that cold following HTSUS subheadings: as temporary use spare tires for passenger inflation pressure for that size designation in 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, vehicles which, in addition, exhibit each of either the passenger car or light truck section 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, the following physical characteristics: of the Tire and Rim Association Year Book; 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, (a) The size designation and load index (7) tires designed and marketed exclusively 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, combination molded on the tire’s sidewall for off-road use and which, in addition, and 8708.70.60.60. While HTSUS are listed in Table PCT–1R (‘‘T’’ Type Spare exhibit each of the following physical subheadings are provided for convenience Tires for Temporary Use on Passenger characteristics: and for customs purposes, the written Vehicles) or PCT–1B (‘‘T’’ Type Diagonal (a) The size designation and load index description of the subject merchandise is (Bias) Spare Tires for Temporary Use on combination molded on the tire’s sidewall dispositive. Passenger Vehicles) of the Tire and Rim are listed in the off-the-road, agricultural, Association Year Book, industrial or ATV section of the Tire and Rim Appendix II—List of Topics Discussed (b) the designation ‘‘T’’ is molded into the Association Year Book, in the Issues and Decision tire’s sidewall as part of the size designation, (b) in addition to any size designation Memorandum and, markings, the tire incorporates a warning, (c) the tire’s speed rating is molded on the prominently molded on the sidewall, that the I. Summary sidewall, indicating the rated speed in MPH tire is ‘‘Not For Highway Service’’ or ‘‘Not for II. Background or a letter rating as listed by Tire and Rim Highway Use’’, III. Scope of the Investigation Association Year Book, and the rated speed (c) the tire’s speed rating is molded on the IV. Changes from the Preliminary is 81 MPH or a ‘‘M’’ rating; sidewall, indicating the rated speed in MPH Determination (5) tires designed and marketed exclusively or a letter rating as listed by the Tire and Rim V. Application of Facts Available and Use of as temporary use spare tires for light trucks Association Year Book, and the rated speed Adverse Inference which, in addition, exhibit each of the does not exceed 55 MPH or a ‘‘G’’ rating, and VI. Discussion of the Issues following physical characteristics: (d) the tire features a recognizable off-road Comment 1: Application of Partial Adverse (a) the tires have a 265/70R17, 255/80R17, tread design; Facts Available (AFA) to Certain 265/70R16, 245/70R17, 245/75R17, 245/ (8) Tires designed and marketed for off- Downstream Sales of Hankook 70R18, or 265/70R18 size designation; road use as all-terrain-vehicle (ATV) tires or Comment 2: Hankook’s Revised Home and (b) ‘‘Temporary Use Only’’ or ‘‘Spare’’ is utility-terrain-vehicle (UTV) tires, and which, U.S. Market Sales Data molded into the tire’s sidewall; in addition, exhibit each of the following Comment 3: Hankook’s Minor Corrections (c) the tread depth of the tire is no greater characteristics: Comment 4: Hankook’s Warranty Expenses than 6.2 mm; and (a) the tire’s speed rating is molded on the Comment 5: Application of Partial AFA to (d) Uniform Tire Quality Grade Standards sidewall, indicating the rated speed in MPH Nexen’s Sample Sales (‘‘UTQG’’) ratings are not molded into the or a letter rating as listed by the Tire and Rim Comment 6: Nexen’s CEP Offset tire’s sidewall with the exception of 265/ Association Year Book, and the rated speed Comment 7: Nexen’s Noise Reduction 70R17 and 255/80R17 which may have does not exceed 87 MPH or an ‘‘N’’ rating, Foam and Special Wrapping Costs UTQG molded on the tire sidewall; and VII. Recommendation (6) tires designed and marketed exclusively (b) both of the following physical [FR Doc. 2021–11262 Filed 5–26–21; 8:45 am] characteristics are satisfied: for specialty tire (ST) use which, in addition, BILLING CODE 3510–DS–P exhibit each of the following conditions: (i) The size designation and load index (a) The size designation molded on the combination molded on the tire’s sidewall does not match any of those listed in the tire’s sidewall is listed in the ST sections of DEPARTMENT OF COMMERCE the Tire and Rim Association Year Book, passenger car or light truck sections of the Tire and Rim Association Year Book, and (b) the designation ‘‘ST’’ is molded into the International Trade Administration tire’s sidewall as part of the size designation, (ii) The size designation and load index (c) the tire incorporates a warning, combination molded on the tire’s sidewall [A–580–878] prominently molded on the sidewall, that the matches any of the following size designation tire is ‘‘For Trailer Service Only’’ or ‘‘For (American standard or metric) and load Corrosion-Resistant Steel Products Trailer Use Only’’, index combinations: From the Republic of Korea: Final (d) the load index molded on the tire’s Results of Antidumping Duty sidewall meets or exceeds those load indexes American standard size Metric size Load index Administrative Review and Final listed in the Tire and Rim Association Year Determination of No Shipments; 2018– Book for the relevant ST tire size, and 26x10R12 ...... 254/70R/12 .... 72 2019 (e) either 27x10R14 ...... 254/65R/14 .... 73 (i) the tire’s speed rating is molded on the 28x10R14 ...... 254/70R/14 .... 75 AGENCY: Enforcement and Compliance, sidewall, indicating the rated speed in MPH 28x10R14 ...... 254/70R/14 .... 86 International Trade Administration, or a letter rating as listed by Tire and Rim 30X10R14 ..... 254/80R/14 .... 79 Department of Commerce. Association Year Book, and the rated speed 30x10R15 ...... 254/75R/15 .... 78 SUMMARY: The Department of Commerce does not exceed 81 MPH or an ‘‘M’’ rating; 30x10R14 ...... 254/80R/14 .... 90 or 31x10R14 ...... 254/85R/14 .... 81 (Commerce) determines that certain (ii) the tire’s speed rating molded on the 32x10R14 ...... 254/90R/14 .... 95 corrosion-resistant steel products sidewall is 87 MPH or an ‘‘N’’ rating, and in 32x10R15 ...... 254/85R/15 .... 83 (CORE) from the Republic of Korea either case the tire’s maximum pressure and 32x10R15 ...... 254/85R/15 .... 94 (Korea) were sold in the United States maximum load limit are molded on the 33x10R15 ...... 254/90R/15 .... 86 at less than normal value during the sidewall and either 33x10R15 ...... 254/90R/15 .... 95 (1) both exceed the maximum pressure and period of review of July 1, 2018, through 35x9.50R15 ... 241/105R/15 .. 82 June 30, 2019. maximum load limit for any tire of the same 35x10R15 ...... 254/100R/15 .. 97 size designation in either the passenger car DATES: Applicable May 27, 2021.
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FOR FURTHER INFORMATION CONTACT: Leo the Tariff Act of 1930, as amended (the Rate for Non-Examined Companies Ayala, Elfi Blum, or Lingjun Wang, AD/ Act). The statute and Commerce’s CVD Operations, Office VII, Scope of the Order regulations do not address the Enforcement and Compliance, establishment of a rate to be applied to International Trade Administration, The products covered by this order companies not selected for individual U.S. Department of Commerce, 1401 are CORE from Korea. For a complete examination when Commerce limits its Constitution Avenue NW, Washington, description of the scope of this order, examination in an administrative review DC 20230; telephone: (202) 482–3945, see the Issues and Decision pursuant to section 777A(c)(2) of the 6 (202) 482–0197, or (202) 482–2316, Memorandum. Act. Generally, Commerce looks to respectively. Analysis of Comments Received section 735(c)(5) of the Act, which SUPPLEMENTARY INFORMATION: provides instructions for calculating the All issues raised by parties in the case all-others rate in a market economy Background and rebuttal briefs are addressed in the investigation, for guidance when On November 24, 2020, Commerce Issues and Decision Memorandum. A calculating the rate for companies published the Preliminary Results of the list of the issues addressed in the Issues which were not selected for individual 2018–2019 administrative review of the and Decision Memorandum is provided examination in an administrative antidumping duty (AD) order on CORE in the appendix to this notice. The review. Under section 735(c)(5)(A) of from Korea.1 This review covers eleven Issues and Decision Memorandum is a the Act, the all-others rate is normally companies,2 of which we collapsed public document and is on file ‘‘an amount equal to the weighted Dongbu Steel Co., Ltd. and Dongbu electronically via Enforcement and average of the estimated weighted- Incheon Steel Co., Ltd. as single entity Compliance’s Antidumping and average dumping margins established (i.e., Dongbu) for AD purposes, and Countervailing Duty Centralized for exporters and producers selected Dongbu, Dongkuk, and Electronic Service System (ACCESS). individually investigated, excluding any Hyundai as mandatory respondents. ACCESS is available to registered users zero or de minimis margins, and any We invited interested parties to at https://access.trade.gov. In addition, a margins determined entirely {on the comment on the Preliminary Results complete version of the Issues and basis of facts available}.’’ and received case and rebuttal briefs.3 Decision Memorandum can be accessed In this review, the final estimated On March 22, 2021, we extended the directly at http://enforcement.trade.gov/ weighted-average dumping margins for time limit for the final results of this frn/. Dongbu and Dongkuk are not zero, de review from 120 days to 168 days.4 On Changes Since the Preliminary Results minimis, or based entirely on facts May 10, 2021, Commerce extended the otherwise available, and for Hyundai is deadline for the final results by an Based on the comments received, we zero. Therefore, Commerce calculated additional 10 days to May 21, 2021.5 made changes for these final results the rate for non-examined companies Commerce conducted this review in which are explained in the Issues and using a weighted average of the accordance with section 751(a)(1)(B) of Decision Memorandum. estimated weighted-average dumping Final Determination of No Shipments margins calculated for Dongbu and 1 See Certain Corrosion-Resistant Steel Products Dongkuk using each company’s publicly from the Republic of Korea: Preliminary Results and We received no comments regarding ranged values for the subject Partial Rescission of Antidumping Duty the no shipments claims with respect to merchandise.8 Administrative Review; 2018–019, 85 FR 74987 NSSVC, HSG, and TDA since the (November 24, 2020) (Preliminary Results), and Preliminary Results. Further, we have Final Results of the Administrative accompanying Preliminary Decision Memorandum. Review 2 The eleven companies are: Dongbu Steel Co., analyzed the questionnaire responses Ltd., Dongbu Incheon Steel Co., Ltd., Dongkuk Steel submitted by the respondents since the We determine that the following Mill Co., Ltd. (Dongkuk), Hyundai Steel Company Preliminary Results and determined that weighted-average dumping margins (Hyundai), POSCO Ltd., POSCO Daewoo the record contains no information that Corporation, POSCO International Corporation, exist for the period July 1, 2018, through POSCO Coated & Color Steel Co., Hoa Sen Group calls into question a finding of no June 30, 2019: (HSG), Ton Dong A Corporation (TDA), and Nippon shipments.7 Therefore, we find that Steel and Sumikin Sales Vietnam Co. (NSSVC). NSSVC, HSG, and TDA had no 8 Commerce normally calculates (A) a weighted- 3 See Petitioners’ Letters: ‘‘Corrosion-Resistant shipments of subject merchandise average of the estimated weighted-average dumping Steel Products from the Republic of Korea: during the POR. margins calculated for the examined respondents; Petitioners’ Case Brief Regarding Dongbu Steel Co., (B) a simple average of the estimated weighted- Ltd.,’’ dated January 11, 2021; ‘‘Corrosion-Resistant average dumping margins calculated for the Steel Products from the Republic of Korea: 6 See Memorandum, ‘‘Certain Corrosion-Resistant examined respondents; and (C) a weighted-average Petitioners’ Case Brief Regarding Dongkuk Steel Steel Products from the Republic of Korea: Issues of the estimated weighted-average dumping margins Mill Co., Ltd.,’’ dated January 11, 2021; ‘‘Corrosion- and Decision Memorandum for the Final Results of calculated for the examined respondents using each Resistant Steel Products from South Korea: Antidumping Duty Administrative Review and company’s publicly ranged U.S. sale values of the Petitioners’ Rebuttal Brief Regarding Dongkuk Steel Final Determination of No Shipments; 2018–2019,’’ subject merchandise. Commerce then selects from Mill Co., Ltd.,’’ dated January 19, 2021; Dongkuk’s dated with, and hereby adopted by, this notice (B) and (C) the rate closest to (A) as the most Letters, ‘‘Certain Corrosion-Resistant Steel Products (Issues and Decision Memorandum). appropriate rate for non-examined companies. See from the Republic of Korea: Case Brief,’’ dated 7 See NSSVC’s Letter, ‘‘Corrosion-Resistant Steel Ball Bearings and Parts Thereof from France, January 11, 2021; and ‘‘Certain Corrosion-Resistant Products from the Republic of Korea: NSSVC’s Germany, Italy, Japan, and the United Kingdom: Steel Products from the Republic of Korea: Rebuttal Response to the Department’s Administrative Final Results of Antidumping Duty Administrative Brief,’’ dated January 19, 2021. Review Questionnaire,’’ dated November 24, 2020; Reviews, Final Results of Changed-Circumstances 4 See Memorandum, ‘‘Certain Corrosion-Resistant TDA’s Letters, ‘‘Certain Corrosion-Resistant Steel Review, and Revocation of an Order in Part, 75 FR Steel Products from the Republic of Korea: Products from the Korea, 7/1/2018–6/30/2018 53661, 53663 (September 1, 2010). Extension of Deadline for Final Results of Administrative Review, Case No. A–580–878: Initial 9 Commerce finds that that KG Dongbu Steel Co., Antidumping Duty Administrative Review,’’ dated Questionnaire Response,’’ dated November 23, Ltd. is the successor-in-interest to Dongbu Steel Co., March 22, 2021. 2020, and ‘‘Certain Corrosion-Resistant Steel Ltd. and Dongbu Incheon Steel Co., Ltd. for 5 See Memorandum, ‘‘Certain Corrosion-Resistant Products from the Republic of Korea, Case No. A– purposes of determining AD cash deposits and Steel Products from the Republic of Korea: Second 580–878: No Shipment letter,’’ dated October 9, liabilities. See Certain Cold-Rolled Steel Flat Extension of Deadline for Final Results of 2019; and HSG’s Letter, ‘‘Corrosion-Resistant Steel Products and Certain Corrosion-Resistant Steel Antidumping Duty Administrative Review,’’ dated Products from the People’s Republic of China- Products from the Republic of Korea: Final Results May 10, 2021. Response to Questionnaire,’’ dated March 11, 2020. of Antidumping and Countervailing Duty Changed
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Weighted-average Producer or exporter dumping margin (percent)
Dongbu Steel Co., Ltd./Dongbu Incheon Steel Co., Ltd.9 ...... 0.86 Dongkuk Steel Mill Co., Ltd ...... 0.76 Hyundai Steel Company ...... 0.00
Review-Specific Average Rate Applicable to the Following Companies: 10
POSCO, POSCO Daewoo Corporation and POSCO International Corporation ...... 0.80 POSCO Coated & Color Steel Co., Ltd ...... 0.80
Disclosure expired (i.e., within 90 days of prior to liquidation of the relevant publication). entries during the POR. Failure to We intend to disclose the calculations comply with this requirement could Cash Deposit Requirements performed in connection with these result in Commerce’s presumption that final results to parties in this proceeding The following cash deposit reimbursement of antidumping duties within five days after public requirements will be effective upon occurred and the subsequent assessment announcement of the final results, in publication of the notice of final results of doubled antidumping duties. accordance with 19 CFR 351.224(b). of administrative review for all Administrative Protective Order Assessment Rates shipments of subject merchandise entered, or withdrawn from warehouse, This notice also serves as a reminder Pursuant to section 751(a)(2)(A) of the for consumption on or after the date of to parties subject to administrative Act, and 19 CFR 351.212(b)(1), publication, as provided by section protective orders (APO) of their Commerce will determine, and U.S. 751(a)(2) of the Act: (1) The cash deposit responsibility concerning the return or Customs and Border Protections (CBP) rate for the respondents noted above destruction of proprietary information shall assess, antidumping duties on all will be the rate established in the final disclosed under APO in accordance appropriate entries of subject results of this administrative review; (2) with 19 CFR 351.305(a)(3). Timely merchandise in accordance with the for merchandise exported by written notification of the return or final results of this review. We will manufacturers or exporters not covered destruction of APO materials, or calculate importer-specific assessment in this administrative review but conversion to judicial protective order, rates on the basis of the ratio of the total covered in a prior segment of the is hereby requested. Failure to comply amount of antidumping duties proceeding, the cash deposit rate will with the regulations and the terms of an calculated for each importer’s examined continue to be the company-specific rate APO is a sanctionable violation. sales and the total entered value of the published for the most recently sales in accordance with 19 CFR completed segment of this proceeding; Notification to Interested Parties 351.212(b)(1). (3) if the exporter is not a firm covered We are issuing and publishing this in this review, a prior review, or the For entries of subject merchandise notice in accordance with sections original investigation, but the producer during the POR produced by each 751(a)(1) and 777(i) of the Act, and 19 is, then the cash deposit rate will be the respondent for which it did not know its CFR 351.221(b)(5). rate established for the most recently merchandise was destined for the completed segment of this proceeding Dated: May 21, 2021. United States, we will instruct CBP to for the producer of the subject Christian Marsh, liquidate such entries at the all-others merchandise; and (4) the cash deposit Acting Assistant Secretary for Enforcement rate if there is no rate for the rate for all other producers or exporters and Compliance. intermediate company(ies) involved in will continue to be 8.31 percent, the all- Appendix the transaction. others cash deposit rate established in Consistent with its recent notice,11 the investigation.12 These cash deposit List of Topics Discussed in the Issues and Decision Memorandum Commerce intends to issue assessment requirements, when imposed, shall instructions to CBP no earlier than 35 remain in effect until further notice. I. Summary days after the date of publication of the II. Background final results of this review in the Notification to Importers Regarding the III. Scope of the Order Federal Register. If a timely summons is Reimbursement of Duties IV. Changes Since the Preliminary Results V. Final Determination of No Shipments filed at the U.S. Court of International This notice also serves as a final VI. Discussion of Comments Trade, the assessment instructions will reminder to importers of their Comment 1: Home Market Packing direct CBP not to liquidate relevant responsibility under 19 CFR 351.402(f) Expenses entries until the time for parties to file to file a certificate regarding the Comment 2: Clad Material/Coating Metal a request for a statutory injunction has reimbursement of antidumping duties (CMETALH/U) Coding
Circumstances Reviews, 86 FR 10922 (February 23, Circumstances Reviews, 86 FR 10922 (February 23, the Republic of Korea and Taiwan: Amended Final 2021). 2021). Affirmative Antidumping Determination for India 10 See supra n.8. 10 See supra n.8. and Taiwan, and Antidumping Duty Orders, 81 FR 9 Commerce finds that that KG Dongbu Steel Co., 11 See Notice of Discontinuation of Policy to Issue 48390 (July 25, 2016), as amended by Certain Ltd. is the successor-in-interest to Dongbu Steel Co., Liquidation Instructions After 15 Days in Corrosion-Resistant Steel Products from the Ltd. and Dongbu Incheon Steel Co., Ltd. for Applicable Antidumping and Countervailing Duty Republic of Korea: Notice of Court Decision Not in purposes of determining AD cash deposits and Harmony with Final Determination of Investigation liabilities. See Certain Cold-Rolled Steel Flat Administrative Proceedings, 86 FR 3995 (January Products and Certain Corrosion-Resistant Steel 15, 2021). and Notice of Amended Final Results, 83 FR 39054 Products from the Republic of Korea: Final Results 12 See Certain Corrosion-Resistant Steel Products (August 8, 2018). of Antidumping and Countervailing Duty Changed from India, Italy, the People’s Republic of China,
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Comment 3: Changes to Calculations Action Coalition (the petitioner) filed its Antidumping and Countervailing Duty Comment 4: General & Administrative case brief.3 Centralized Electronic Service System (G&A) Expenses On January 8, 2021, we received a (ACCESS). ACCESS is available to Comment 5: Constructed Export Price joint rebuttal brief from the respondents registered users at https:// (CEP) Offset and a rebuttal brief from the petitioner.4 Comment 6: Cost of Production-Smoothing access.trade.gov. In addition, a complete VII. Recommendation On February 26, 2021, Commerce version of the Issues and Decision rejected the respondents’ case brief and Memorandum can be accessed directly [FR Doc. 2021–11247 Filed 5–26–21; 8:45 am] the petitioner’s rebuttal brief for at http://enforcement.trade.gov/frn/ BILLING CODE 3510–DS–P containing untimely new factual index.html. information.5 On March 2, 2021, the Changes Since the Preliminary Results DEPARTMENT OF COMMERCE respondents’ submitted a revised case brief, and the petitioner submitted its Based on our analysis of the International Trade Administration revised rebuttal case brief.6 comments received, and for the reasons On March 3, 2021, Commerce explained in the Issues and Decision [A–489–829] extended the deadline for these final Memorandum, we made certain changes results until May 21, 2021.7 from the Preliminary Results. Steel Concrete Reinforcing Bar From the Republic of Turkey: Final Results Scope of the Order 8 Final Determination of No Shipments of Antidumping Duty Administrative The scope of the Order covers rebar For the Preliminary Results, we found Review and Final Determination of No from Turkey. A full description of the that Habas Sinai ve Tibbi Gazlar Istihsal Shipments; 2018–2019 scope of the Order is contained in the Endu¨ strisi A.S (Habas) did not have any Issues and Decision Memorandum.9 shipments of subject merchandise AGENCY: Enforcement and Compliance, during the POR. No parties commented International Trade Administration, Analysis of Comments Received on this preliminary determination. For Department of Commerce. All issues raised in the case and the final results of review, we continue SUMMARY: The Department of Commerce rebuttal briefs filed by parties in this to find that Habas made no shipments (Commerce) finds that sales of steel review are addressed in the Issues and of subject merchandise during the POR. concrete reinforcing bar (rebar) from the Decision Memorandum. A list of the Final Results of Administrative Review Republic of Turkey (Turkey) were made issues addressed in the Issues and at less than normal value during the Decision Memorandum is in the For these final results, we determine period of review (POR) July 1, 2018, appendix to this notice. The Issues and that the following weighted-average through June 30, 2019. Decision Memorandum is a public dumping margins exist for the period DATES: Applicable May 27, 2021. document and is on file electronically July 1, 2018, through June 30, 2019: FOR FURTHER INFORMATION CONTACT via Enforcement and Compliance’s : Weighted- Robert Copyak or Thomas Dunne, AD/ average CVD Operations, Office VII, 3 See Petitioner’s Letter, ‘‘Steel Concrete Producers/exporters dumping Enforcement and Compliance, Reinforcing Bar from the Republic of Turkey: margin RTAC’s Case Brief,’’ dated December 22, 2020. (percent) International Trade Administration, 4 See Respondents’ Letter, ‘‘Steel Concrete U.S. Department of Commerce, 1401 Reinforcing Bar from the Republic of Turkey: Icdas Celik Enerji Tersane ve Constitution Avenue NW, Washington, Turkish Respondents’ Rebuttal Case Brief,’’ dated Ulasim Sanayi A.S 10 ...... 5.30 DC 20230; telephone: (202) 482–3642 or January 8, 2021; see also Petitioner’s Letter, ‘‘Steel Kaptan Demir Celik Endu¨strisi ve Concrete Reinforcing Bars from the Republic of (202) 482–2328, respectively. Turkey: RTAC’s Rebuttal Brief,’’ dated January 8, Ticaret A.S ...... 12.41 SUPPLEMENTARY INFORMATION: 2021. Review-Specific Average Rate 5 See Commerce Letters, ‘‘Steel Concrete Applicable to the Following Background Reinforcing Bar from the Republic of Turkey— Companies: 11 Rejection of Case Brief Containing Untimely New Colakoglu Dis Ticaret A.S ... 7.05 On November 24, 2020, Commerce Factual Information,’’ dated February 26, 2021 and Colakoglu Metalurji A.S ...... 7.05 published the Preliminary Results of ‘‘Steel Concrete Reinforcing Bar from the Republic Diler Dis Ticaret A.S ...... 7.05 this administrative review and invited of Turkey—Rejection of Rebuttal Brief Containing Kaptan Metal Dis Ticaret ve interested parties to comment on the Untimely New Factual Information,’’ dated Nakliyat A.S ...... 7.05 1 February 26, 2021. Preliminary Results. These final results 6 See Respondents’ Letter, ‘‘Steel Concrete cover seven companies for which an Reinforcing Bar from the Republic of Turkey: Rates for Non-Selected Companies administrative review was initiated and Submission of Turkish Respondents’ Revised Case For the rate for non-selected not rescinded. On December 22, 2020, Brief,’’ dated March 2, 2021; see also Petitioner’s Letter, ‘‘Steel Concrete Reinforcing Bar from respondents in an administrative Kaptan Demir Celik Endustrisi ve Turkey: Resubmission of RTAC’s Rebuttal Brief,’’ Ticaret A.S. (Kaptan Demir) and Icdas dated March 2, 2021. 10 We have determined that the two company Celik Enerji Tersane ve Ulasim Sanayi 7 See Memorandum, ‘‘Administrative Review of names (Icdas Celik Enerji Tersane ve Ulasim and A.S. (Icdas) (collectively, the the Antidumping Duty Order on Steel Concrete Icdas) refer to the same company, and the rate respondents) filed a joint case brief.2 Reinforcing Bar from the Republic of Turkey,’’ calculated for Icdas applies to both company dated March 3, 2021. names. See Preliminary Results and accompanying Also, on the same day, the Rebar Trade 8 See Steel Concrete Reinforcing Bar from the Preliminary Decision Memorandum at 2. Republic of Turkey and Japan: Amended Final 11 This rate is based on the rates for the 1 See Steel Concrete Reinforcing Bar from the Affirmative Antidumping Duty Determination for respondents that were selected for individual Republic of Turkey: Preliminary Results of the Republic of Turkey and Antidumping Duty review, excluding rates that are zero, de minimis, Antidumping Duty Administrative Review and Orders, 82 FR 32532 (July 14, 2017) (Order). or based entirely on facts available. See section Preliminary Determination of No-Shipments; 2018– 9 See Memorandum, ‘‘Issues and Decision 735(c)(5)(A) of the Act; see also Memorandum, 2019, 85 FR 74983 (November 24, 2020) Memorandum for the Final Results of the 2018– ‘‘Final Results of the Antidumping Administrative (Preliminary Results). 2019 Administrative Review of the Antidumping Review of Steel Concrete Reinforcing Bar from the 2 See Respondents’ Letter, ‘‘Steel Concrete Duty Order on Steel Concrete Reinforcing Bar from Republic of Turkey; 2018–2019: Calculation of the Reinforcing Bar from the Republic of Turkey: Turkey,’’ dated concurrently with, and hereby Cash Deposit Rate for Non-Selected Companies,’’ Turkish Respondents’ Case Brief,’’ dated December adopted by, this notice (Issues and Decision dated concurrently with these final results (Non- 22, 2020. Memorandum). Selected Companies Memorandum).
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review, generally, Commerce looks to intermediate reseller, if available, or at Notification to Interested Parties section 735(c)(5) of the Act, which the all others rate.13 Commerce intends Regarding Administrative Protective provides instructions for calculating the to issue assessment instructions to CBP Order all-others rate in a market economy no earlier than 35 days after the date of investigation. Under section publication of the final results of this This notice also serves as the only 735(c)(5)(A) of the Act, the all-others review in the Federal Register. If a reminder to parties subject to rate is normally ‘‘an amount equal to the timely summons is filed at the U.S. administrative protective order (APO) of weighted-average of the estimated Court of International Trade, the their responsibility concerning the weighted average dumping margins assessment instructions will direct CBP disposition of proprietary information established for exporters and producers not to liquidate relevant entries until the disclosed under APO in accordance individually investigated, excluding any time for parties to file a request for a with 19 CFR 351.305(a)(3), which zero or de minimis margins, and any statutory injunction has expired (i.e., continues to govern business { margins determined entirely on the within 90 days of publication). proprietary information in this segment basis of facts available}.’’ In this Cash Deposit Requirements of the proceeding. Timely written segment of the proceeding, we notification of the return or destruction calculated margins for Kaptan Demir The following cash deposit of APO materials or conversion to and Icdas that were not zero, de requirements for estimated antidumping judicial protective order is hereby minimis, or based on facts available. duties will be effective upon publication requested. Failure to comply with the Accordingly, Commerce calculated the of the notice of these final results of regulations and the terms of an APO is cash deposit rate for the companies not review for all shipments of rebar from a sanctionable violation. selected for individual examination to Turkey entered, or withdrawn from be 7.05 percent using a weighted- warehouse, for consumption on or after We are issuing and publishing this average of the estimated weighted- the date of publication as provided by notice in accordance with sections average dumping margins calculated for section 751(a)(2) of the Act: (1) The cash 751(a)(1) and 777(i)(1) of the Act and 19 Icdas and Kaptan Demir and each deposit rate for Kaptan Demir will be CFR 351.213(h). company’s publicly-ranged values for 12.41 percent; (2) the cash deposit rate Dated: May 21, 2021. the merchandise under consideration.12 for Icdas will be 5.30 percent; (3) the Christian Marsh, Disclosure cash deposit rate for Colakoglu Dis Ticaret A.S., Colakoglu Metalurji A.S., Acting Assistant Secretary for Enforcement Commerce intends to disclose the Diler Dis Ticaret A.S., and Kaptan Metal and Compliance. calculations performed for these final Dis Ticaret ve Nakliyat A.S. will be 7.05 results of review within five days of the Appendix—List of Topics Discussed in percent; (4) for merchandise exported by the Issues and Decision Memorandum date of publication of this notice in the producers or exporters not covered in Federal Register, in accordance with 19 this review but covered in a prior I. Summary CFR 351.224(b). segment of the proceeding, the cash II. Background Assessment Rates deposit rate will continue to be the III. Scope of the Order company-specific rate published for the IV. Changes Since the Preliminary Results Pursuant to section 751(a)(2)(A) of the V. Discussion of the Issues Act and 19 CFR 351.212(b)(1), most recent period; (5) if the exporter is not a firm covered in this review, a prior Comment 1: Whether Commerce Should Commerce shall determine and U.S. Use Contract Date for Kaptan Demir’s Customs and Border Protection (CBP) review, or the original investigation, but the producer is, then the cash deposit U.S. Date of Sale shall assess antidumping duties on all Comment 2: Whether Commerce Should appropriate entries. Commerce will rate will be the rate established for the most recent period for the producer of Revise the Duty Drawback Adjustment instruct CBP to apply an ad valorem Methodology the merchandise; (6) the cash deposit assessment rate of 12.41 percent to all Comment 3: Whether Commerce Should rate for all other producers or exporters entries of subject merchandise during Grant Icdas a Duty Drawback Adjustment will continue to be 7.26 percent,14 the the POR which were produced and/or Comment 4: Whether There was High all-others rate established in the less- exported by Kaptan Demir and an ad Inflation in Turkey During the Period of valorem assessment rate of 5.30 percent than-fair-value investigation. These cash Review to all entries of subject merchandise deposit requirements shall remain in Comment 5: Whether to Treat Section 232 during the POR which were produced effect until further notice. Tariffs as U.S. Customs Duties and/or exported by Icdas. Commerce Notification to Importers Comment 6: Whether Commerce Erred in will also instruct CBP to apply an ad Calculating Icdas’ Margin in the This notice serves as a final reminder valorem assessment rate of 7.05 percent Preliminary Results to importers of their responsibility to all entries of subject merchandise Comment 7: Whether Commerce Should under 19 CFR 351.402(f)(2) to file a during the POR which were produced Change the Treatment of Late Payments and/or exported by Colakoglu Dis certificate regarding the reimbursement in Icdas’ Home Market and Margin Ticaret A.S., Colakoglu Metalurji A.S., of antidumping duties prior to Programs Diler Dis Ticaret A.S., and Kaptan Metal liquidation of the relevant entries Comment 8: Whether Commerce Should Dis Ticaret ve Nakliyat A.S. In addition, during this POR. Failure to comply with Activate a Macro Pertaining to Net Price we continue to find that Habas had no this requirement could result in for Kaptan Demir’s Downstream Home shipments during the POR. Accordingly, Commerce’s presumption that Market Sales consistent with Commerce’s practice, reimbursement of antidumping duties VI. Recommendation occurred and the subsequent assessment we intend to instruct CBP to liquidate [FR Doc. 2021–11258 Filed 5–26–21; 8:45 am] of double antidumping duties. any existing entries of merchandise BILLING CODE 3510–DS–P produced by Habas, but exported by 13 See Antidumping and Countervailing Duty other parties, at the rate for the Proceedings: Assessment of Antidumping Duties, 68 FR 23954 (May 6, 2003). 12 See Non-Selected Companies Memorandum. 14 See Order, 82 FR at 32533.
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DEPARTMENT OF COMMERCE enforcement. Cooperating fishermen ACTION: Request for comments on draft also use the vessel numbers to report revised management plan. National Oceanic and Atmospheric suspicious or non-compliant activities Administration that they observe in unauthorized areas. SUMMARY: The National Oceanic and The identifying number on fishing Atmospheric Administration (NOAA) is Agency Information Collection vessels is used by the National Marine soliciting comments from the public Activities; Submission to the Office of Fisheries Service (NMFS), the United regarding a proposed revision of the Management and Budget (OMB) for States Coast Guard (USCG), and other management plan for the Kachemak Bay Review and Approval; Comment marine agencies in issuing regulations, National Estuarine Research Reserve. A Request; West Coast Region Vessel prosecutions, and other enforcement management plan: Provides a Identification Requirements actions necessary to support sustainable framework for the direction and timing of a reserve’s programs; allows reserve The Department of Commerce will fisheries behaviors as intended in regulations. Regulation-compliant managers to assess a reserve’s success in submit the following information meeting its goals and to identify any collection request to the Office of fishermen ultimately benefit from these requirements, as unauthorized and necessary changes in direction; and is Management and Budget (OMB) for used to guide programmatic evaluations review and clearance in accordance illegal fishing is deterred, and more burdensome regulations are avoided. of the reserve. Plan revisions are with the Paperwork Reduction Act of required of each reserve in the National 1995, on or after the date of publication Affected Public: Business or other for- profit organizations. Estuarine Research Reserve System at of this notice. We invite the general least every five years. This revised plan Frequency: SFD staff consulted with public and other Federal agencies to is intended to replace the plan approved various groundfish vessel captains comment on proposed, and continuing in 2012. information collections, which helps us participating in various groundfish pot, DATES: assess the impact of our information longline, midwater trawl, bottom trawl Comments must be received at collection requirements and minimize fisheries, and determined that gear and the appropriate address (see ADDRESSES) the public’s reporting burden. Public vessel markings have a five-year life on or before June 28, 2021. comments were previously requested span. ADDRESSES: The draft revised via the Federal Register on January 22, Respondent’s Obligation: Mandatory. management plan can be downloaded or 2021, during a 60-day comment period. Legal Authority: 50 CFR 660.12. viewed at https://accs.uaa.alaska.edu/ This notice allows for an additional 30 This information collection request kachemak-bay-nerr-draft-management- days for public comments. may be viewed at www.reginfo.gov. plan. The document is also available by Agency: National Oceanic and Follow the instructions to view the sending a written request to the point of Atmospheric Administration (NOAA). Department of Commerce collections contact identified below (see FOR Title: West Coast Region Vessel currently under review by OMB. FURTHER INFORMATION). Identification Requirements. You may submit comments by: Written comments and Electronic Submission: Submit all OMB Control Number: 0648–0355. recommendations for the proposed Form Number(s): None. electronic public comments by email to information collection should be [email protected]. Include Type of Request: Regular submission submitted within 30 days of the (extension of a currently approved ‘‘Comments on draft Kachemak Bay publication of this notice on the National Estuarine Research Reserve collection). following website www.reginfo.gov/ Number of Respondents: 1,007. Management Plan’’ in the subject line of public/do/PRAMain. Find this the message. Average Hours per Response: 45 particular information collection by minutes. selecting ‘‘Currently under 30-day FOR FURTHER INFORMATION CONTACT: Bree Total Annual Burden Hours: 151. Review—Open for Public Comments’’ or Turner of NOAA’s Office for Coastal Needs and Uses: This request is for by using the search function and Management, by email at Bree.Turner@ extension of a currently approved entering either the title of the collection noaa.gov or phone at (206) 526–4641. information collection. or the OMB Control Number 0648–0355. SUPPLEMENTARY INFORMATION: Pursuant The success of fisheries management to 15 CFR 921.33(c), a state must revise programs depends significantly on Sheleen Dumas, the management plan for the research regulatory compliance. The vessel Department PRA Clearance Officer, Office of reserve at least every five years. If identification requirement is essential to the Chief Information Officer, Commerce approved by NOAA, the Kachemak Bay facilitate enforcement. The ability to Department. National Estuarine Research Reserve’s link fishing (or other activity) to the [FR Doc. 2021–11201 Filed 5–26–21; 8:45 am] revised plan will replace the plan vessel owner or operator is crucial to BILLING CODE 3510–22–P previously approved in 2012. enforcement of regulations issued under The draft revised management plan the authority of the Magnuson-Stevens outlines the reserve’s: Strategic goals Fishery Conservation and Management DEPARTMENT OF COMMERCE and objectives; administrative structure; Act. A vessel’s official number is programs for conducting research and National Oceanic and Atmospheric required to be displayed on the port and monitoring, education, and training; Administration starboard sides of the deckhouse or hull, resource protection plan; public access and on a weather deck. It identifies each Draft Revised Management Plan for the and visitor use plans; consideration for vessel and should be visible at distances Kachemak Bay National Estuarine future land acquisition; and facility at sea and in the air. Law enforcement Research Reserve development to support reserve personnel rely on vessel marking operations. In particular, this draft information to assure compliance with AGENCY: Office for Coastal Management, revised management plan focuses on fisheries management regulations. National Ocean Service, National changes to the Kachemak Bay National Vessels that qualify for particular Oceanic and Atmospheric Estuarine Research Reserve’s fisheries are also readily identified, and Administration, U.S. Department of management issues and goals, which are this allows for more cost-effective Commerce. now: Understanding environmental
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change; understanding land use and Atmospheric Administration (NOAA), we determine whether any species human impacts; community-relevant Commerce. should be removed from the list (i.e., engagement; and long-term ecosystem ACTION: Notice; request for information. delisted) or reclassified from monitoring. endangered to threatened or from Since 2012, the reserve has undergone SUMMARY: NMFS announces the threatened to endangered (16 U.S.C. significant state agency administration initiation of a 5-year review for the 1533(c)(2)(B)). As described by the sperm whale (Physeter macrocephalus). transition from the Alaska Department regulations in 50 CFR 424.11(e), the NMFS is required by the Endangered of Fish and Game, Division of Sport Secretary shall delist a species if the Species Act (ESA) to conduct 5-year Fish to the University of Alaska- Secretary finds that, after conducting a reviews to ensure that the listing Anchorage, College of Arts and status review based on the best Sciences, Alaska Center for classifications of species are accurate. The 5-year review must be based on the scientific and commercial data Conservation Science. With the available: (1) The species is extinct; (2) administrative transition, the reserve best scientific and commercial data the species does not meet the definition staff and programs have relocated from available at the time of the review. We of an endangered species or a threatened the Alaska Islands and Ocean Visitor request submission of any such Center to the reserve’s Field Station information on the sperm whale, species; and/or (3) the listed entity does modular office and bunkhouse. Due to particularly information on the status, not meet the statutory definition of a the change in facilities, some of the threats, and recovery of the species that species. Any change in Federal education and training programs have has become available since its last status classification would require a separate changed, but many of the core research, review in 2015. rulemaking process. monitoring, education, and training DATES: To allow us adequate time to Background information on the activities have remained the same. The conduct this review, we must receive species is available on the NMFS revised management plan, once your information no later than July 26, website at: https:// approved, would serve as the guiding 2021. www.fisheries.noaa.gov/species/sperm- document for the 372,000-acre ADDRESSES: You may submit whale. Kachemak Bay National Estuarine information on this document, Research Reserve for the next five years. identified by NOAA–NMFS–2021–0041, Public Solicitation of New Information NOAA’s Office for Coastal by the following method: To ensure that the review is complete Management analyzes the • Electronic Submission: Submit and based on the best available environmental impacts of the proposed electronic information via the Federal e- approval of this draft revised Rulemaking Portal. Go to scientific and commercial information, management plan in accordance with www.regulations.gov and enter NOAA– we are soliciting new information from section 102(2)(C) of the National NMFS–2021–0041 in the Search box. the public, governmental agencies, Environmental Policy Act of 1969, as Click on the ‘‘Comment’’ icon, complete Tribes, the scientific community, amended, 42 U.S.C. 4332(2)(C), and the the required fields, and enter or attach industry, environmental entities, and Council on Environmental Quality your comments. any other interested parties concerning Regulations for Implementing the Instructions: Comments sent by any the status of Physeter macrocephalus. Procedural Provisions of NEPA (40 CFR other method, to any other address or Categories of requested information 1500–1508). The public is invited to individual, or received after the end of include: (1) Species biology including, comment on the draft revised the specified period, may not be but not limited to, population trends, management plan. NOAA will take considered. All comments received are distribution, abundance, demographics, these comments into consideration in a part of the public record and will and genetics; (2) habitat conditions deciding whether to approve the draft generally be posted for public viewing including, but not limited to, amount, revised management plan in whole or in on www.regulations.gov without change. distribution, and important features for part. All personal identifying information conservation; (3) status and trends of (Authority: 16 U.S.C. 1451 et seq.; 15 CFR (e.g., name, address, etc.), confidential threats to the species and its habitats; (4) 921.33.) business information, or otherwise conservation measures that have been sensitive or protected information implemented that benefit the species, Keelin S. Kuipers, submitted voluntarily by the sender will including monitoring data Deputy Director, Office for Coastal be publicly accessible. NMFS will demonstrating effectiveness of such Management, National Ocean Service, accept anonymous submissions (enter measures; and (5) other new National Oceanic and Atmospheric ‘‘N/A’’ in the required fields if you wish information, data, or corrections Administration. to remain anonymous). [FR Doc. 2021–11270 Filed 5–26–21; 8:45 am] including, but not limited to, taxonomic FOR FURTHER INFORMATION CONTACT: or nomenclatural changes and improved BILLING CODE 3510–NK–P Caroline Good by phone at (301) 427– analytical methods for evaluating 8445 or [email protected]. extinction risk. DEPARTMENT OF COMMERCE SUPPLEMENTARY INFORMATION: This notice announces our review of the If you wish to provide information for National Oceanic and Atmospheric sperm whale (Physeter macrocephalus) the review, you may submit your Administration listed as endangered under the ESA. information and materials electronically Section 4(c)(2)(A) of the ESA requires (see ADDRESSES section). We request that [RTID 0648–XB029] that we conduct a review of listed all information be accompanied by supporting documentation such as Endangered and Threatened Species; species at least once every 5 years. The Notice of Initiation of a 5-Year Review regulations in 50 CFR 424.21 require maps, bibliographic references, or of the Sperm Whale that we publish a notice in the Federal reprints of pertinent publications. Register announcing species currently AGENCY: National Marine Fisheries under active review. On the basis of Service (NMFS), National Oceanic and such reviews under section 4(c)(2)(B),
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Authority: 16 U.S.C. 1531 et seq. exceptions. Sections 101(a)(5)(A) and qualify for an additional renewal IHA, Margaret H. Miller, (D) of the MMPA (16 U.S.C. 1361 et but given the proposed work is a subset seq.) direct the Secretary of Commerce of that which has been previously Acting Chief, Endangered Species Division, Office of Protected Resources, National (as delegated to NMFS) to allow, upon analyzed, we will be referencing the Marine Fisheries Service. request, the incidental, but not prior authorization except where [FR Doc. 2021–11190 Filed 5–26–21; 8:45 am] intentional, taking of small numbers of activities or analysis have changed as marine mammals by U.S. citizens who BILLING CODE 3510–22–P described below. engage in a specified activity (other than commercial fishing) within a specified Comments and Responses DEPARTMENT OF COMMERCE geographical region if certain findings A notice of NMFS’s proposal to issue are made and either regulations are an IHA to Chevron was published in the National Oceanic and Atmospheric issued or, if the taking is limited to Federal Register on April 6, 2021 (86 FR Administration harassment, a notice of a proposed 17777). That notice described, in detail, [RTID 0648–XB087] incidental take authorization is Chevron’s activity, the marine mammal provided to the public for review. species that may be affected by the Authorization for incidental takings Takes of Marine Mammals Incidental to activity, and the anticipated effects on shall be granted if NMFS finds that the Specified Activities; Taking Marine marine mammals. During the 30-day taking will have a negligible impact on Mammals Incidental to Chevron public comment period, NMFS received the species or stock(s) and will not have Richmond Refinery Long Wharf comments from the U.S. Geological an unmitigable adverse impact on the Maintenance and Efficiency Project in Survey that they have ‘‘no comment at availability of the species or stock(s) for San Francisco Bay, California this time’’. No changes have been made taking for subsistence uses (where from the proposed IHA to the final IHA. AGENCY: National Marine Fisheries relevant). Further, NMFS must prescribe Service (NMFS), National Oceanic and the permissible methods of taking and Description of the Specified Activities Atmospheric Administration (NOAA), other ‘‘means of effecting the least and Anticipated Impacts Commerce. practicable adverse impact’’ on the ACTION: Notice; issuance of an incidental affected species or stocks and their As described in the 2018, 2019 and harassment authorization. habitat, paying particular attention to 2020 IHAs, Chevron is upgrading Long rookeries, mating grounds, and areas of Wharf to comply with current Marine SUMMARY: In accordance with the similar significance, and on the Oil Terminal Engineering and regulations implementing the Marine availability of such species or stocks for Maintenance Standards and in order to Mammal Protection Act (MMPA) as taking for certain subsistence uses accept more modern, fuel efficient amended, notification is hereby given (referred to here as ‘‘mitigation vessels. The remaining work includes that NMFS has issued an IHA to measures’’). Monitoring and reporting of installing four new standoff fenders and Chevron Products Company (Chevron) such takings are also required. The removing obsolete piles at Berth 2 and to incidentally harass, by Level B meaning of key terms such as ‘‘take,’’ installing four new dolphins and harassment only, marine mammals ‘‘harassment,’’ and ‘‘negligible impact’’ removing temporary piles associated during construction activities associated can be found in section 3 of the MMPA with the prior work at Berth 4. with the Chevron Richmond Refinery (16 U.S.C. 1362) and the agency’s Remaining construction at Long Wharf Long Wharf Maintenance and Efficiency regulations at 50 CFR 216.103. includes vibratory pile installation of 52 Project (LWMEP) in San Francisco Bay, 14-inch composite piles, vibratory California. History of Request removal of 150 piles (eight 36-inch steel DATES: This authorization is effective On February 1, 2018, NMFS received piles, 36 14-inch steel H piles, and 106 from June 1, 2021 through May 31, a request from Chevron for an IHA to 16-inch timber piles) and impact 2022. take marine mammals incidental to pile installation of nine 24-inch concrete FOR FURTHER INFORMATION CONTACT: driving and pile removal associated piles (Table 1). A detailed description of Dwayne Meadows, Ph.D., Office of with the LWMEP in San Francisco Bay, the planned project is provided in the Protected Resources, NMFS, (301) 427– California. An IHA was issued on May Federal Register notice for the proposed 8401. Electronic copies of the 31, 2018 (83 FR 27548, June 13, 2018). IHA (86 FR 17777; April 6, 2021). Since application, 2019 and 2020 IHAs, and Chevron was unable to complete all of that time, no changes have been made supporting documents (including NMFS the planned work and was issued a to the planned activities. Therefore, a Federal Register notices of the earlier second IHA on June 1, 2019 (84 FR detailed description is not provided proposed and final authorizations, and 28474, June 19, 2019) and when the here. Please refer to that Federal the previous IHAs), as well as a list of work was again not completed a Register notice for the description of the the references cited in this document, Renewal IHA was issued on June 11, specific activity. The activities consist may be obtained online at: https:// 2020 (85 FR 37064; June 19, 2020). of 36 days of in-water work. Pile driving www.fisheries.noaa.gov/permit/ Chevron was again unable to complete and removal activities will continue to incidental-take-authorizations-under- the work in 2020 and on February 24, occur within the standard NMFS work marine-mammal-protection-act. In case 2021 requested a new IHA to authorize windows for Endangered Species Act of problems accessing these documents, take of marine mammals for the subset (ESA)-listed fish species (June 1 through please call the contact listed above. of the initially planned work that could November 30). The prior IHAs included SUPPLEMENTARY INFORMATION: not be completed. The application was Level A harassment take associated with deemed adequate and complete on installation of larger piles that has since Background March 22, 2021. Chevron requested the been completed, therefore no Level A The MMPA prohibits the ‘‘take’’ of new IHA be effective from June 1, 2021 harassment take is requested or marine mammals, with certain through May 31, 2022. Chevron does not proposed for this IHA.
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TABLE 1—PILE DRIVING DETAILS FOR WORK REMAINING TO BE COMPLETED
Number Number of Time/pile Pile type and number per day Pile driver type of piles driving days Strikes/pile (min)
36-inch steel pipe pile (4/day) ...... Vibratory removal ...... 8 2 N/A 5 14-inch H pile removal (6/day) ...... Vibratory removal ...... 36 6 N/A 5 24-inch concrete (1–2/day) ...... Impact install ...... 9 8 440 20 14-inch composite (5/day) ...... Vibratory install ...... 52 11 N/A 10 16-inch timber pile (12/day) ...... Vibratory removal ...... 106 9 N/A 6.67
Description of Marine Mammals Potential Effects on Marine Mammals Estimated Take and Their Habitat A description of the marine mammals A detailed description of the methods in the area of the activities for which A description of the potential effects and inputs used to estimate take for the take is authorized here, including of the specified activity on marine specified activity are found in the notice information on abundance, status, mammals and their habitat for the distribution, and hearing, may be found of the final 2018 and 2019 IHAs. As in the notices of the proposed and final activities for which take is authorized noted above, hydroacoustic monitoring IHAs for the 2019 and 2020 here may be found in the notices of the from prior years has changed the source authorization. NMFS has reviewed the proposed and final IHAs for the 2018 levels, transmission loss coefficients, monitoring data from the 2020 IHA, authorization. NMFS has reviewed the time and strikes to drive piles for recent draft Stock Assessment Reports, monitoring data from the 2019 and 2020 various of the pile sizes. Instead of information on relevant Unusual IHAs, recent draft Stock Assessment referencing prior discussions of these Mortality Events, and other scientific Reports, information on relevant topics we provide complete details of literature, and determined that neither Unusual Mortality Events, and other the pile driving parameters used to this nor any other new information scientific literature, and determined compute the Level A and Level B affects which species or stocks have the that, besides the revised source harassment isopleths for this proposed potential to be affected or the pertinent information harbor seal occurrence IHA in Tables 1 and 2. Based on these information in the Description of the mentioned above and analyzed below, revised inputs the Level A and Level B Marine Mammals in the Area of neither this nor any other new harassment isopleth radii from the Specified Activities contained in the information affects our initial analysis NMFS User Spreadsheet are shown for supporting documents for the 2019 and of impacts on marine mammals and all pile sizes in Tables 2 and 3. 2020 IHAs. their habitat. TABLE 2—PILE DRIVING SOURCE LEVELS AND CALCULATED DISTANCES TO LEVEL A HARASSMENT ISOPLETHS [Sound source reference in italics]
Source levels at 10 meters Distance to Level A threshold Transmission (dB) unless noted (meters) Pile type and sound source loss reference coefficient Low-frequency Mid-frequency High-frequency Phocid Otariid Peak RMS/SEL cetaceans cetaceans cetaceans pinnipeds pinnipeds
Attenuated Impact Driving (with bubble curtain): 24-inch square concrete 15 191 161 SEL...... 31 1 37 17 1 (2018 acoustic monitoring). Vibratory Driving/Extraction: 14-inch Composite Barrier 15 178 168 RMS...... 18 2 26 11 1 Pile (Laughlin 2012). 36-inch steel pipe pile (2019 20 196 167 RMS @15 13 2 17 9 1 acoustic monitoring). m. 14-inch H pile (2018 acous- 20 165 150 RMS...... 2 1 2 1 1 tic monitoring). 16-inch timber pile (WSDOT 15 N/A 152 RMS...... 2 1 3 1 1 2011). Notes: SEL = sound exposure level, RMS = Root Mean Square.
TABLE 3—DISTANCES TO LEVEL B THRESHOLDS AND SIZE OF THE LEVEL B HARASSMENT ZONE FOR EACH PILE TYPE
Level B Area of Pile type harassment isopleth Level B zone (meters) (square kilometers)
Attenuated Impact Driving (with bubble curtain): 24-inch square concrete ...... 74 0.01 Vibratory Driving/Extraction: 14-inch Composite ...... 15,849 26.5 36-inch steel pipe ...... * 3,358 4.04 14-inch H ...... * 316 0.05 16-inch timber ...... 1,359 0.9 * Using transmission loss coefficient and source levels from hydroacoustic monitoring.
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The stocks taken, methods of take, (an increase from 176). Therefore, Level 10 northern fur seals. While no and types of take remain unchanged B harassment take for this stock is the bottlenose dolphins have been observed from the previously issued IHAs. The estimated daily abundance in the in the 2018–2020 monitoring for this only change to the marine mammal project area (237) times the number of project, this species occurs density/occurrence data used to days of in-water work (36), resulting in intermittently in San Francisco Bay. As calculate take is an increase in harbor a proposed authorization for Level B in prior IHAs, we propose authorization seal abundance at the Castro Rocks harassment of 8,532 harbor seals. for Level B harassment of 30 bottlenose haulout. Castro Rocks are part of the Because the Level A harassment zones dolphins. Gray whales occasionally survey area for long-term National Park are small and we believe the Protected enter San Francisco Bay, and as in prior Service (NPS) monitoring studies of Species Observers (PSOs) will be able to IHAs, we propose authorization for harbor seal colonies within the Golden effectively monitor the Level A Level B harassment of 2 gray whales. Gate National Recreation Area that have harassment zones and implement Estimated Level B harassment take for been conducted since 1976. The take shutdowns, we do not authorize take by California sea lions and harbor estimates for this stock for this project Level A harassment for this or any other porpoises for this project has been based have been based on the highest mean stock. on densities of those stocks in the For the remaining species take is plus the standard error of harbor seals vicinity of the project. The estimated estimated as follows (using the same observed at Castro Rocks during recent densities for these species have not criteria as prior IHAs). It is possible that annual surveys conducted by the NPS changed from prior IHAs (0.16 and 0.17 a lone northern elephant seal may enter during the molting season. Based on the animals per square kilometer, most recent surveys (Codde 2020, Codde the Level B Harassment area once every respectively). The only factors that have and Allen 2020) and using the methods 3 days during pile driving, resulting in changed are the days of work for each from the prior IHAs, the current daily a proposed authorization for Level B pile type and the areas of the Level B abundance for use in calculating take of harassment of 12 northern elephant harassment zones (see Tables 1 and 3 this stock would increase to 376 seals. seals. While no northern fur seals have However, given the prior monitoring been observed in the 2018–2020 above, respectively). results, the smaller pile sizes left to be monitoring for this project, the Based on the above discussion, the driven or removed, and their location incidence of northern fur seal in San only changes to the number of and distance from Castro Rocks, we are Francisco Bay depends largely on authorized takes, which are indicated reverting to our more common practice oceanic conditions, with animals more below in Table 4, is to account for the of using the mean abundance estimate likely to occur during El Nin˜ o events. increased occurrence of harbor seals and to estimate take. The mean using the As in prior IHAs, we propose the area and days of work remaining to most recent data is 237 animals per day authorization for Level B harassment of be completed.
TABLE 4—ESTIMATED TAKE BY LEVEL B HARASSMENT, BY SPECIES AND STOCK
Level B Percent of Common name Scientific name Stock harassment stock
Harbor seal ...... Phoca vitulina ...... California ...... 8,532 1.6 Harbor porpoise ...... Phocoena phocoena ...... San Francisco—Russian River ...... 327 4.4 California sea lion ...... Zalophus californianus ...... U.S ...... 308 <0.1 Northern elephant seal ...... Mirounga angustirostris ...... California Breeding ...... 12 <0.1 Gray whale ...... Eschrichtius robustus ...... Eastern North Pacific ...... 2 <0.1 Northern fur seal ...... Callorhinus ursinus ...... California ...... 10 <0.1 Bottlenose Dolphin ...... Tursiops truncatus ...... California Coastal ...... 30 6.6
Description of Mitigation, Monitoring issuance of the 2019 IHA remains which incidental take is not authorized and Reporting Measures accurate. The following measures are or a species for which incidental take included in this authorization: has been authorized but the authorized The mitigation, monitoring, and • Conduct training between number of takes has been met, entering reporting measures included as construction supervisors and crews and or within the harassment zone; requirements in this authorization are the marine mammal monitoring team • identical to those included in the Implement the shutdown zones and relevant Chevron staff prior to the indicated in Table 5; Federal Register notice announcing the start of all pile driving activity and • issuance of the 2020 IHA, except for the when new personnel join the work, so Employ PSOs and establish changes to the shutdown zones that responsibilities, communication monitoring locations as described in the discussed above and shown in Table 5 procedures, monitoring protocols, and Marine Mammal Monitoring Plan and and updated language we have operational procedures are clearly Section 5 of the IHA. For all pile driving developed for our typical measures. The understood; locations two PSOs must be used, with location of the PSOs has changed, • Avoid direct physical interaction a minimum of one PSO assigned to each eliminating some of the prior concerns with marine mammals during active pile driving location to monitor about visibility towards Castro Rocks as construction activity. If a marine the shutdown zones. During work at the work locations for the remaining mammal comes within 10 meters (m) of Berth 2, PSOs will be stationed on the work at berth 4 are off to the north side such activity, operations must cease and east and west edges of the Long Wharf. of the wharf. Because the mitigation vessels must reduce speed to the The PSO on the east has 180-degree measures have not increased, the minimum level required to maintain views from the Long Wharf, north, south discussion of the least practicable steerage and safe working conditions; and east toward the shore and would adverse impact included in in the • Pile driving activity must be halted have views of Castro Rocks. The PSO on Federal Register notice announcing the upon observation of either a species for the west would have 180-degree views,
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north to south, with views of San • Chevron must use soft start take authorization. Other PSOs may Francisco Bay to the west. During work techniques when impact pile driving. substitute other relevant experience, at Berth 4, one PSO would be stationed Soft start requires contractors to provide education (degree in biological science on the east side of the wharf, just south an initial set of three strikes at reduced or related field), or training. Where a of Berth 4 on an elevated viewpoint. energy, followed by a 30-second waiting team of three or more PSOs are required, This position allows clear views of the period, then two subsequent reduced- a lead observer or monitoring work area and shutdown zones, and energy strike sets. A soft start must be coordinator must be designated. The views of the waters to the east and west implemented at the start of each day’s lead observer must have prior of Long Wharf. A second PSO would be impact pile driving and at any time experience performing the duties of a stationed on the mooring dolphin at the following cessation of impact pile PSO during construction activity north end of the Long Wharf. This driving for a period of 30 minutes or pursuant to a NMFS-issued incidental location provides a view of the work longer; take authorization. PSOs must be area and shutdown zones from the north • Use a bubble curtain during impact approved by NMFS prior to beginning as well as a clear view of Castro Rocks pile driving of 24-inch concrete piles any activity subject to this IHA. and areas to the east and west; and must ensure that it is operated as • PSOs must record all observations • The placement of PSOs during all necessary to achieve optimal of marine mammals as described in the pile driving and removal and drilling performance, and that no reduction in Monitoring Plan, regardless of distance activities will ensure that the entire performance may be attributable to from the pile being driven. PSOs shall shutdown zone is visible during pile faulty deployment. At a minimum, the document any behavioral reactions in installation. Should environmental Holder must adhere to the following concert with distance from piles being conditions deteriorate such that marine performance standards: The bubble driven or removed; mammals within the entire shutdown curtain must distribute air bubbles • The marine mammal and acoustic around 100 percent of the piling zone will not be visible (e.g., fog, heavy monitoring reports must contain the circumference for the full depth of the rain), pile driving and removal must be informational elements described in the water column. The lowest bubble ring delayed until the PSO is confident Monitoring Plan; marine mammals within the shutdown must be in contact with the substrate for • the full circumference of the ring, and A draft marine mammal monitoring zone could be detected; report, and PSO datasheets and/or raw • the weights attached to the bottom ring Monitoring must take place from 30 shall ensure 100 percent substrate sighting data, must be submitted to minutes prior to initiation of pile contact. No parts of the ring or other NMFS within 90 calendar days after the driving activity through 30 minutes objects shall prevent full substrate completion of pile driving activities. If post-completion of pile driving activity. contact. Air flow to the bubblers must no comments are received from NMFS Pre-start clearance monitoring must be be balanced around the circumference within 30 calendar days, the draft report conducted during periods of visibility of the pile; will constitute the final report. If sufficient for the lead PSO to determine • Conduct sound source level comments are received, a final report the shutdown zones clear of marine measurements during driving of a addressing NMFS comments must be mammals. Pile driving may commence minimum of two 14-inch composite submitted within 30 calendar days after following 30 minutes of observation piles; receipt of comments; and when the determination is made; • Monitoring must be conducted by • In the event that personnel involved • If pile driving is delayed or halted qualified, NMFS-approved PSOs, in in the construction activities discover due to the presence of a marine accordance with the following: PSOs an injured or dead marine mammal, the mammal, the activity may not must be independent (i.e., not IHA-holder must immediately cease the commence or resume until either the construction personnel) and have no specified activities and report the animal has voluntarily exited and been other assigned tasks during monitoring incident to the Office of Protected visually confirmed beyond the periods. At least one PSO must have Resources (OPR) (PR.ITP.Monitoring shutdown zone or 15 minutes have prior experience performing the duties [email protected]), NMFS and to West passed without re-detection of the of a PSO during construction activity Coast Regional Stranding Coordinator as animal; pursuant to a NMFS-issued incidental soon as feasible.
TABLE 5—SHUTDOWN ZONES BY MARINE MAMMAL HEARING GROUP, PILE SIZE, AND METHOD
Radial distance of shutdown zone (meters) Pile type Low-frequency Mid-frequency High-frequency Phocid Otariid cetaceans cetaceans cetaceans pinnipeds pinnipeds
Attenuated Impact Driving (with bubble curtain): 24-inch square concrete ...... 40 10 40 20 10 Vibratory Driving/Extraction: 14-inch Composite ...... 20 10 30 20 10 36-inch steel pipe pile ...... 20 10 20 10 10 14-inch H pile ...... 10 10 10 10 10 16-inch timber ...... 10 10 10 10 10
Determinations of take has increased, and the mitigation 19, 2020) we found that Chevron’s The action in this IHA is identical to and monitoring measures have been construction activities would have a the action in the 2020 IHA except that updated to our new language. As negligible impact and that the taking sound isopleths have decreased for a described in the notice of issuance of would be small relative to population number of sources, harbor seal daily rate the 2020 final IHA (85 FR 37064, June size. For this analysis of the new IHA
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we found that marine mammal stock categorical exclusion. Accordingly, ADDRESSES: Written comments and abundance was still estimated to be the NMFS has determined that this action recommendations for the proposed same as for the 2020 IHA. Other marine qualifies to be categorically excluded information collection should be sent mammal information and the potential from further NEPA review. within 30 days of publication of this effects were identical to the 2020 IHA notice to www.reginfo.gov/public/do/ Endangered Species Act except for the increase in the daily PRAMain. Find this particular abundance of harbor seals. The Section 7(a)(2) of the Endangered information collection by selecting estimated take was calculated Species Act of 1973 (ESA: 16 U.S.C. ‘‘Currently under 30-day Review—Open identically to the 2020 IHA, except for 1531 et seq.) requires that each Federal for Public Comments’’ or by using the harbor seals, and zone sizes decreased agency insure that any action it search function. for a number of pile sizes. The increased authorizes, funds, or carries out is not FOR FURTHER INFORMATION CONTACT: daily abundance and take of harbor likely to jeopardize the continued Angela Duncan, 571–372–7574, or seals still involves far less than 10 existence of any endangered or whs.mc-alex.esd.mbx.dd-dod- percent of the stock (Table 4). Mitigation threatened species or result in the [email protected]. and monitoring are identical to the 2020 destruction or adverse modification of SUPPLEMENTARY INFORMATION: IHA except for the decrease in Level A designated critical habitat. To ensure Title; Associated Form; and OMB harassment and shutdown zones for ESA compliance for the issuance of Number: Heart of Recovery—Military many pile types and the change in IHAs, NMFS consults internally, in this Caregiver Needs Assessment; OMB standard language, which has no case with the West Coast Region, Control Number 0702–0143. substantive effect on our analysis. Protected Resources Division Office, Type of Request: Extension. NMFS has concluded that there is no whenever we propose to authorize take Number of Respondents: 5,000. new information suggesting that our for endangered or threatened species. Responses per Respondent: 1. analysis or findings should change from No incidental take of ESA-listed Annual Responses: 5,000. those reached for the 2020 IHA. This species is proposed for authorization or Average Burden per Response: 30 includes consideration of the estimated expected to result from this activity. minutes. abundance of harbor seals increasing, Therefore, NMFS has determined that Annual Burden Hours: 2,500. the change in harassment and shutdown formal consultation under section 7 of Needs and Uses: The information zones, and the updating of IHA language the ESA is not required for this action. collection requirement is necessary to for mitigation and monitoring. support the formation of the United Based on the information and analysis Authorization States Army Office of the Surgeon contained here and in the referenced NMFS has issued an IHA to Chevron General Military Caregivers Program: documents, NMFS has determined the for the potential harassment of small Heart of Recovery. following: (1) The required mitigation numbers of seven species of marine Affected Public: Individuals or measures will effect the least practicable mammal species incidental to the Households. Frequency: On occasion. impact on marine mammal species or LWMEP project in San Francisco Bay, stocks and their habitat; (2) the Respondent’s Obligation: Voluntary. CA, provided the previously mentioned OMB Desk Officer: Ms. Jasmeet authorized takes will have a negligible mitigation, monitoring and reporting impact on the affected marine mammal Seehra. requirements are followed. You may also submit comments and species or stocks; (3) the authorized recommendations, identified by Docket takes represent small numbers of marine Dated: May 24, 2021. ID number and title, by the following mammals relative to the affected stock Catherine Marzin, method: abundances; (4) Chevron’s activities will Acting Director, Office of Protected Resources, • Federal eRulemaking Portal: http:// not have an unmitigable adverse impact National Marine Fisheries Service. www.regulations.gov. Follow the on taking for subsistence purposes as no [FR Doc. 2021–11243 Filed 5–26–21; 8:45 am] instructions for submitting comments. relevant subsistence uses of marine BILLING CODE 3510–22–P Instructions: All submissions received mammals are implicated by this action, must include the agency name, Docket and; (5) appropriate monitoring and ID number, and title for this Federal reporting requirements are included. DEPARTMENT OF DEFENSE Register document. The general policy National Environmental Policy Act Department of the Army for comments and other submissions To comply with the National from members of the public is to make [Docket ID: USA–2021–HQ–0004] Environmental Policy Act of 1969 these submissions available for public (NEPA; 42 U.S.C. 4321 et seq.) and viewing on the internet at http:// Submission for OMB Review; www.regulations.gov as they are NOAA Administrative Order (NAO) Comment Request 216–6A, NMFS must review our received without change, including any proposed action (i.e., the issuance of an AGENCY: Office of the Surgeon General personal identifiers or contact IHA) with respect to potential impacts of the United States Army, United States information. on the human environment. This action Medical Command (MEDCOM), DOD Clearance Officer: Ms. Angela is consistent with categories of activities Department of Defense (DoD). Duncan. Requests for copies of the information identified in Categorical Exclusion B4 ACTION: 30-Day information collection collection proposal should be sent to IHAs with no anticipated serious injury notice. Ms. Duncan at whs.mc-alex.esd.mbx.dd- or mortality) of the Companion Manual [email protected]. for NOAA Administrative Order 216– SUMMARY: The Department of Defense 6A, which do not individually or has submitted to OMB for clearance the Dated: May 19, 2021. cumulatively have the potential for following proposal for collection of Aaron T. Siegel, significant impacts on the quality of the information under the provisions of the Alternate OSD Federal Register Liaison human environment and for which we Paperwork Reduction Act. Officer, Department of Defense. have not identified any extraordinary DATES: Consideration will be given to all [FR Doc. 2021–11178 Filed 5–26–21; 8:45 am] circumstances that would preclude this comments received by June 28, 2021. BILLING CODE 5001–06–P
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DEPARTMENT OF DEFENSE ‘‘Department of the Army’’ replace all Æ Naval Information Warfare Center with the following bullet list: Pacific: Ms. Angela Hanson, 53560 Hull Office of the Secretary • Combat Capabilities Development Street, San Diego, CA 92152–5001. Command Armaments Center: Mr. Mike 4. On page 43340, first column, Department of Defense Science and Nicotra, Human Capital Management SUPPLEMENTARY INFORMATION, under 1. Technology Reinvention Laboratory Office, Building 1, 3rd Floor, RDAR– ‘‘Background,’’ in the second sentence, Personnel Demonstration Project EIH, Picatinny Arsenal, NJ 07806–5000; after ‘‘section 1105 of the NDAA for FY • Combat Capabilities Development AGENCY: Office of the Under Secretary of 2010, Public Law 111–84,’’ insert ‘‘as Command Army Research Laboratory: Defense for Research and Engineering amended by section 1103 of the NDAA Mr. Christopher Tahaney, AMSRD– (OUSD(R&E)), Department of Defense for FY 2015, Public Law 113–291, and ARL–O–HR, 2800 Powder Mill Road, (DoD). section 1104 of the NDAA for FY 2018, Adelphi, MD 20783–1197; Public Law 115–91,’’ ACTION: Notice of amendment. • Combat Capabilities Development 5. On page 43340, first column and Command Aviation and Missile Center: top of second column, SUPPLEMENTARY SUMMARY: On September 15, 2017, DoD Ms. Nancy Salmon, 5400 Fowler Road, INFORMATION, published a Federal Register Notice under 1. Background,’’ the Redstone Arsenal, AL 35898–5000; (FRN) to implement a new workforce- last sentence of the first paragraph, • Combat Capabilities Development remove ‘‘The 15 current STRLs are’’ and shaping pilot program that provides the Command Chemical Biological Center: science and technology reinvention replace with ‘‘The 20 current STRLs Ms. Patricia Milwicz, Office of the are’’; replace the listing of STRLs with laboratory (STRL) lab directors the Technical Director, G–1 Human authority to dynamically shape the mix the following: Resource Office, Department of the • Combat Capabilities Development of technical skills and expertise in the Army, ATTN: FCDD–CBD–CH, 8198 workforces of such laboratories to Command Armaments Center (CCDC Blackhawk Road, Building E3330, AC) achieve one or more of the objectives in Aberdeen Proving Ground, MD 21010– • section 1109(a) of the National Defense Combat Capabilities Development 5424; Command Army Research Laboratory Authorization Act (NDAA) for Fiscal • Combat Capabilities Development (CCDC ARL) Year (FY) 2016. The suite of workforce- Command Command, Control, • shaping tools available to STRL lab Combat Capabilities Development Communications, Computers, Cyber, Command Aviation and Missile directors includes flexible-length and Intelligence, Surveillance, and renewable-term technical appointments, Center (CCDC AvMC) Reconnaissance Center: Ms. Angela • Combat Capabilities Development modified re-employed annuitant Clybourn, C4ISR Campus Building Command Chemical Biological Center authority, and modified voluntary early 6002, Room D3126D, ATTN: RDER– (CCDC CBC) retirement and separation incentive DOS–ER, Aberdeen Proving Ground, • Combat Capabilities Development authorities. Updates are necessary to MD 21005; Command Command, Control, clarify that subsequent changes to this • Combat Capabilities Development Communications, Cyber, Intelligence, authority are applicable. For example, Command Ground Vehicle Systems Surveillance, and Reconnaissance section 1112 of the NDAA for FY 2019 Center: Ms. Jennifer Davis, ATTN: Center (CCDC C5ISR) amends this authority to allow flexible- RDTA–CS/MS 204, Warren, MI 48397– • Combat Capabilities Development length and renewable-term technical 5000; Command Ground Vehicle Systems appointments for current DoD term • Combat Capabilities Development Center (CCDC GVSC) employees. In addition to updating Command Soldier Center: Ms. Joelle • Medical Research and Development other legislative references, this notice Montecalvo, 15 General Greene Ave. Command (MRDC) clarifies application of probationary/ (FCDD–SCG–HR), Natick, MA 01760; • Combat Capabilities Development trial periods and career tenure to • Engineer Research and Command Soldier Center (CCDC SC) flexible-length and renewable-term Development Center: Ms. Patricia • Army Research Institute for the technical appointments and subsequent Sullivan, 3909 Halls Ferry Road, Behavioral and Social Sciences (ARI) conversion to career or career- Vicksburg, MS 39180–6199; • Engineer Research and Development conditional appointments. • Medical Research and Development Center (ERDC) DATES: This notice may be implemented Command: Ms. Linda Krout, 505 Scott • Technical Center, U.S. Army Space beginning on May 27, 2021. St., Fort Detrick, MD 21702–5000. and Missile Defense Command FOR FURTHER INFORMATION CONTACT: 3. On page 43340, first column, delete (USASMDC) Dr. • Jagadeesh Pamulapati, Director, the following bullet: Naval Air Systems Command • Space and Naval Warfare Systems Laboratories and Personnel Office, 4800 (NAVAIR) Warfare Centers Command, Space and Naval Warfare • Mark Center Drive, Alexandria, VA Naval Facilities Engineering Systems Systems Center (SSC): 22350. Command Engineering and Æ SSC Atlantic: Ms. Veronica Expeditionary Warfare Center SUPPLEMENTARY INFORMATION: Truesdale, SSC Atlantic STRL Project (NAVFAC EXWC) Lead, SSC Atlantic, P.O. Box 190022, • Modifications Naval Information Warfare Centers North Charleston, SC 29419–9022; (NIWC) In the notice published on September Æ SSC Pacific: Ms. Angela Hanson, • Naval Medical Research Center 15, 2017, 82 FR 43339–43343: SSC Pacific STRL Project Lead, SSC (NMRC) 1. On page 43339, second column, Pacific, 53560 Hull Street, San Diego, • Naval Research Laboratory (NRL) under SUMMARY, in the first sentence, CA 92152–5001 • Naval Sea Systems Command after ‘‘section 1109(a) of the NDAA for and insert the following: (NAVSEA) Warfare Centers FY2016’’ insert ‘‘, Public Law 114–92, as • Naval Information Warfare Center: • Office of Naval Research (ONR) amended by section 1112 of the NDAA Æ Naval Information Warfare Center • Air Force Research Laboratory (AFRL) for FY 2019, Public Law 115–232.’’ Atlantic: Mr. Michael Gagnon, P.O. Box • Joint Warfare Analysis Center (JWAC) 2. On page 43339, third column, FOR 190022, North Charleston, SC 29419– 6. On page 43340, second column, FURTHER INFORMATION CONTACT, under 9022; under 2.I.A., ‘‘Purpose,’’ in the first
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sentence, after ‘‘NDAA for FY 2016’’ 13. On page 43341, in the second amended by section 1112 of the NDAA insert ‘‘, as amended by section 1112 of column, add the following after j: for FY 2019,’’ the NDAA for FY 2019,’’ k. Probationary/Trial Period. The trial 18. On page 43342, first column, 7. On page 43340, second column, period specified in each STRL FRN will II.B.3.b., ‘‘Provisions,’’ remove second 2.I.B., ‘‘Required Waivers to Law and apply to individuals appointed under sentence and replace it with ‘‘The Regulation,’’ in the first sentence after the Flexible Length and Renewable appropriate annuitant indicator will be ‘‘NDAA for FY 2016’’ insert ‘‘, as Term Appointment. If not specified, used (once assigned) on all personnel amended by section 1112 of the NDAA appointees will serve a two-year trial actions.’’ for FY 2019,’’ period. 19. On page 43342, first column, 8. On page 43340, third column, l. Tenure. For those appointed under II.C.1.a., ‘‘Authorities,’’ in the first under II.A.1., ‘‘Authorized Positions,’’ the Flexible Length and Renewable sentence, after ‘‘NDAA for FY 2016’’ in the first sentence, after ‘‘NDAA for Term Technical Appointment authority insert ‘‘, as amended by section 1112 of FY 2016’’ insert ‘‘, as amended by or converted from a term or modified the NDAA for FY 2019,’’ section 1112 of the NDAA for FY 2019,’’ term to a Flexible Length and 20. On page 43342, first column, and after ‘‘civilian employees’’ insert ‘‘, Renewable Term Technical II.C.1.a., ‘‘Authorities,’’ in the second with the exception of current DoD term Appointment and later converted to a sentence, after ‘‘NDAA for FY 2016’’ employees,’’ career or career-conditional insert ‘‘, as amended by section 1112 of 9. On page 43340, third column, appointment, the time spent on both the NDAA for FY 2019,’’ under II.A.1.a., ‘‘Authorized Positions,’’ appointments will count toward career in the first sentence, after ‘‘NDAA for 21. On page 43342, third column, tenure. FY 2016,’’ insert ‘‘as amended by II.D.a., ‘‘Sunset Date and Conditions of 14. On page 43341, II.A.3., based on section 1112 of the NDAA for FY 2019,’’ Use,’’ in the first sentence, after ‘‘NDAA 10. On page 43341, first column, the additions above, in the second for FY 2016’’ insert ‘‘, as amended by under II.A.3.b., ‘‘Provisions,’’ after column rename previous: section 1112 of the NDAA for FY 2019,’’ ‘‘Current DoD employees’’ insert ‘‘, with k. to m. 22. On pages 43342–43343, in the exception of current DoD term l. to n. Appendix A, in the table under ‘‘Title employees,’’ 15. On page 43341, in the third 5, Code of Federal Regulations,’’ add the 11. On page 43341, at the bottom of column, under the section renamed to following waivers: the first column and top of the second n., ‘‘Documenting Personnel Actions,’’ 5 CFR part 315.201(b) waived to the column, under II.A.3.f., replace ‘‘term’’ replace the first sentence in the third extent necessary to allow Flexible with ‘‘permanent’’ as updated in a column with ‘‘The NDAA for FY 2016, Length and Renewable Term Technical minor modification dated April 11, section 1109(b)(1), amended by section Appointments to be considered non- 2019. The sentence will read as follows: 1112 of the NDAA for FY 2019, Public temporary employment for the purposes ‘‘Appointees will be afforded equal Law 115–232, dtd 8/13/2018 (LAC of determining creditable service toward eligibility for employee programs and ZLM), will also be cited on all personnel career tenure. benefits comparable to those provided actions.’’ 5 CFR part 316.303(a) waived to the to similar employees on permanent 16. On page 43341, in the third extent necessary to allow Flexible appointments at each STRL, to include column, under the section renamed to Length and Renewable Term Technical opportunities for professional n., ‘‘Documenting Personnel Actions,’’ Appointments to count toward development and eligibility for award at the end of the last sentence, delete competitive status. programs.’’ ‘‘section 1109(b)(1)(B) of the NDAA for 5 CFR part 316.304(a) waived to allow 12. On page 43341, second column, FY 2016.’’ Insert ‘‘Public Law 115–232, a two-year trial period under the under II.A.3.g, in the first sentence, after section 1112.’’ Flexible Length and Renewable Term ‘‘NDAA for FY 2016’’ insert ‘‘, as 17. On page 43341, in the third Technical Appointment. amended by section 1112 of the NDAA column, II.B.1., ‘‘Authorities,’’ after 23. On page 43343, replace Appendix for FY 2019,’’ ‘‘NDAA for FY 2016’’ insert ‘‘, as B in its entirety with the following:
APPENDIX B—AUTHORIZED STRLS AND FRNS
STRL FRN
Combat Capabilities Development Command Armaments Center ...... 76 FR 3744. Combat Capabilities Development Command Army Research Labora- 63 FR 10680. tory. Combat Capabilities Development Command Aviation and Missile Cen- 62 FR 34906 and 62 FR 34876 amended by 65 FR 53142 (AVRDEC ter. and AMRDEC merged together). Combat Capabilities Development Command Chemical Biological Cen- 74 FR 68936. ter. Combat Capabilities Development Command Command, Control, Com- 66 FR 54872. munications, Cyber, Intelligence, Surveillance, and Reconnaissance Center. Combat Capabilities Development Command Ground Vehicle Systems 76 FR 12508. Center. Combat Capabilities Development Command Soldier Center ...... 74 FR 68448. Army Research Institute for the Behavioral and Social Sciences ...... 85 FR 76038. Engineer Research and Development Center ...... 63 FR 14580 amended by 65 FR 32135. Medical Research and Development Command ...... 63 FR 10440. Technical Center, U.S. Army Space and Missile Defense Command .... 85 FR 3339. Naval Air Warfare Center ...... 76 FR 8530. Naval Facilities Engineering Command Engineering and Expeditionary 86 FR 14084. Warfare Center.
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APPENDIX B—AUTHORIZED STRLS AND FRNS—Continued
STRL FRN
Naval Information Warfare Centers ...... 76 FR 1924. Naval Medical Research Center ...... Not yet published. Naval Research Laboratory ...... 64 FR 33970. Naval Sea Systems Command Warfare Centers ...... 62 FR 64050. Office of Naval Research ...... 75 FR 77380. Air Force Research Laboratory ...... 61 FR 60400 amended by 75 FR 53076. Joint Warfare Analysis Center ...... 85 FR 29414.
Dated: May 14, 2021. Instructions: All submissions received Average Burden per Response: 30 Aaron T. Siegel, must include the agency name, docket minutes. Alternate OSD Federal Register Liaison number and title for this Federal Frequency: On occasion. Officer, Department of Defense. Register document. The general policy Dated: May 19, 2021. [FR Doc. 2021–11185 Filed 5–26–21; 8:45 am] for comments and other submissions Aaron T. Siegel, BILLING CODE 5001–06–P from members of the public is to make Alternate OSD Federal Register Liaison these submissions available for public Officer, Department of Defense. viewing on the internet at http:// [FR Doc. 2021–11180 Filed 5–26–21; 8:45 am] DEPARTMENT OF DEFENSE www.regulations.gov as they are BILLING CODE 5001–06–P received without change, including any Office of the Secretary personal identifiers or contact [Docket ID: DoD–2021–OS–0039] information. DEPARTMENT OF DEFENSE FOR FURTHER INFORMATION CONTACT: To Proposed Collection; Comment request more information on this Office of the Secretary Request proposed information collection or to [Docket ID: DoD–2021–OS–0041] AGENCY: Office of the Under Secretary of obtain a copy of the proposal and Defense for Personnel and Readiness, associated collection instruments, Submission for OMB Review; Department of Defense (DoD). please write to RAND Corporation, 1776 Comment Request ACTION: Information collection notice. Main Street, Santa Monica, California AGENCY: Office of the Under Secretary of 90401, Susan Gates, 917–601–3120. Defense for Acquisition and SUMMARY: In compliance with the SUPPLEMENTARY INFORMATION: Sustainment, Department of Defense Paperwork Reduction Act of 1995, the Title; Associated Form; and OMB (DoD). Office of the Under Secretary of Defense Number: Understanding Employer ACTION: Information collection notice. for Personnel and Readiness announces Experiences Under Continuing Reserve a proposed public information Component Operations; OMB Control SUMMARY: Consistent with the collection and seeks public comment on Number 0704–ESGR. Paperwork Reduction Act of 1995 and the provisions thereof. Comments are Needs and Uses: In accordance with its implementing regulations, this invited on: Whether the proposed 10 United States Code, Section 2358, the document provides notice DoD is collection of information is necessary Under Secretary of Defense for submitting an Information Collection for the proper performance of the Personnel and Readiness (USD[P&R]) is Request to the Office of Management functions of the agency, including required to conduct research of interest and Budget (OMB) to collect whether the information shall have to the Department of Defense (DoD). information necessary for the Office of practical utility; the accuracy of the This research of interest to DoD requires Local Defense Community Cooperation agency’s estimate of the burden of the the collection and dissemination of to make and maintain grants to qualified proposed information collection; ways information from employers about their applicants under the Defense to enhance the quality, utility, and views on employing members of the Manufacturing Community Support clarity of the information to be National Guard and Reserve (G&R). The Program. DoD requests emergency collected; and ways to minimize the data RAND collects via the survey processing and OMB authorization to burden of the information collection on vendor will be used to provide collect the information after publication respondents, including through the use descriptive information about the of this Notice for a period of six months. of automated collection techniques or experiences and views of employers DATES: Comments must be received by other forms of information technology. with respect to employing G&R June 28, 2021. DATES: Consideration will be given to all members as civilians. Findings will ADDRESSES: The Department has comments received by July 26, 2021. inform leadership of the experiences requested emergency processing from ADDRESSES: You may submit comments, and opinions of G&R personnel and OMB for this information collection identified by docket number and title, used in a review of G&R policies and request by 30 days after publication of by any of the following methods: programs and could be used to change this notice. Interested parties can access Federal eRulemaking Portal: http:// the strategic communications with and the supporting materials and collection www.regulations.gov. Follow the outreach to civilian employers. instrument as well as submit comments instructions for submitting comments. Affected Public: Individuals or and recommendations to OMB at Mail: The DoD cannot receive written households. www.reginfo.gov/public/do/PRAMain. comments at this time due to the Annual Burden Hours: 1,642 hours. Find this particular information COVID–19 pandemic. Comments should Number of Respondents: 3,284. collection by selecting ‘‘Currently under be sent electronically to the docket Responses per Respondent: 1. 30-day Review—Open for Public listed above. Annual Responses: 3,284. Comments’’ or by using the search
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function. Comments submitted in is necessary for the proper performance function. Comments submitted in response to this notice will be of the functions of DoD, including response to this notice will be summarized and included in the request whether the information collected has summarized and included in the request for OMB approval of this information practical utility; (2) the accuracy of for OMB approval of this information collection. They will also become a DoD’s estimate of the burden (including collection. They will also become a matter of public record. hours and cost) of the proposed matter of public record. FOR FURTHER INFORMATION CONTACT: collection of information; (3) ways to FOR FURTHER INFORMATION CONTACT: Angela Duncan, 571–372–7574, or enhance the quality, utility, and clarity Angela Duncan, 571–372–7574, or whs.mc-alex.esd.mbx.dd-dod- of the information to be collected; and whs.mc-alex.esd.mbx.dd-dod- [email protected]. (4) ways to minimize the burden of the [email protected]. SUPPLEMENTARY INFORMATION: The collection of information on SUPPLEMENTARY INFORMATION: Section Defense Manufacturing Community respondents, including automated 2391(d) of Title 10, United States Code Support Program, authorized under collection techniques or the use of other (10 U.S.C. 2391), authorizes the Section 846 of the Fiscal Year 2019 forms of information technology. Secretary of Defense to, ‘‘make grants, National Defense Authorization Act Dated: May 24, 2021. conclude cooperative agreements, and (Pub. L. 115–232), is designed to Aaron T. Siegel, supplement funds available under undertake long-term investments in Alternate OSD Federal Register Liaison Federal programs administered by critical skills, facilities, research and Officer, Department of Defense. agencies other than the Department of development, and small business Defense, for projects owned by a State support in order to strengthen the [FR Doc. 2021–11272 Filed 5–26–21; 8:45 am] or local government, or a not-for-profit, national security innovation and BILLING CODE 5001–06–P member-owned utility service to manufacturing base. The program also address deficiencies in community seeks to ensure complementarity of infrastructure supportive of a military those communities so designated with DEPARTMENT OF DEFENSE installation.’’ This information existing Defense Manufacturing collection supports the awarding of Institutes. Defense Manufacturing Office of the Secretary grants under the Defense Community Institutes are manufacturing ecosystems [Docket ID: DoD–2021–OS–0040] Infrastructure Program. The criteria established since 2014, with common established for the selection of manufacturing and design challenges Submission for OMB Review; community infrastructure projects will revolving around specific technologies. Comment Request likely reflect projects consisting of some This information collection supports the combination of attributes that will awarding of grants under the Defense AGENCY: Office of the Under Secretary of enhance: (i) Military value; (ii) military Manufacturing Community Support Defense for Acquisition and installation resilience; and/or, (iii) Program, including the initial Grant Sustainment, Department of Defense military family quality of life at a Proposal, final Grant Application, and (DoD). military installation. The Consolidated Post-Award Performance Reporting. ACTION: Information collection notice. Appropriations Act for Fiscal Year 2021 Title; Associated Form; and OMB (PL 116–260) provides $60 million to SUMMARY: Consistent with the Number: Defense Manufacturing the Office of Local Defense Community Paperwork Reduction Act of 1995 and Community Support Program; OMB Cooperation for this program, and these its implementing regulations, this Control Number 0704–DMCS. funds expire if they are not obligated document provides notice DoD is Type of Request: New. prior to September 30, 2021. submitting an Information Collection Title; Associated Form; and OMB Grant Proposal Request to the Office of Management Number: Defense Community and Budget (OMB) to collect Number of Respondents: 75. Infrastructure Program; OMB Control information necessary for the Office of Responses per Respondent: 1. Number 0704–DCIP. Local Defense Community Cooperation Annual Responses: 75. Type of Request: New. Average Burden per Response: 7 to make and maintain grants to qualified hours. applicants under the Defense Grant Proposal Annual Burden Hours: 525. Community Infrastructure Program. DoD Number of Respondents: 150. Grant Application and Post-Award requests emergency processing and Responses per Respondent: 1. Performance Reporting OMB authorization to collect the Annual Responses: 150. information after publication of this Average Burden per Response: 15 Number of Respondents: 6. notice for a period of six months. Responses per Respondent: 6. hours. DATES: Comments must be received by Annual Responses: 36. Annual Burden Hours: 2,250. June 11, 2021. Average Burden per Response: 170 ADDRESSES: The Department has Grant Application and Post-Award minutes. Performance Reporting Annual Burden Hours: 102. requested emergency processing from Affected Public: State, Local, and OMB for this information collection Number of Respondents: 15. Tribal Governments. request by 15 days after publication of Responses per Respondent: 6. Frequency: Annually. this notice. Interested parties can access Annual Responses: 90. Respondent’s Obligation: Voluntary the supporting materials and collection Average Burden per Response: 130 (Grant Proposal); Required to Obtain or instrument as well as submit comments minutes. Retain Benefits (Grant Application and and recommendations to OMB at Annual Burden Hours: 195. Post-Award Performance Reporting). www.reginfo.gov/public/do/PRAMain. Affected Public: State, Local, and Find this particular information Tribal Governments. Request for Comments collection by selecting ‘‘Currently under Frequency: Annually. Comments are invited on: (1) Whether 15-day Review—Open for Public Respondent’s Obligation: Voluntary the proposed collection of information Comments’’ or by using the search (Grant Proposal); Required to Obtain or
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Retain Benefits (Grant Application and If you use a telecommunications reservation communities during the Post-Award Performance Reporting). device for the deaf (TDD) or a text novel coronavirus (COVID–19) telephone (TTY), call the Federal Relay pandemic, special education services for Request for Comments Service (FRS), toll free, at 1–800–877– students with disabilities were Comments are invited on: (1) Whether 8339. significantly disrupted due, in part, to the proposed collection of information SUPPLEMENTARY INFORMATION: lack of access to high-speed internet and is necessary for the proper performance technology.2 Achieving educational of the functions of DoD, including Full Text of Announcement equity for students with disabilities has whether the information collected has I. Funding Opportunity Description long been a goal, but the pandemic has practical utility; (2) the accuracy of highlighted how advances toward Purpose of Program: The NASNTI DoD’s estimate of the burden (including equity are often lost during crises.3 Program provides grants to eligible hours and cost) of the proposed Additionally, recent data indicates institutions of higher education (IHEs) collection of information; (3) ways to that homelessness affects 18 percent of enhance the quality, utility, and clarity to enable them to improve and expand their capacity to serve Native Americans students at two-year institutions and 14 of the information to be collected; and percent of students enrolled at four-year (4) ways to minimize the burden of the and low-income individuals. Institutions may use the grants to plan, institutions. In a survey of 167,000 collection of information on college students, 27 percent of respondents, including automated develop, undertake, and carry out activities to improve and expand their American Indians or Alaska Native collection techniques or the use of other students that responded were homeless. forms of information technology. capacity to serve Native American and low-income students. Housing insecurity and homelessness Dated: May 24, 2021. Background: Colleges and universities have a particularly strong, statistically Aaron T. Siegel, that are eligible to participate in the significant negative association with Alternate OSD Federal Register Liaison NASNTI Program have a critical role in college completion rates, persistence, Officer, Department of Defense. serving Native American students and and credit attainment.4 [FR Doc. 2021–11271 Filed 5–26–21; 8:45 am] eradicating systemic and institutional Through this priority, the Department BILLING CODE 5001–06–P barriers that limit progress in improving invites applicants to submit proposals to educational outcomes for Native provide high-quality remote learning to American students. To identify and students with disabilities and students DEPARTMENT OF EDUCATION address those barriers, applicants experiencing homelessness. should consider data on existing gaps in Priority: Applications for New Awards; Native retention and graduation rates. In Under this priority, an applicant must American-Serving Nontribal developing their proposed projects, we propose a project that is designed to Institutions Program strongly encourage applicants to provide high-quality remote learning specifically for one or more of the AGENCY: propose high-impact services informed Office of Postsecondary following student subgroups: Education, Department of Education. by data and to set specific targets and measures for each year of the project for (a) Children or students with ACTION: Notice. how the proposed services will address disabilities; or SUMMARY: The Department of Education those gaps and improve results for (b) Homeless students. (Department) is issuing a notice inviting Native American students. The remote learning environment applications for new awards for fiscal Priorities: This notice contains one must be accessible to individuals with year (FY) 2021 for the Native American- competitive preference priority and one disabilities in accordance with Section Serving Nontribal Institutions (NASNTI) invitational priority. The competitive 504 of the Rehabilitation Act of 1973 Program, Assistance Listing Number preference priority is from the Notice of and Title II of the Americans with 84.382C. This notice relates to the Administrative Priority and Definitions Disabilities Act, as applicable. The approved information collection under for Discretionary Grant Programs, remote learning environment must also OMB control number 1840–0816. published in the Federal Register on provide appropriate remote learning DATES: December 30, 2020 (85 FR 86545) language assistance services to English Applications Available: May 27, 2021. (Remote Learning NFP). learners. Deadline for Transmittal of Competitive Preference Priority: For Invitational Priority: For FY 2021 and Applications: July 12, 2021. FY 2021 and any subsequent year in any subsequent year in which we make Deadline for Intergovernmental which we make awards from the list of awards from the list of unfunded Review: September 9, 2021. unfunded applications from this applications from this competition, this ADDRESSES: For the addresses for competition, this priority is a priority is an invitational priority. obtaining and submitting an competitive preference priority. Under Under 34 CFR 75.105(c)(1), we do not application, please refer to our Common 34 CFR 75.105(c)(2)(i), we award up to give an application that meets this Instructions for Applicants to an additional 5 points to an application, Department of Education Discretionary depending on how well the application 2 Candi Running Bear, MA, William P.A. Terrill, meets this priority. MEd, Adriana Frates, MEd, Patricia Peterson, Ph.D., Grant Programs, published in the and Judith Ulrich, AA, 2021, ‘‘Challenges for Rural Federal Register on February 13, 2019 This priority is: Native American Students With Disabilities During (84 FR 3768), and available at Building Capacity for Remote COVID–19,’’ retrieved March 24, 2021 from https:// www.govinfo.gov/content/pkg/FR-2019- Learning (up to 5 points). journals.sagepub.com/doi/10.1177/ 02-13/pdf/2019-02206.pdf. Background: Reports on students with 8756870520982294. disabilities reveal that the transition to 3 Carla D. Chugani and Amy Houtrow, ‘‘Effect of FOR FURTHER INFORMATION CONTACT: Don remote learning presents new obstacles the COVID–19 Pandemic on College Students With Crews, U.S. Department of Education, Disabilities,’’ American Journal of Public Health to educational accessibility.1 In rural 400 Maryland Avenue SW, Room 110, no. 12 (December 1, 2020): pp. 1722–1723. https://doi.org/10.2105/AJPH.2020.305983. 2B110, Washington, DC 20202–4260. 1 https://reader.mediawiremobile.com/ 4 https://hope4college.com/wp-content/uploads/ Telephone: (202) 453–7920. Email: accessibility/issues/206098/articles/ 2019/04/HOPE_realcollege_National_report_ [email protected]. 5eb34168a3bbc201b7822f5f/reader. digital.pdf.
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invitational priority a competitive or Logic model (also referred to as a part 180, as adopted and amended as absolute preference over other theory of action) means a framework regulations of the Department in 2 CFR applications. that identifies key project components part 3485. (c) The Uniform This priority is: of the proposed project (i.e., the active Administrative Requirements, Cost Addressing the Impact of COVID–19 ‘‘ingredients’’ that are hypothesized to Principles, and Audit Requirements for on Students’ Mental Health and be critical to achieving the relevant Federal Awards in 2 CFR part 200, as Academic Outcomes. outcomes) and describes the theoretical adopted and amended as regulations of Background: Recent data suggests that and operational relationships among the the Department in 2 CFR part 3474. (d) the COVID–19 pandemic has created key project components and relevant The regulations for this program in 34 academic challenges and greatly outcomes. (34 CFR 77.1). CFR part 607. (e) The Remote Learning exacerbated mental health issues among Note: In developing logic models, NFP. students. For example, in a recent applicants may want to use resources survey conducted by the Centers for such as the Regional Educational II. Award Information Disease Control and Prevention, 63 Laboratory Program’s (REL Pacific) Type of Award: Discretionary grants. percent of 18- to 24-year-olds reported Education Logic Model Application, Five-year Individual Development symptoms of anxiety or depression.5 available at https://ies.ed.gov/ncee/ Grants and Cooperative Arrangement In addition, the transition to remote edlabs/regions/pacific/elm.asp, to help Development Grants will be awarded in learning has introduced academic design their logic models. Other sources FY 2021. challenges for all students, particularly include: https://ies.ed.gov/ncee/edlabs/ Note: A cooperative arrangement is an students from low-income backgrounds, regions/pacific/pdf/REL_2014025.pdf, arrangement to carry out allowable grant students of color, English learners, https://ies.ed.gov/ncee/edlabs/regions/ activities between an institution eligible students with disabilities, and students pacific/pdf/REL_2014007.pdf, and to receive a grant under this part and living in rural communities. In https://ies.ed.gov/ncee/edlabs/regions/ another eligible or ineligible IHE, under particular, students with disabilities northeast/pdf/REL_2015057.pdf. which the resources of the cooperating may not know where or how to access Project component means an activity, institutions are combined and shared to information about college services strategy, intervention, process, product, better achieve the purposes of this part designed to meet the academic and practice, or policy included in a project. and avoid costly duplication of effort. health needs of students with Evidence may pertain to an individual Estimated Available Funds: disabilities.6 project component or to a combination $4,700,000. Priority: of project components (e.g., training Contingent upon the availability of Projects proposing to provide teachers on instructional practices for funds and the quality of applications, integrated student support services (also English learners and follow-on coaching we may make additional awards in known as wrap-around services) for for these teachers). (34 CFR 77.1). subsequent years from the list of Native American students to address Relevant outcome means the student unfunded applications from this mental health and academic support outcome(s) or other outcome(s) the key competition. due to the COVID–19 pandemic. An project component is designed to Individual Development Grants: Estimated Range of Awards: applicant should describe in its improve, consistent with the specific $350,000–$450,000 per year. application how it will collaborate to goals of the program. (34 CFR 77.1). Estimated Average Size of Awards: leverage grant funding to support Remote learning means programming where at least part of the learning occurs $400,000 per year. students hit the hardest by COVID–19 Maximum Award: We will not make away from the physical building in a and implement evidence-based an award exceeding $450,000 for a manner that addresses a learner’s practices to address the existing single budget period of 12 months. inequities exacerbated by the pandemic. education needs. Remote learning may Estimated Number of Awards: 8. Integrated services should meet the include online, hybrid/blended Cooperative Arrangement whole needs of Native American learning, or non-technology-based Development Grants: students and include mentoring, learning (e.g., lab kits, project supplies, Estimated Range of Awards: tutoring, and peer support groups paper packets). (Remote Learning NFP). $450,000–$550,000 per year. designed to help ensure successful Program Authority: 20 U.S.C. 1067q Estimated Average Size of Awards: articulation from two-year to four-year (title III, part F, of the Higher Education $500,000 per year. academic programs and successful Act of 1965, as amended (HEA)). Maximum Award: We will not make graduation with a credential. Note: In 2008, the HEA was amended an award exceeding $500,000 for a Definitions: The definitions below are by the Higher Education Opportunity single budget period of 12 months. from 34 CFR part 77.1 and the Remote Act of 2008 (HEOA), Public Law 110– Estimated Number of Awards: 3. Learning NFP. 315. Please note that the regulations in Note: The Department is not bound by Demonstrates a rationale means a key 34 CFR part 607 have not been updated any estimates in this notice. project component included in the to reflect these statutory changes. Project Period: Up to 60 months. Note: Projects will be awarded and project’s logic model is informed by III. Eligibility Information research or evaluation findings that must be operated in a manner consistent suggest the project component is likely with the nondiscrimination 1. Eligible Applicants: This program is to improve relevant outcomes. (34 CFR requirements contained in the Federal authorized by title III, part F, of the 77.1). civil rights laws. HEA. At the time of submission of their Applicable Regulations: (a) The applications, applicants must certify 5 www.cdc.gov/mmwr/volumes/69/wr/pdfs/ Education Department General their total undergraduate headcount mm6932a1-H.pdf. Administrative Regulations in 34 CFR enrollment and that 10 percent of the 6 Zoe Meleo-Erwin, Ph.D., Betty Kollia, Ph.D., Joe parts 75, 77, 79, 82, 84, 86, 97, 98, and IHE’s enrollment is Native American. Fera, Ph.D., Alyssa Jahren, BA, and Corey Basch, 99. (b) The Office of Management and An assurance form, which is included Ph.D., ‘‘Online support information for students in the application materials for this with disabilities in colleges and universities during Budget Guidelines to Agencies on the COVID–19 pandemic.’’ American Journal of Governmentwide Debarment and competition, must be signed by an Public Health, December 2020, 1722–23. Suspension (Nonprocurement) in 2 CFR official for the applicant and submitted.
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To qualify as an eligible institution within the State and that no part of its 4. Recommended Page Limit: The under the NASNTI Program, an net earnings may lawfully benefit any application narrative is where you, the institution must— private shareholder or individual; (3) a applicant, address the selection criteria (i) Be accredited or preaccredited by certified copy of the applicant’s that reviewers use to evaluate your a nationally recognized accrediting certificate of incorporation or similar application. We recommend that you (1) agency or association that the Secretary document if it clearly establishes the limit the application narrative to no has determined to be a reliable authority nonprofit status of the applicant; or (4) more than 55 pages for Individual as to the quality of education or training any item described above if that item Development Grants and no more than offered; applies to a State or national parent 75 pages for Cooperative Arrangement (ii) Be legally authorized by the State organization, together with a statement Development Grants and (2) use the in which it is located to be a junior or by the State or parent organization that following standards: community college or to provide an the applicant is a local nonprofit • A ‘‘page’’ is 8.5″ x 11″, on one side educational program for which it affiliate. only, with 1″ margins at the top, bottom, awards a bachelor’s degree; and 2. a. Cost Sharing or Matching: This and both sides. (iii) Be designated as an ‘‘eligible competition does not require cost • Double space (no more than three institution,’’ by demonstrating that it: sharing or matching. lines per vertical inch) all text in the (1) Has an enrollment of needy students b. Supplement-Not-Supplant: This application narrative, including titles, as described in 34 CFR 607.3; and (2) competition involves supplement-not- headings, footnotes, quotations, has low average educational and general supplant funding requirements. Grant references, and captions as well as all expenditures per full-time equivalent funds must be used so that they text in charts, tables, figures, and (FTE) undergraduate student as supplement and, to the extent practical, graphs. described in 34 CFR 607.4. • Use a font that is either 12 point or Note: The notice announcing the FY increase the funds that would otherwise be available for the activities to be larger, and no smaller than 10 pitch 2021 process for designation of eligible (characters per inch). institutions, and inviting applications carried out under the grant and in no • case supplant those funds (34 CFR Use one of the following fonts: for waiver of eligibility requirements, Times New Roman, Courier, Courier was published in the Federal Register 607.30(b)). c. Administrative Cost Limitation: New, or Arial. on March 4, 2021 (86 FR 12665). The The recommended page limit does not This program does not include any Department extended the deadline for apply to the cover sheet; the budget program-specific limitation on applications in a notice published in the section, including the narrative budget administrative expenses. All Federal Register on April 13, 2021 (86 justification; the assurances and administrative expenses must be FR 19231). Only institutions that the certifications; or the one-page abstract reasonable and necessary and conform Department determines are eligible, or and the bibliography. However, the to Cost Principles described in 2 CFR which are granted a waiver under the recommended page limit does apply to part 200 subpart E of the Uniform process described in the March 4, 2021 all of the application narrative. Guidance. notice, may apply for a grant in this Note: The Budget Information-Non- program. 3. Subgrantees: A grantee under this Construction Programs Form (ED 524) An eligible IHE that submits competition may not award subgrants to Sections A–C are not the same as the applications for an Individual entities to directly carry out project narrative response to the Budget section Development Grant and a Cooperative activities described in its application. of the selection criteria. Arrangement Development Grant in this IV. Application and Submission V. Application Review Information competition may be awarded both in the Information same fiscal year. A grantee with an 1. Selection Criteria: The following Individual Development Grant or a 1. Application Submission selection criteria for this competition Cooperative Arrangement Development Instructions: Applicants are required to are from 34 CFR 75.210. Applicants Grant may be a partner in one or more follow the Common Instructions for should address each of the following Cooperative Arrangement Development Applicants to Department of Education selection criteria separately for each Grants. The lead institution in a Discretionary Grant Programs, proposed activity. The selection criteria Cooperative Arrangement Development published in the Federal Register on are worth a total of 100 points; the Grant must be an eligible institution. February 13, 2019 (84 FR 3768), and maximum score for each criterion is Partners are not required to be eligible available at www.govinfo.gov/content/ noted in parentheses. institutions. Tribally Controlled pkg/FR-2019-02-13/pdf/2019-02206.pdf, (a) Need for project. (Maximum 15 Colleges and Universities, as authorized which contain requirements and points) The Secretary considers the by title III of the Higher Education Act information on how to submit an need for the proposed project. In of 1965, as amended, may participate in application. determining the need for the proposed a Cooperative Arrangement 2. Intergovernmental Review: This project, the Secretary considers: Development Grant as a partner. program is subject to Executive Order (1) The magnitude of the need for the Note: If you are a nonprofit 12372 and the regulations in 34 CFR services to be provided or the activities organization, under 34 CFR 75.51, you part 79. Information about to be carried out by the proposed may demonstrate your nonprofit status Intergovernmental Review of Federal project. (5 points) by providing: (1) Proof that the Internal Programs under Executive Order 12372 (2) The extent to which the proposed Revenue Service currently recognizes is in the application package for this project will focus on serving or the applicant as an organization to program. otherwise addressing the needs of which contributions are tax deductible 3. Funding Restrictions: We specify disadvantaged individuals. (5 points) under section 501(c)(3) of the Internal unallowable costs in 34 CFR 607.10(c). (3) The extent to which specific gaps Revenue Code; (2) a statement from a We reference additional regulations or weaknesses in services, State taxing body or the State attorney outlining funding restrictions in the infrastructure, or opportunities have general certifying that the organization Applicable Regulations section of this been identified and will be addressed by is a nonprofit organization operating notice. the proposed project, including the
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nature and magnitude of those gaps or (e) Adequacy of resources. (Maximum In addition, in making a competitive weaknesses. (5 points) 5 points) The Secretary considers the grant award, the Secretary requires (b) Quality of the project design. adequacy of resources for the proposed various assurances, including those (Maximum 25 points) The Secretary project. In determining the adequacy of applicable to Federal civil rights laws considers the quality of the design of the resources for the proposed project, the that prohibit discrimination in programs proposed project. In determining the Secretary considers: or activities receiving Federal financial quality of the design of the proposed (1) The extent to which the budget is assistance from the Department (34 CFR project, the Secretary considers: adequate to support the proposed 100.4, 104.5, 106.4, 108.8, and 110.23). (1) The extent to which the goals, project. (3 points) A panel of three non-Federal objectives, and outcomes to be achieved (2) The extent to which the costs are reviewers will review and score each by the proposed project are clearly reasonable in relation to the objectives, application in accordance with the specified and measurable. (10 points) design, and potential significance of the selection criteria. A rank order funding (2) The extent to which the design of proposed project. (2 points) slate will be made from this review. the proposed project is appropriate to, (f) Quality of the management plan. Awards will be made in rank order and will successfully address, the needs (Maximum 15 points) The Secretary according to the average score received of the target population or other considers the quality of the management from the peer review and from the identified needs. (5 points) plan for the proposed project. In competitive preference priority, if (3) The extent to which the proposed determining the quality of the addressed by the applicant. project demonstrates a rationale (as management plan for the proposed In tie-breaking situations for defined in this notice). (10 points) project, the Secretary considers: development grants, under 34 CFR (c) Quality of project services. (1) The adequacy of the management 607.23(b) we award one additional point (Maximum 10 points) The Secretary plan to achieve the objectives of the to an application from an IHE that has considers the quality of the services to proposed project on time and within an endowment fund of which the be provided by the proposed project. budget, including clearly defined current market value, per FTE enrolled (1) In determining the quality of the responsibilities, timelines, and student, is less than the average current services to be provided by the proposed milestones for accomplishing project market value of the endowment funds, project, the Secretary considers the tasks. (8 points) per FTE enrolled student, at comparable quality and sufficiency of strategies for (2) The adequacy of procedures for type institutions that offer similar ensuring equal access and treatment for ensuring feedback and continuous instruction. We award one additional eligible project participants who are improvement in the operation of the point to an application from an IHE that members of groups that have proposed project. (2 points) has expenditures for library materials traditionally been underrepresented (3) The adequacy of mechanisms for per FTE enrolled student that are less based on race, color, national origin, ensuring high-quality products and than the average expenditure for library gender, age, or disability. (4 points) services from the proposed project. (5 materials per FTE enrolled student at (2) In addition, the Secretary points) similar type institutions. We also add considers: (g) Quality of the project evaluation. one additional point to an application (i) The extent to which the services to (Maximum 10 points) The Secretary from an IHE that proposes to carry out be provided by the proposed project are considers the quality of the evaluation one or more of the following activities: appropriate to the needs of the intended to be conducted of the proposed project. (1) Faculty development. (2) Funds and administrative recipients or beneficiaries of those In determining the quality of the management. services. (4 points) evaluation, the Secretary considers: (3) Development and improvement of (ii) The extent to which the services (1) The extent to which the methods academic programs. to be provided by the proposed project of evaluation are thorough, feasible, and (4) Acquisition of equipment for use reflect up-to-date knowledge from appropriate to the goals, objectives, and in strengthening management and research and effective practice. (2 outcomes of the proposed project. (5 academic programs. points) points) (5) Joint use of facilities. (d) Quality of project personnel. (2) The extent to which the methods (6) Student services. (Maximum 20 points) The Secretary of evaluation include the use of For the purpose of these funding considers the quality of the personnel objective performance measures that are considerations, we use 2018–2019 data. who will carry out the proposed project. clearly related to the intended outcomes If a tie remains after applying the tie- (1) In determining the quality of of the project and will produce breaker mechanism above, priority will project personnel, the Secretary quantitative and qualitative data to the be given to applicants that have the considers the extent to which the extent possible. (5 points) lowest endowment values per FTE applicant encourages applications for 2. Review and Selection Process: We enrolled student. employment from persons who are remind potential applicants that in 3. Risk Assessment and Specific members of groups that have reviewing applications in any Conditions: Consistent with 2 CFR traditionally been underrepresented discretionary grant competition, the 200.206, before awarding grants under based on race, color, national origin, Secretary may consider, under 34 CFR this program the Department conducts a gender, age, or disability. (9 points) 75.217(d)(3), the past performance of the review of the risks posed by applicants. (2) In addition, the Secretary applicant in carrying out a previous Under 2 CFR 200.208, the Secretary may considers: award, such as the applicant’s use of impose specific conditions and, under 2 (i) The qualifications, including funds, achievement of project CFR 3474.10, in appropriate relevant training and experience, of the objectives, and compliance with grant circumstances, high-risk conditions on a project director or principal conditions. The Secretary may also grant if the applicant or grantee is not investigator. (3 points) consider whether the applicant failed to financially stable; has a history of (ii) The qualifications, including submit a timely performance report or unsatisfactory performance; has a relevant training and experience, of key submitted a report of unacceptable financial or other management system project personnel. (8 points) quality. that does not meet the standards in 2
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CFR part 200, subpart D; has not VI. Award Administration Information information as directed by the Secretary fulfilled the conditions of a prior grant; 1. Award Notices: If your application under 34 CFR 75.118. The Secretary or is otherwise not responsible. is successful, we notify your U.S. may also require more frequent 4. Integrity and Performance System: Representative and U.S. Senators and performance reports under 34 CFR If you are selected under this send you a Grant Award Notification 75.720(c). For specific requirements on competition to receive an award that (GAN); or we may send you an email reporting, please go to www.ed.gov/ over the course of the project period containing a link to access an electronic fund/grant/apply/appforms/ may exceed the simplified acquisition version of your GAN. We may notify appforms.html. 5. Performance Measures: Under the threshold (currently $250,000), under 2 you informally, also. Government Performance and Results CFR 200.206(a)(2) we must make a If your application is not evaluated or Act of 1993 and 34 CFR 75.110, the judgment about your integrity, business not selected for funding, we notify you. ethics, and record of performance under 2. Administrative and National Policy following performance measures will be Federal awards—that is, the risk posed Requirements: We identify used in assessing the effectiveness of by you as an applicant—before we make administrative and national policy NASNTI: (a) The percentage of first-time, full- an award. In doing so, we must consider requirements in the application package time degree-seeking undergraduate any information about you that is in the and reference these and other students at four-year NASNTIs who integrity and performance system requirements in the Applicable were in their first year of postsecondary (currently referred to as the Federal Regulations section of this notice. enrollment in the previous year and are Awardee Performance and Integrity We reference the regulations outlining enrolled in the current year at the same Information System (FAPIIS)), the terms and conditions of an award in NASNTI; accessible through the System for the Applicable Regulations section of Award Management. You may review (b) The percentage of first-time, full- this notice and include these and other time degree-seeking undergraduate and comment on any information about specific conditions in the GAN. The yourself that a Federal agency students at two-year NASNTIs who GAN also incorporates your approved were in their first year of postsecondary previously entered and that is currently application as part of your binding in FAPIIS. enrollment in the previous year and are commitments under the grant. enrolled in the current year at the same Please note that, if the total value of 3. Open Licensing Requirements: NASNTI; your currently active grants, cooperative Unless an exception applies, if you are agreements, and procurement contracts (c) The percentage of first-time, full- awarded a grant under this competition, time degree-seeking undergraduate from the Federal Government exceeds you will be required to openly license $10,000,000, the reporting requirements students enrolled at four-year NASNTIs to the public grant deliverables created who graduate within six years of in 2 CFR part 200, Appendix XII, in whole, or in part, with Department require you to report certain integrity enrollment; and grant funds. When the deliverable (d) The percentage of first-time, full- information to FAPIIS semiannually. consists of modifications to pre-existing time degree-seeking undergraduate Please review the requirements in 2 CFR works, the license extends only to those students enrolled at two-year NASNTIs part 200, Appendix XII, if this grant modifications that can be separately who graduate within three years of plus all the other Federal funds you identified and only to the extent that enrollment. receive exceed $10,000,000. open licensing is permitted under the 6. Continuation Awards: In making a 5. In General: In accordance with the terms of any licenses or other legal continuation award under 34 CFR Office of Management and Budget’s restrictions on the use of pre-existing 75.253, the Secretary considers, among guidance located at 2 CFR part 200, all works. Additionally, a grantee or other things: Whether a grantee has applicable Federal laws, and relevant subgrantee that is awarded competitive made substantial progress in achieving Executive guidance, the Department grant funds must have a plan to the goals and objectives of the project; will review and consider applications disseminate these public grant whether the grantee has expended funds for funding pursuant to this notice deliverables. This dissemination plan in a manner that is consistent with its inviting applications in accordance can be developed and submitted after approved application and budget; and, with— your application has been reviewed and if the Secretary has established (a) Selecting recipients most likely to selected for funding. For additional performance measurement be successful in delivering results based information on the open licensing requirements, whether the grantee has on the program objectives through an requirements please refer to 2 CFR made substantial progress in achieving objective process of evaluating Federal 3474.20. the performance targets in the grantee’s award applications (2 CFR 200.205); 4. Reporting: (a) If you apply for a approved application. (b) Prohibiting the purchase of certain grant under this competition, you must In making a continuation award, the telecommunication and video ensure that you have in place the Secretary also considers whether the surveillance services or equipment in necessary processes and systems to grantee is operating in compliance with alignment with section 889 of the comply with the reporting requirements the assurances in its approved National Defense Authorization Act of in 2 CFR part 170 should you receive application, including those applicable 2019 (Pub. L. 115–232) (2 CFR 200.216); funding under the competition. This to Federal civil rights laws that prohibit (c) Providing a preference, to the does not apply if you have an exception discrimination in programs or activities extent permitted by law, to maximize under 2 CFR 170.110(b). receiving Federal financial assistance use of goods, products, and materials (b) At the end of your project period, from the Department (34 CFR 100.4, produced in the United States (2 CFR you must submit a final performance 104.5, 106.4, 108.8, and 110.23). 200.322); and report, including financial information, (d) Terminating agreements in whole as directed by the Secretary. If you VII. Other Information or in part to the greatest extent receive a multiyear award, you must Accessible Format: On request to the authorized by law if an award no longer submit an annual performance report program contact person listed under FOR effectuates the program goals or agency that provides the most current FURTHER INFORMATION CONTACT, priorities (2 CFR 200.340). performance and financial expenditure individuals with disabilities can obtain
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this document and a copy of the Generator Status of Blackwell Wind Docket Numbers: ER21–1191–004. application package in an accessible Energy, LLC. Applicants: Southwestern Electric format. The Department will provide the Filed Date: 5/19/21. Power Company. requestor with an accessible format that Accession Number: 20210519–5173. Description: Tariff Amendment: may include Rich Text Format (RTF) or Comments Due: 5 p.m. ET 6/9/21. Amended and Restated Minden PSA to text format (txt), a thumb drive, an MP3 Docket Numbers: EG21–153–000. be effective 1/1/2020. file, braille, large print, audiotape, or Applicants: Fort Bend Solar LLC. Filed Date: 5/20/21. compact disc, or other accessible format. Description: Notice of Self- Accession Number: 20210520–5045. Electronic Access to This Document: Certification of Exempt Wholesale Comments Due: 5 p.m. ET 6/10/21. The official version of this document is Generator Status of Fort Bend Solar Docket Numbers: ER21–1528–001. the document published in the Federal LLC. Applicants: Midcontinent Register. You may access the official Filed Date: 5/20/21. Independent System Operator, Inc., edition of the Federal Register and the Accession Number: 20210520–5072. Duke Energy Indiana, LLC. Code of Federal Regulations at Comments Due: 5 p.m. ET 6/10/21. Description: Tariff Amendment: www.govinfo.gov. At this site you can Docket Numbers: EG21–154–000. 2021–05–20_SA 3646 DEI-Hardy Hills view this document, as well as all other Applicants: Big River Solar, LLC. Substitute E&P (J1063) to be effective 3/ documents of this Department Description: Notice of Self- 27/2021. published in the Federal Register, in Certification of Exempt Wholesale Filed Date: 5/20/21. text or Portable Document Format Generator Status of Big River Solar, LLC. Accession Number: 20210520–5043. (PDF). To use PDF you must have Filed Date: 5/20/21. Comments Due: 5 p.m. ET 6/10/21. Adobe Acrobat Reader, which is Accession Number: 20210520–5126. Docket Numbers: ER21–1671–001. available free at the site. Comments Due: 5 p.m. ET 6/10/21. Applicants: PJM Interconnection, You may also access documents of the Take notice that the Commission L.L.C. Department published in the Federal received the following electric rate Description: Tariff Amendment: Register by using the article search filings: Correction: Amendment to ISA, SA No. feature at: www.federalregister.gov. 5596; Queue No. AD1–020 to be Specifically, through the advanced Docket Numbers: ER19–1200–002; effective 2/4/2020. search feature at this site, you can limit ER10–2346–011; ER10–2353–011; Filed Date: 5/20/21. your search to documents published by ER11–4351–012; ER19–842–002; ER21– Accession Number: 20210520–5056. the Department. 1947–001. Applicants: Clearway Power Comments Due: 5 p.m. ET 6/10/21. Michelle Asha Cooper, Marketing LLC, Energy Center Paxton Docket Numbers: ER21–1953–000. Acting Assistant Secretary for the Office of LLC, Forward WindPower LLC, Lookout Applicants: Heartland Divide Wind II, Postsecondary Education. Windpower, LLC, Pinnacle Wind, LLC, LLC. [FR Doc. 2021–11200 Filed 5–26–21; 8:45 am] NedPower Mount Storm LLC. Description: Baseline eTariff Filing: BILLING CODE 4000–01–P Description: Notice of Change in Heartland Divide Wind II, LLC Status of Clearway Power Marketing Application for MBR Authority to be LLC, et al. effective 7/19/2021. DEPARTMENT OF ENERGY Filed Date: 5/19/21. Filed Date: 5/19/21. Accession Number: 20210519–5180. Accession Number: 20210519–5168. Federal Energy Regulatory Comments Due: 5 p.m. ET 6/9/21. Comments Due: 5 p.m. ET 6/9/21. Commission Docket Numbers: ER21–1191–001. Docket Numbers: ER21–1954–000. Applicants: Southwestern Electric Applicants: PJM Interconnection, Combined Notice of Filings #1 Power Company. L.L.C. Take notice that the Commission Description: Tariff Amendment: Description: § 205(d) Rate Filing: received the following electric corporate Amended and Restated Minden PSA to Original WMPA, Service Agreement No. filings: be effective 1/1/2018. 6067; Queue No. AG1–079 to be Docket Numbers: EC21–84–000. Filed Date: 5/20/21. effective 4/20/2021. Applicants: Seneca Energy II, LLC, Accession Number: 20210520–5029. Filed Date: 5/20/21. Innovative Energy Systems, LLC, Comments Due: 5 p.m. ET 6/10/21. Accession Number: 20210520–5040. Sunshine Gas Producers, LLC, Rice Docket Numbers: ER21–1191–002. Comments Due: 5 p.m. ET 6/10/21. Acquisition Corporation, PEI Power Applicants: Southwestern Electric Docket Numbers: ER21–1955–000. LLC, PEI Power II, LLC. Power Company. Applicants: Duke Energy Progress, Description: Supplement to April 28, Description: Tariff Amendment: LLC. 2021 Application for Authorization Amended and Restated Minden PSA to Description: § 205(d) Rate Filing: DEP- Under Section 203 of the Federal Power be effective 5/31/2018. American Beech Solar ASOA SA No. Act of Seneca Energy II, LLC, et al. Filed Date: 5/20/21. 388 to be effective Filed Date: 5/17/21. Accession Number: 20210520–5038. 5/21/2021. Accession Number: 20210517–5233. Comments Due: 5 p.m. ET 6/10/21. Filed Date: 5/20/21. Comments Due: 5 p.m. ET 6/1/21. Docket Numbers: ER21–1191–003. Accession Number: 20210520–5059. Take notice that the Commission Applicants: Southwestern Electric Comments Due: 5 p.m. ET 6/10/21. received the following exempt Power Company. Docket Numbers: ER21–1956–000. wholesale generator filings: Description: Tariff Amendment: Applicants: GenOn Canal, LLC. Docket Numbers: EG21–152–000. Amended and Restated Minden PSA to Description: Tariff Cancellation: Applicants: Blackwell Wind Energy, be effective 8/1/2018. Notice of Cancellation to be effective 5/ LLC. Filed Date: 5/20/21. 21/2021. Description: Notice of Self- Accession Number: 20210520–5039. Filed Date: 5/20/21. Certification of Exempt Wholesale Comments Due: 5 p.m. ET 6/10/21. Accession Number: 20210520–5064.
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Comments Due: 5 p.m. ET 6/10/21. Docket Numbers: RR21–4–000. Company LLC, Rockies Express Pipeline Docket Numbers: ER21–1957–000. Applicants: North American Electric LLC. Applicants: Duke Energy Florida, Reliability Corporation. Description: Request for Additional LLC. Description: Petition of The North Time to Implement NAESB Standards of Description: § 205(d) Rate Filing: American Electric Reliability the Tallgrass Pipelines under RP19–810, DEF–TECO Concurrence RS 268 to be Corporation For Approval of et al. effective 8/1/2021. Amendments to the Western Electricity Filed Date: 5/19/21. Filed Date: 5/20/21. Coordinating Council Regional Accession Number: 20210519–5189. Accession Number: 20210520–5070. Reliability Standards Development Comments Due: 5 p.m. ET 6/1/21. Comments Due: 5 p.m. ET 6/10/21. Procedures. Docket Numbers: RP19–812–000. Docket Numbers: ER21–1958–000. Filed Date: 5/19/21. Applicants: Tallgrass Interstate Gas Applicants: Idaho Power Company. Accession Number: 20210519–5190. Transmission, LP, Trailblazer Pipeline Description: § 205(d) Rate Filing: BPA Comments Due: 5 p.m. ET 6/9/21. Company LLC, Rockies Express Pipeline NITSA SA 305 Update to be effective The filings are accessible in the LLC. 6/1/2021. Commission’s eLibrary system (https:// Filed Date: 5/20/21. Description: Request for Additional elibrary.ferc.gov/idmws/search/ Time to Implement NAESB Standards of Accession Number: 20210520–5073. fercgensearch.asp) by querying the Comments Due: 5 p.m. ET 6/10/21. the Tallgrass Pipelines under RP19–810, docket number. Docket Numbers: ER21–1959–000. et al. Any person desiring to intervene or Filed Date: 5/19/21. Applicants: Southern California protest in any of the above proceedings Edison Company. Accession Number: 20210519–5189. must file in accordance with Rules 211 Comments Due: 5 p.m. ET 6/1/21. Description: Tariff Cancellation: and 214 of the Commission’s Notices of Termination SGIA & DSA SA Regulations (18 CFR 385.211 and Docket Numbers: RP21–830–000. Nos. 221 and 222 to be effective 7/20/ 385.214) on or before 5:00 p.m. Eastern Applicants: Leaf River Energy Center 2021. time on the specified comment date. LLC. Filed Date: 5/20/21. Protests may be considered, but Description: Compliance filing Leaf Accession Number: 20210520–5080. River Compliance filing 5–18–21 to be Comments Due: 5 p.m. ET 6/10/21. intervention is necessary to become a party to the proceeding. effective 4/1/2021. Docket Numbers: ER21–1960–000. eFiling is encouraged. More detailed Filed Date: 5/18/21. Applicants: Duke Energy Progress, information relating to filing Accession Number: 20210518–5066. LLC. Comments Due: 5 p.m. ET 6/1/21. Description: § 205(d) Rate Filing: DEP- requirements, interventions, protests, Dominion Concurrence RS No. 196 to be service, and qualifying facilities filings Docket Numbers: RP21–831–000. effective 5/19/2021. can be found at: http://www.ferc.gov/ Applicants: Elba Express Company, Filed Date: 5/20/21. docs-filing/efiling/filing-req.pdf. For L.L.C. Accession Number: 20210520–5094. other information, call (866) 208–3676 Description: Compliance filing Comments Due: 5 p.m. ET 6/10/21. (toll free). For TTY, call (202) 502–8659. Annual Cashout True-up 2021. Docket Numbers: ER21–1961–000. Dated: May 20, 2021. Filed Date: 5/19/21. Applicants: Big River Solar, LLC. Debbie-Anne A. Reese, Accession Number: 20210519–5026. Description: Baseline eTariff Filing: Deputy Secretary. Comments Due: 5 p.m. ET 6/1/21. Application for Market-Based Rate [FR Doc. 2021–11179 Filed 5–26–21; 8:45 am] The filings are accessible in the Authority to be effective 7/15/2021. BILLING CODE 6717–01–P Commission’s eLibrary system (https:// Filed Date: 5/20/21. elibrary.ferc.gov/idmws/search/ Accession Number: 20210520–5101. fercgensearch.asp) by querying the Comments Due: 5 p.m. ET 6/10/21. DEPARTMENT OF ENERGY docket number. Docket Numbers: ER21–1962–000. Any person desiring to intervene or Applicants: Mulberry BESS LLC. Federal Energy Regulatory protest in any of the above proceedings Description: Baseline eTariff Filing: Commission must file in accordance with Rules 211 Market-Based Rate Application and and 214 of the Commission’s Request for Expedited Action to be Combined Notice of Filings Regulations (18 CFR 385.211 and effective 5/21/2021. Take notice that the Commission has 385.214) on or before 5:00 p.m. Eastern Filed Date: 5/20/21. time on the specified comment date. Accession Number: 20210520–5113. received the following Natural Gas Pipeline Rate and Refund Report filings: Protests may be considered, but Comments Due: 5 p.m. ET 6/10/21. intervention is necessary to become a Take notice that the Commission Docket Numbers: RP19–810–000. party to the proceeding. Applicants: Tallgrass Interstate Gas received the following electric securities eFiling is encouraged. More detailed Transmission, LP, Trailblazer Pipeline filings: information relating to filing Company LLC, Rockies Express Pipeline Docket Numbers: ES21–37–000. requirements, interventions, protests, LLC. Applicants: DTE Electric Company. service, and qualifying facilities filings Description: Request for Additional Description: DTE Electric Company can be found at: http://www.ferc.gov/ Time to Implement NAESB Standards of submits Amendments to Exhibits C and docs-filing/efiling/filing-req.pdf. For the Tallgrass Pipelines under RP19–810, D of Application and Request to Shorten other information, call (866) 208–3676 et al. Comment Period. (toll free). For TTY, call (202) 502–8659. Filed Date: 5/20/21. Filed Date: 5/19/21. Accession Number: 20210520–5083. Accession Number: 20210519–5189. Dated: May 21, 2021. Comments Due: 5 p.m. ET 6/1/21. Comments Due: 5 p.m. ET 6/1/21. Debbie-Anne A. Reese, Take notice that the Commission Docket Numbers: RP19–811–000. Deputy Secretary. received the following electric Applicants: Tallgrass Interstate Gas [FR Doc. 2021–11239 Filed 5–26–21; 8:45 am] reliability filings: Transmission, LP, Trailblazer Pipeline BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY (Amendment) to be effective Accession Number: 20210521–5117. 3/12/2021. Comments Due: 5 p.m. ET 6/11/21. Federal Energy Regulatory Filed Date: 5/21/21. Docket Numbers: ER21–1971–000. Commission Accession Number: 20210521–5000. Applicants: PacifiCorp. Comments Due: 5 p.m. ET 6/11/21. Description: § 205(d) Rate Filing: BPA Combined Notice of Filings #1 Docket Numbers: ER21–1963–000. NITSA (UIUC) Rev 10 to be effective Take notice that the Commission Applicants: Tri-State Generation and 5/1/2021. received the following exempt Transmission Association, Inc. Filed Date: 5/21/21. wholesale generator filings: Description: Tariff Cancellation: Accession Number: 20210521–5138. Comments Due: 5 p.m. ET 6/11/21. Docket Numbers: EG21–155–000. Notice of Cancellation of Rate Schedule Applicants: Mulberry BESS LLC. FERC No. 305 to be effective 4/15/2021. Docket Numbers: ER21–1972–000. Description: Notice of Self- Filed Date: 5/21/21. Applicants: Union Electric Company. Certification of Exempt Wholesale Accession Number: 20210521–5048. Description: Notice of Cancellation of Generator Status of Mulberry BESS LLC. Comments Due: 5 p.m. ET 6/11/21. Market Based Rate Tariff of TG High Filed Date: 5/17/21. Docket Numbers: ER21–1964–000. Prairie, LLC. Accession Number: 20210517–5260. Applicants: Midcontinent Filed Date: 5/21/21. Comments Due: 5 p.m. ET 6/7/21. Independent System Operator, Inc. Accession Number: 20210521–5145. Comments Due: 5 p.m. ET 6/11/21. Docket Numbers: EG21–156–000. Description: § 205(d) Rate Filing: _ Applicants: Ranchland Wind Project, 2021–05–21 Att X, GIP Site Control Docket Numbers: ER21–1973–000. LLC. Deadline Filing to be effective 7/21/ Applicants: PacifiCorp. Description: § 205(d) Rate Filing: BPA Description: Ranchland Wind Project, 2021. NITSA (Clark PUD) Rev 3 to be effective LLC submits Exempt Wholesale Filed Date: 5/21/21. 5/1/2021. Generator Filing. Accession Number: 20210521–5055. Filed Date: 5/21/21. Filed Date: 5/21/21. Comments Due: 5 p.m. ET 6/11/21. Accession Number: 20210521–5158. Accession Number: 20210521–5150. Docket Numbers: ER21–1966–000. Comments Due: 5 p.m. ET 6/11/21. Comments Due: 5 p.m. ET 6/11/21. Applicants: Broadlands Wind Farm Docket Numbers: ER21–1974–000. Take notice that the Commission LLC. Applicants: ISO New England Inc., received the following electric corporate Description: § 205(d) Rate Filing: New England Power Pool Participants filings: Revised Market-Based Rate Tariff to be Committee. Docket Numbers: EC21–96–000. effective 5/22/2021. Filed Date: 5/21/21. Description: § 205(d) Rate Filing: ISO– Applicants: Sky River LLC, Sky River NE/NEPOOL; Rev to Estb Operational & Wind, LLC. Accession Number: 20210521–5107. Comments Due: 5 p.m. ET 6/11/21. Meteorological Data Req for Solar/Wind Description: Application for to be effective 7/20/2021. Authorization Under Section 203 of the Docket Numbers: ER21–1967–000. Filed Date: 5/21/21. Federal Power Act of Sky River LLC, et Applicants: Crossing Trails Wind Accession Number: 20210521–5177. al. Power Project LLC. Comments Due: 5 p.m. ET 6/11/21. Description: § 205(d) Rate Filing: Filed Date: 5/20/21. Docket Numbers: ER21–1975–000. Revised Market-Based Rate Tariff to be Accession Number: 20210520–5186. Applicants: PacifiCorp. effective 5/22/2021. Comments Due: 5 p.m. ET 6/10/21. Description: § 205(d) Rate Filing: BPA Filed Date: 5/21/21. Docket Numbers: EC21–97–000. NITSA (Yakama) Rev 8 to be effective 5/ Accession Number: 20210521–5109. Applicants: AEP GENERATING CO, 1/2021. Comments Due: 5 p.m. ET 6/11/21. Indiana Michigan Power Company. Filed Date: 5/21/21. Description: Application for Docket Numbers: ER21–1968–000. Accession Number: 20210521–5179. Authorization Under Section 203 of the Applicants: Headwaters Wind Farm II Comments Due: 5 p.m. ET 6/11/21. Federal Power Act of AEP Generating LLC. Docket Numbers: ER21–1976–000. Company, et al. Description: § 205(d) Rate Filing: Applicants: Duke Energy Florida, Filed Date: 5/20/21. Revised Market-Based Rate Tariff to be LLC. Accession Number: 20210520–5187. effective 5/22/2021. Description: Tariff Cancellation: Comments Due: 5 p.m. ET 6/10/21. Filed Date: 5/21/21. DEF—Telogia Cancellation of SA No. Take notice that the Commission Accession Number: 20210521–5112. 156 to be effective 7/21/2021. received the following electric rate Comments Due: 5 p.m. ET 6/11/21. Filed Date: 5/21/21. filings: Docket Numbers: ER21–1969–000. Accession Number: 20210521–5181. Docket Numbers: ER10–2193–003. Applicants: Lexington Chenoa Wind Comments Due: 5 p.m. ET 6/11/21. Applicants: Hydro-Quebec Energy Farm LLC. Docket Numbers: ER21–1977–000. Services (U.S.) Inc. Description: § 205(d) Rate Filing: Applicants: El Paso Electric Company. Description: Notice of Non-Material Revised Market-Based Rate Tariff to be Description: Tariff Cancellation: Change in Status of H.Q. Energy effective 5/22/2021. Termination of Rate Schedule No. 115 Services (U.S.) Inc. Filed Date: 5/21/21. EPE E&P Agreement w/Southline Filed Date: 5/19/21. Accession Number: 20210521–5116. Transmission to be effective 5/12/2021. Accession Number: 20210519–5192. Comments Due: 5 p.m. ET 6/11/21. Filed Date: 5/21/21. Comments Due: 5 p.m. ET 6/9/21. Docket Numbers: ER21–1970–000. Accession Number: 20210521–5193. Docket Numbers: ER21–1600–001. Applicants: Paulding Wind Farm IV Comments Due: 5 p.m. ET 6/11/21. Applicants: Public Service Company LLC. The filings are accessible in the of Colorado. Description: § 205(d) Rate Filing: Commission’s eLibrary system (https:// Description: Tariff Amendment: Revised Market-Based Rate Tariff to be elibrary.ferc.gov/idmws/search/ Burlington February 2021 Fuel Cost effective 5/22/2021. fercgensearch.asp) by querying the Adjustment_Eff. 03–2–2021 Filed Date: 5/21/21. docket number.
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Any person desiring to intervene or Central Hudson Gas & Elec. Corp., et al. ACTION: Notice. protest in any of the above proceedings v. New York Independent System must file in accordance with Rules 211 Operator, Inc., Docket No. EL21–66– SUMMARY: The Environmental Protection and 214 of the Commission’s 000 Agency has submitted an information Regulations (18 CFR 385.211 and Complaint of Michael Mabee, Docket collection request (ICR), NESHAP for 385.214) on or before 5:00 p.m. Eastern No. EL21–54–000 Pharmaceuticals Production, to the time on the specified comment date. Duke Energy Carolinas, LLC, et al. , Office of Management and Budget Protests may be considered, but Docket No. ER21–1579–000 (OMB) for review and approval in intervention is necessary to become a George Berka v. Andrew Cuomo, et al., accordance with the Paperwork party to the proceeding. Docket No. EL21–61–000 Reduction Act. This is a proposed eFiling is encouraged. More detailed New York Independent System extension of the ICR, which is currently information relating to filing Operator, Inc., Docket Nos. ER21– approved through July 31, 2021. Public requirements, interventions, protests, 502–002, ER21–502–003 comments were previously requested, service, and qualifying facilities filings New York Independent System via the Federal Register, on May 12, can be found at: http://www.ferc.gov/ Operator, Inc., Docket Nos. ER21– 2020 during a 60-day comment period. docs-filing/efiling/filing-req.pdf. For 1018–000, ER21–1018–001 This notice allows for an additional 30 other information, call (866) 208–3676 New York Transmission Owners, Docket days for public comments. A fuller (toll free). For TTY, call (202) 502–8659. No. ER21–1647–000 description of the ICR is given below, NV Energy v. California Independent including its estimated burden and cost Dated: May 21, 2021. System Operator Corp., Docket No. to the public. An Agency may neither Debbie-Anne A. Reese, EL21–74–000 conduct nor sponsor, and a person is Deputy Secretary. PJM Interconnection, L.L.C., Docket No. not required to respond to, a collection [FR Doc. 2021–11238 Filed 5–26–21; 8:45 am] ER21–278–001 of information unless it displays a BILLING CODE 6717–01–P PJM Interconnection, L.L.C., Docket currently valid OMB control number. Nos. EL19–100–000, ER20–584–000 DATES: Additional comments may be PJM Interconnection, L.L.C., Docket No. submitted on or before June 28, 2021. DEPARTMENT OF ENERGY ER21–1635–000 ADDRESSES: Submit your comments to Attached to this Supplemental Notice Federal Energy Regulatory EPA, referencing Docket ID Number is an agenda for the technical Commission EPA–HQ–OECA–2013–0349, online conference, which includes the final using www.regulations.gov (our [Docket No. AD21–13–000] conference program and expected preferred method), or by mail to: EPA speakers. The conference will be open Docket Center, Environmental Climate Change, Extreme Weather, and for the public to attend virtually. Protection Agency, Mail Code 28221T, Electric System Reliability; Information on the technical conference 1200 Pennsylvania Ave. NW, Supplemental Notice of Technical will also be posted on the Calendar of Washington, DC 20460. EPA’s policy is Conference Events on the Commission’s website, that all comments received will be As announced in the Notice of http://www.ferc.gov, prior to the event. included in the public docket without Technical Conference issued in this The conference will be transcribed. change including any personal proceeding on March 5, 2021, Federal Transcripts of the conference will be information provided, unless the Energy Regulatory Commission available for a fee from Ace-Federal comment includes profanity, threats, (Commission) staff will convene a Reporters, Inc. (202–347–3700). information claimed to be Confidential technical conference to discuss issues For more information about this Business Information (CBI), or other surrounding the threat to electric system technical conference, please contact information whose disclosure is reliability posed by climate change and Rahim Amerkhail, 202–502–8266, restricted by statute. extreme weather events. The conference [email protected] for technical Submit written comments and will be held on Tuesday, June 1, 2021 questions or Sarah McKinley, 202–502– recommendations to OMB for the and Wednesday June 2, 2021, from 8368, [email protected] for proposed information collection within approximately 1:00 p.m. to 6:00 p.m. logistical issues. 30 days of publication of this notice to Eastern Time each day. The conference Dated: May 21, 2021. www.reginfo.gov/public/do/PRAMain. will be held virtually via WebEx. Debbie-Anne A. Reese, Find this particular information collection by selecting ‘‘Currently under Commissioners may attend and Deputy Secretary. participate. 30-day Review—Open for Public [FR Doc. 2021–11240 Filed 5–26–21; 8:45 am] Comments’’ or by using the search We note that discussions at the BILLING CODE 6717–01–P conference may involve issues raised in function. proceedings that are currently pending FOR FURTHER INFORMATION CONTACT: before the Commission. These ENVIRONMENTAL PROTECTION Patrick Yellin, Monitoring, Assistance, proceedings include, but are not limited AGENCY and Media Programs Division, Office of to: Compliance, Mail Code 2227A, California Independent System Operator [EPA–HQ–OECA–2013–0349; FRL–10024– Environmental Protection Agency, 1200 Corp., Docket No. ER21–1536–000 52–OMS] Pennsylvania Ave. NW, Washington, DC 20460; telephone number: (202) 564– California Independent System Operator Information Collection Request 2970; fax number: (202) 564–0050; Corp., Docket No. ER21–1551–000 Submitted to OMB for Review and email address: [email protected]. California Independent System Operator Approval; Comment Request; NESHAP Corp., Docket No. ER21–1790–000 for Pharmaceuticals Production SUPPLEMENTARY INFORMATION: CAlifornians for Renewable Energy v. (Renewal) Supporting documents, which explain California Independent System in detail the information that the EPA Operator Corp., Docket No. EL20–69– AGENCY: Environmental Protection will be collecting, are available in the 001 Agency (EPA). public docket for this ICR. The docket
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can be viewed online at operation and maintenance (O&M) 30 days of publication of this notice to www.regulations.gov, or in person, at costs. www.reginfo.gov/public/do/PRAMain. the EPA Docket Center, WJC West, Find this particular information Courtney Kerwin, Room 3334, 1301 Constitution Ave. NW, collection by selecting ‘‘Currently under Washington, DC. The telephone number Director, Regulatory Support Division. 30-day Review—Open for Public for the Docket Center is 202–566–1744. [FR Doc. 2021–11184 Filed 5–26–21; 8:45 am] Comments’’ or by using the search For additional information about EPA’s BILLING CODE 6560–50–P function. public docket, visit: http:// FOR FURTHER INFORMATION CONTACT: www.epa.gov/dockets. ENVIRONMENTAL PROTECTION Dolores Wesson, Oceans, Communities, Abstract: The NESHAP for AGENCY and Wetlands Division, Environmental Pharmaceuticals Production were Protection Agency, 1200 Pennsylvania proposed on April 2, 1997, and [EPA–OW–2013–0610; FRL–10024–55–OMS] Ave. NW (4504T), Washington, DC promulgated on September 21, 1998, Information Collection Request 20460; telephone number: 202–566– and amended on both April 21, 2011 2755; email: [email protected]. and February 27, 2014. In general, all Submitted to OMB for Review and Approval; Comment Request; Clean SUPPLEMENTARY INFORMATION: NESHAP standards require initial Supporting documents, which explain notifications, performance tests, and Water Act Section 404 State-Assumed Programs (Renewal) in detail the information that EPA will periodic reports. Owners or operators be collecting, are available in the public are also required to maintain records of AGENCY: Environmental Protection docket for this ICR. The docket can be the occurrence and duration of any Agency (EPA). viewed online at www.regulations.gov malfunctions in the operation of an ACTION: Notice. or in person at the EPA Docket Center, affected facility, or any period during WJC West, Room 3334, 1301 SUMMARY: The Environmental Protection which the monitoring system is Constitution Ave. NW, Washington, DC Agency (EPA) has submitted an inoperative. These notifications, reports, The telephone number for the Docket information collection request (ICR), and records are essential in determining Center is 202–566–1744. compliance and, in general, are required Clean Water Act Section 404 State- Abstract: Section 404(g) of the Federal of all sources subject to NESHAP. This Assumed Programs (EPA ICR Number Water Pollution Control Act (FWPCA/ information is used by the Agency to 0220.14, OMB Control Number 2040– CWA) authorizes States and Tribes to identify sources subject to these 0168) to the Office of Management and assume the section 404 permit program standards to ensure that the maximum Budget (OMB) for review and approval for discharges of dredged or fill material achievable control technologies are in accordance with the Paperwork into certain waters of the United States. being applied. Semiannual summary Reduction Act. This is a proposed This ICR covers the collection of reports are also required. extension of the ICR, which is currently information EPA needs to perform its Form Numbers: None. approved through July 31, 2021. Public program approval and oversight Respondents/affected entities: comments were previously requested, responsibilities and the State or Tribe Pharmaceutical manufacturing via Federal Register during a 60-day needs to implement its program. operations. comment period. This notice allows for Request to assume CWA section 404 Respondent’s obligation to respond: an additional 30 days for public permit program. States and Tribes must Mandatory (40 CFR part 63, subpart comments. A fuller description of the demonstrate that they meet the statutory GGG). ICR is given below, including its and regulatory requirements at 40 CFR Estimated number of respondents: 27 estimated burden and cost to the public. part 233 for an approvable program. (total). An agency may not conduct, or sponsor Specified information and documents Frequency of response: Initially, and a person is not required to respond must be submitted by the State or Tribe occasionally, quarterly and to a collection of information unless it to EPA to request assumption and must semiannually. displays a currently valid OMB control be sufficient to enable EPA to undertake Total estimated burden: 44,300 hours number. an analysis of the State or tribal (per year). Burden is defined at 5 CFR DATES: Comments must be received on program. The information contained in 1320.3(b). or before June 28, 2021. the assumption request submission is Total estimated cost: $5,300,000 (per ADDRESSES: Submit your comments to provided to the other involved federal year), which includes $112,000 in EPA, referencing Docket ID EPA–OW– agencies (e.g., U.S. Army Corps of annualized capital/startup and/or 2013–0610, online using Engineers, U.S. Fish and Wildlife operation & maintenance costs. www.regulations.gov (our preferred Service, and National Marine Fisheries Changes in the Estimates: There is no method), or by mail to: EPA Docket Service) and to the public for review change in burden from the most- Center, Environmental Protection and comment. recently approved ICR as currently Agency, Mail Code 28221T, 1200 Permit application information. States identified in the OMB Inventory of Pennsylvania Ave. NW, Washington, DC and Tribes with assumed programs must Approved Burdens. This is due to two 20460. EPA’s policy is that all be able to issue permits that assure considerations: (1) The regulations have comments received will be included in compliance with all applicable statutory not changed over the past three years the public docket without change and regulatory requirements, including and are not anticipated to change over including any personal information CWA section 404(b)(1) Guidelines. the next three years; and (2) the growth provided, unless the comment includes Sufficient information must be provided rate for this industry is very low or non- profanity, threats, information claimed in the application so that States or existent, so there is no significant to be Confidential Business Information Tribes and federal agencies reviewing change in the overall burden. Since (CBI), or other information whose the permit can evaluate, avoid, there are no changes in the regulatory disclosure is restricted by statute. minimize, and compensate for any requirements and there is no significant Submit written comments and anticipated impacts resulting from the industry growth, there are also no recommendations to OMB for the proposed project. EPA’s assumption changes in the capital/startup or proposed information collection within regulations at 40 CFR 233.30 establish
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required and recommended elements capital or operation and maintenance DATES: Additional comments may be that should be included in the State or costs. submitted on or before June 28, 2021. Tribe’s permit application, so that Changes in estimates: There is an ADDRESSES: Submit your comments to sufficient information is available to increase of 99,174 hours in the total EPA, referencing Docket ID Number make a thorough analysis of anticipated estimated respondent burden compared EPA–HQ–OECA–2013–0322, online impacts. These minimum information with the ICR currently approved by using www.regulations.gov (our requirements generally reflect the OMB. There are several reasons for this preferred method), or by mail to: EPA information that must be submitted increase: (1) A small increase in the Docket Center, Environmental when applying for a section 404 permit estimated hours to assume a program Protection Agency, Mail Code 28221T, from the U.S. Army Corps of Engineers. based on information provided by 1200 Pennsylvania Ave. NW, (CWA section 404(h); CWA section Michigan and New Jersey; (2) recent Washington, DC 20460. EPA’s policy is 404(j); 40 CFR 230.10, 233.20, 233.21, changes to policy addressing that all comments received will be 233.34, and 233.50; 33 CFR 325)). endangered species and historic included in the public docket without Annual report and program preservation requiring; (3) including change including any personal information. EPA has an oversight role burden to State-assumed programs of information provided, unless the for assumed section 404 permitting permit review and to permittees; and (4) comment includes profanity, threats, programs to ensure that State or tribal a small increase in the estimated hours information claimed to be Confidential programs are in compliance with for permit review by Michigan and New Business Information (CBI), or other applicable requirements and that State Jersey and for completing the annual information whose disclosure is or tribal permit decisions adequately report by Michigan. The estimated restricted by statute. consider, avoid, minimize, and number of permits per state has been Submit written comments and compensate for anticipated impacts. reduced based on data provided by New recommendations to OMB for the States and tribes must evaluate their Jersey and Michigan. proposed information collection within programs annually and submit the 30 days of publication of this notice to Courtney Kerwin, results in a report to EPA. EPA’s www.reginfo.gov/public/do/PRAMain. assumption regulations at 40 CFR Director, Regulatory Support Division. Find this particular information 233.52 establish minimum requirements [FR Doc. 2021–11276 Filed 5–26–21; 8:45 am] collection by selecting ‘‘Currently under for the annual report. BILLING CODE 6560–50–P 30-day Review—Open for Public The information included in the State Comments’’ or by using the search or Tribe’s assumption request and the function. ENVIRONMENTAL PROTECTION information included in a permit AGENCY FOR FURTHER INFORMATION CONTACT: application is made available for public Patrick Yellin, Monitoring, Assistance, review and comment. The information [EPA–HQ–OECA–2013–0322; FRL–10024– and Media Programs Division, Office of included in the annual report to EPA is 53–OMS] Compliance, Mail Code 2227A, made available to the public. EPA does Environmental Protection Agency, 1200 Information Collection Request not make any assurances of Pennsylvania Ave. NW, Washington, DC Submitted to OMB for Review and confidentiality for this information. 20460; telephone number: (202) 564– Approval; Comment Request; NESHAP Form Numbers: None. 2970; fax number: (202) 564–0050; for Beryllium Rocket Motor Fuel Firing Respondents/affected entities: States email address: [email protected]. (Renewal) requesting assumption of the CWA SUPPLEMENTARY INFORMATION: section 404 permit program; States with AGENCY: Environmental Protection Supporting documents, which explain approved assumed programs; and Agency (EPA). in detail the information that the EPA permit applicants for assumed State ACTION: Notice. will be collecting, are available in the programs. No Tribes are expected to public docket for this ICR. The docket assume at this time. SUMMARY: The Environmental Protection can be viewed online at Respondent’s obligation to respond: Agency has submitted an information www.regulations.gov, or in person at the Required to obtain or retain a benefit (40 collection request (ICR), ‘‘NESHAP for EPA Docket Center, WJC West, Room CFR 233). Beryllium Rocket Motor Fuel Firing 3334, 1301 Constitution Ave. NW, Estimated number of respondents: (EPA ICR Number 1125.09, OMB Washington, DC. The telephone number Two States to request program Control Number 2060–0394), to the for the Docket Center is 202–566–1744. assumption; 9,022 permit applicants; Office of Management and Budget For additional information about EPA’s and four States with assumed programs. (OMB) for review and approval in public docket, visit: http:// Frequency of response: States will accordance with the Paperwork www.epa.gov/dockets. respond one time to request assumption; Reduction Act. This is a proposed Abstract: The National Emission if the program is approved, they will extension of the ICR, which is currently Standards for Hazardous Air Pollutants respond annually for the annual report; approved through July 31, 2021. Public (NESHAP) for Beryllium Rocket Motor permit applicants will respond one time comments were previously requested, Fuel Firing were promulgated on April when requesting a permit. via the Federal Register, on May 12, 6, 1973 (38 FR 8826), and amended on Total estimated burden: 218,836 2020 during a 60-day comment period. both October 17, 2000 (65 FR 62151) hours (per year). Burden is defined at 5 This notice allows for an additional 30 and February 27, 2014 (79 FR 11275). CFR 1320.3(b). days for public comments. A fuller These regulations apply to existing and Total estimated cost: Costs to States description of the ICR is given below, new buildings, structures, facilities, or for assumed section 404 permit including its estimated burden and cost installations where the static test firing programs will vary widely by State and to the public. An agency may neither of a beryllium rocket motor and/or the permit; however, the total estimated conduct nor sponsor, and a person is disposal of beryllium propellant is costs for four programs is $5,641,625.21 not required to respond to, a collection conducted. New facilities include those and costs to permittees in State-assumed of information unless it displays a that commenced construction or programs is $1,266,824.13. There are $0 currently valid OMB control number. reconstruction after the date of
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promulgation. This information is being Information Report (EEO–4) as employment practices have been or are collected to assure compliance with 40 described below. being committed and produce reports CFR part 61, subpart D. DATES: Written comments on this notice required by the EEOC. Accordingly, the Form Numbers: None. are encouraged and must be submitted EEOC issued regulations, 29 CFR Respondents/affected entities: on or before June 28, 2021. 1602.30 and 1602.32–.37, which set Beryllium rocket motor fuel firing test forth the reporting requirements and ADDRESSES: Written comments and sites. related record retention policies for recommendations for the proposed Respondent’s obligation to respond: State and local governments. 29 CFR information collection should be sent Mandatory (40 CFR part 61, subpart D). 1602.30 requires every covered State within 30 days of publication of this Estimated number of respondents: 1 and local government to make or keep notice to www.reginfo.gov/public/do/ (total). all records necessary for completion of PRAMain. Find this particular Frequency of response: Annually. an EEO–4 submission and retain those information collection by selecting Total estimated burden: 9 hours (per records for three years. 29 CFR 1602.32 ‘‘Currently under 30-day Review—Open year). Burden is defined at 5 CFR requires filers to retain a copy of each for Public Comments’’ or by using the 1320.3(b). filed EEO–4 report for three years. These Total estimated cost: $1,110 (per search function. requirements are related to year), which includes $0 for annualized FOR FURTHER INFORMATION CONTACT: recordkeeping, which is part of standard capital/startup and/or operation & Margaret Noonan, Employer Data Team, administrative practices, and as a result, maintenance costs. Data Development and Information the EEOC believes that any impact on Changes in the Estimates: There is no Products Division, Equal Employment burden would be negligible and nearly change in burden from the most- Opportunity Commission, 131 M Street impossible to quantify. State and local recently approved ICR as currently NE, Room 4SW32J, Washington, DC governments with 100 or more identified in the OMB Inventory of 20507; (202) 921–2928 (voice), (800) employees have been required to submit Approved Burdens. This is due to two 669–6820 (TTY) or email at EEO–4 reports since 1974 (biennially considerations: (1) The regulations have [email protected]. since 1993). The EEOC uses EEO–4 data not changed over the past three years SUPPLEMENTARY INFORMATION: A notice for research and to investigate charges of and are not anticipated to change over that the EEOC would be submitting this discrimination. The individual reports the next three years; and (2) the growth request was published in the Federal are confidential. rate for this industry is very low or non- Register on January 19, 2021, allowing Burden Statement: The methodology existent, so there is no significant for a 60-day public comment period. No for calculating annual burden reflects change in the overall burden. Since comments were received from the the different staff that are responsible there are no changes in the regulatory public during the 60-day public for preparing and filing the EEO–4. requirements and there is no significant comment period. These estimates are based on the industry growth, there are also no estimated submission time of 7 hours changes in the capital/startup and/or Overview of Information Collection per reporting unit, as published in the operation and maintenance (O&M) Collection Title: State and Local 2018 EEO–4 Information Collection costs. Government Information Report (EEO– Review as required by the Paperwork 1 Courtney Kerwin, 4). Reduction Act. The EEOC accounts for OMB Number: 3046–0008. time to be spent biennially on EEO–4 Director, Regulatory Support Division. Frequency of Report: Biennial, odd reporting by senior and administrative [FR Doc. 2021–11183 Filed 5–26–21; 8:45 am] years. staff, as well as time spent by computer BILLING CODE 6560–50–P Type of Respondent: State and local support specialists, executive governments with 100 or more administrative staff, and payroll and employees within the 50 U.S. states and human resource professionals; the EQUAL EMPLOYMENT OPPORTUNITY District of Columbia. revised estimate also includes attorneys COMMISSION Description of Affected Public: State who may consult briefly during the and local governments with 100 or more reporting process. The estimated Agency Information Collection employees within the 50 U.S. states and number of respondents included in the Activities: Existing Collection District of Columbia. biennial EEO–4 data collection is 5,687 AGENCY: Equal Employment Reporting Hours: 95,542 per biennial State and local governments, as this is Opportunity Commission. collection. the average number of reporting units ACTION: Notice of information Burden Hour Cost: $4,719,509.02 per between 2005 and 2019. These 5,687 collection—extension without change: biennial collection. respondents will submit an estimated State and Local Government Federal Cost: $386,609.20 per 13,649 reports during each biennial Information Report (EEO–4). biennial collection. reporting cycle. The estimated hour Number of Respondents: 5,687. burden per report will be 7 hours, and SUMMARY: In accordance with the Number of Responses: 13,649. the estimated total biennial respondent Paperwork Reduction Act of 1995 Number of Forms: 1. burden hours will be 95,542. Burden (PRA), the Equal Employment Form Number: EEOC Form 164. hour cost was calculated using median Opportunity Commission (EEOC or Abstract: Section 709(c) of Title VII of hourly wage rates for administrative Commission) announces that it is the Civil Rights Act of 1964, as staff and legal counsel, and average submitting to the Office of Management amended, 42 U.S.C. 2000e–8(c), requires hourly wage rates for State and local and Budget (OMB) a request for a three- State and local governments to make government staff. The burden hour cost year extension without change of the and keep records relevant to a per report will be $214.77, and the State and Local Government determination of whether unlawful estimated total burden hour cost per
1 For more information, please see: https:// www.reginfo.gov/public/do/PRAViewICR?ref_ nbr=201804-3046-001.
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biennial collection will be $4,719,509.02 (See Table 1 for $4,719,509.02 (See Table 1 for calculations). calculations).
TABLE 1—ESTIMATE OF BIENNIAL BURDEN FOR EEO–4 REPORT
Burden Cost per Hourly hours per government Total burden Total burden wage rate 2 government hours hour cost 3 entity entity
Number of Reporting Units = 5,687 Number of Records Submitted = 13,649
Chief Executive ...... $52.90 0.35 $18.52 4,777.1 $88,447.64 Legal Counsel ...... 50.50 0.35 17.68 4,777.1 84,434.89 Computer Support Specialist (IT Professional) ...... 29.75 0.7 20.83 9,554.2 198,965.38 Executive Administrative Staff ...... 27.40 1.4 38.36 19,108.3 732,995.16 Human Resource Specialist ...... 32.59 2.45 79.85 33,439.6 2,669,998.39 Payroll Clerks ...... 22.60 1.75 39.55 23,885.4 944,667.57
Total ...... N/A 7 214.77 95,542 4,719,509.02
These estimates are based upon filers’ FEDERAL RESERVE SYSTEM Burch, and minor children, all of use of the EEO–4 online filing system to Monroe, Louisiana; Amanda Dosher submit reports. The EEOC has made Change in Bank Control Notices; Arledge, West Monroe, Louisiana; Adam online electronic submission much Acquisitions of Shares of a Bank or L. Pickett, San Francisco, California; De- easier for respondents required to file Bank Holding Company Ette Copes and Lonnie L. Copes, both of the EEO–4 Report and as a result, more The notificants listed below have Delhi, Louisiana; Charles E. Hixon, Jr. respondents are using this electronic applied under the Change in Bank and Anne Ruth Hixon, both of Rayville, filing method. During the 2019 EEO–4 Control Act (Act) (12 U.S.C. 1817(j)) and Louisiana; Bonnie R. Holley and Willie data collection cycle, 4,988 EEO–4 filers § 225.41 of the Board’s Regulation Y (12 R. Holley, both of Epps, Louisiana; completed and certified their CFR 225.41) to acquire shares of a bank David Wesley Sullivan, Pioneer, submission. Of the 4,988 EEO–4 filers or bank holding company. The factors Louisiana; and Joshua D. Sullivan, New Orleans, Louisiana; a group acting in who submitted data in 2019, 4 percent that are considered in acting on the concert, to retain voting shares of uploaded a data file, 92 percent filed applications are set forth in paragraph 7 Capital Bancorp, Inc., and thereby through the online application, and 4 of the Act (12 U.S.C. 1817(j)(7)). indirectly retain voting shares of percent submitted paper records. The public portions of the applications listed below, as well as Commercial Capital Bank, both of Delhi, Electronic filing remains the most Louisiana. efficient, accurate, and secure means of other related filings required by the Board, if any, are available for B. Federal Reserve Bank of reporting for respondents required to Minneapolis (Chris P. Wangen, submit the EEO–4 report. Accordingly, immediate inspection at the Federal Reserve Bank(s) indicated below and at Assistant Vice President), 90 Hennepin the EEOC will continue to encourage Avenue, Minneapolis, Minnesota EEO–4 filers to submit data through the offices of the Board of Governors. This information may also be obtained 55480–0291: online electronic filing and will only 1. James T. Roberton, Ramsey, on an expedited basis, upon request, by accept paper records from filers who Minnesota; to retain voting shares of contacting the appropriate Federal Rushford State Bancorp, Inc., and have secured permission to submit data Reserve Bank and from the Board’s thereby indirectly retain voting shares of via paper submission. Freedom of Information Office at Rushford State Bank, both of Rushford, Dated: May 22, 2021. https://www.federalreserve.gov/foia/ Minnesota. For the Commission. request.htm. Interested persons may Board of Governors of the Federal Reserve Charlotte A. Burrows, express their views in writing on the standards enumerated in paragraph 7 of System, May 24, 2021. Chair. the Act. Michele Taylor Fennell, [FR Doc. 2021–11228 Filed 5–26–21; 8:45 am] Comments regarding each of these Deputy Associate Secretary of the Board. BILLING CODE 6570–01–P applications must be received at the [FR Doc. 2021–11277 Filed 5–26–21; 8:45 am] Reserve Bank indicated or the offices of BILLING CODE P the Board of Governors, Ann E. Misback, Secretary of the Board, 20th Street and Constitution Avenue NW, DEPARTMENT OF HEALTH AND 2 Occupational titles and wages are from the Washington DC 20551–0001, not later HUMAN SERVICES Bureau of Labor Statistics’ National Industry- than June 11, 2021. Specific Occupational Employment and Wage A. Federal Reserve Bank of Dallas Agency for Healthcare Research and Estimates—NAICS 999000—Federal, State, and (Karen Smith, Director, Applications) Quality local Government, excluding state and local schools 2200 North Pearl Street, Dallas, Texas and hospitals and the U.S. Postal Service: https:// Notice of Meeting www.bls.gov/oes/current/naics3_999000.htm#11- 75201–2272: 0000. The wages cited are median hourly wages. 1. Lawrence W. Pickett, Dana Dosher AGENCY: Agency for Healthcare Research 3 Burden hour cost is estimated by multiplying DeGravelle, Marilyn Pickett Worsley, and Quality (AHRQ), HHS. Rock W. Worsley, Lauren P. Davis, the ‘Cost per government entity’ column by the ACTION: Notice. ‘Total burden hours’ column. Pamela J. Pickett, Benjamin Clark
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SUMMARY: The Agency for Healthcare DEPARTMENT OF HEALTH AND Hopkins University (JHU) and the AIM Research and Quality (AHRQ) HUMAN SERVICES program, JHU’s subcontractor, pursuant announces a Special Emphasis Panel to AHRQ’s statutory authority to (SEP) meeting on ‘‘INTUIT–PC: Agency for Healthcare Research and conduct and support research on Improving Nonsurgical Treatment of Quality healthcare and on systems for the Urinary Incontinence among women in delivery of such care, including Primary Care: Dissemination and Agency Information Collection activities with respect to the quality, Implementation of PCOR Evidence Activities: Proposed Collection; effectiveness, efficiency, Comment Request (U18).’’ This SEP meeting will be closed appropriateness and value of healthcare to the public. AGENCY: Agency for Healthcare Research services and with respect to quality and Quality (AHRQ), HHS. measurement and improvement. 42 DATES: July 15, 2021. U.S.C. 299a(a)(1) and (2). ACTION: Notice. ADDRESSES: Agency for Healthcare Due to continued pandemic-related Research and Quality, (Video Assisted SUMMARY: This notice announces the impacts on the SPPC–II study Review), 5600 Fishers Lane, Rockville, intention of the Agency for Healthcare population, we propose to update the Maryland 20857. Research and Quality (AHRQ) to request SPPC–II data collection by (1) that the Office of Management and restructuring and adding questions to FOR FURTHER INFORMATION CONTACT: Budget (OMB) approve proposed the approved qualitative interview Jenny Griffith, Committee Management updates to the approved information guides to be used with AIM program Officer, Office of Extramural Research, collection project ‘‘Safety Program in Team Leads and now frontline health Education and Priority Populations, Perinatal Care (SPPC)-II Demonstration providers in the summer/fall of 2021 to Agency for Healthcare Research and Project.’’ This proposed information include questions to better understand Quality, (AHRQ), 5600 Fishers Lane, collection was previously published in the perceived implementation context; Rockville, Maryland 20857, Telephone: the Federal Register on March 5, 2021 and (2) adding focus group discussions (301) 427–1557. and allowed 60 days for public in the summer/fall of 2022 to assess comment. The purpose of this notice is perceptions of implementation and SUPPLEMENTARY INFORMATION: A Special sustainability of the SPPC–II Toolkit at Emphasis Panel is a group of experts in to allow an additional 30 days for public comment. the hospital level. The total burden fields related to health care research hours resulting from these proposed who are invited by AHRQ, and agree to DATES: Comments on this notice must be received by June 28, 2021. updates to the SPPC–II data collection is be available, to conduct on an as needed 64 hours. The total estimated annual ADDRESSES: basis, scientific reviews of applications Written comments should burden hours for SPPC–II are 54,693. for AHRQ support. Individual members be submitted to: Doris Lefkowitz, of the Panel do not attend regularly- Reports Clearance Officer, AHRQ, by Method of Collection scheduled meetings and do not serve for email at [email protected]. To achieve the goals of this project the fixed terms or a long period of time. Copies of the proposed collection following updates to the data collections Rather, they are asked to participate in plans, data collection instruments, and will be implemented: particular review meetings which specific details on the estimated burden (a) Qualitative, semi-structured require their type of expertise. can be obtained from the AHRQ Reports interviews with AIM Team Leads and Clearance Officer. The SEP meeting referenced above frontline staff will be conducted by FOR FURTHER INFORMATION CONTACT: will be closed to the public in phone or via zoom in the summer/fall Doris Lefkowitz, AHRQ Reports of 2021 to assess the perceived utility of accordance with the provisions set forth Clearance Officer, (301) 427–1477, or by the training and the perceived in 5 U.S.C. App. 2, section 10(d), 5 email at [email protected]. implementation context (including U.S.C. 552b(c)(4), and 5 U.S.C. SUPPLEMENTARY INFORMATION: barriers, facilitators, and strategies) in 552b(c)(6). Grant applications for the context of a reduced scope for ‘‘INTUIT–PC: Improving Nonsurgical Proposed Project SPCC–II. In 8 hospitals, one-hour Treatment of Urinary Incontinence Safety Program in Perinatal Care interviews with AIM Team Leads (1 per among women in Primary Care: (SPPC)–II Demonstration Project hospital) and 30-minute interviews with Dissemination and Implementation of frontline staff (4 per hospital) will be PCOR Evidence (U18)’’ are to be The SPPC–II Demonstration Project conducted. An interview guide reviewed and discussed at this meeting. has the following goals: developed based on the Consolidated The grant applications and the (1) To implement the integrated Alliance for Innovation on Maternal Framework for Implementation discussions could disclose confidential Research framework will be used to trade secrets or commercial property Health (AIM)-SPPC II program in birthing hospitals in Oklahoma and conduct the interviews, together with a such as patentable material, and corresponding consent form. The personal information concerning Texas in coordination with AIM and the respective state PQC (Perinatal Quality interview guide will be supported by individuals associated with the grant the SPPC–II tier level training specific applications, the disclosure of which Collaborative); (2) To assess the implementation of handouts. would constitute a clearly unwarranted the integrated AIM–SPPC II program in (b) Focus group discussions with AIM invasion of personal privacy. these hospitals; and Team Leads and frontline staff will be Agenda items for this meeting are (3) To ascertain the short- and conducted by phone or via zoom in the subject to change as priorities dictate. medium-term impact of the integrated summer/fall of 2022 to assess Dated: May 24, 2021. AIM–SPPC II program on hospital (i.e. perceptions of implementation and perinatal unit) teamwork and sustainability of the SPPC–II Toolkit at Marquita Cullom, communication, patient safety, and key the hospital level. We will conduct one Associate Director. maternal health outcomes. 1-hour focus groups with AIM Team [FR Doc. 2021–11241 Filed 5–26–21; 8:45 am] This study is being conducted by Leads and frontline staff in each of the BILLING CODE 4160–90–P AHRQ through its contractor, Johns 8 hospitals. An interview guide
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developed based on the Consolidated respondents’ time to participate in hour focus group discussions with a Framework for Implementation updates to the information collection of total of 40 AIM Team Leads and Research framework will be used to the SPPC–II Demonstration Project. frontline staff in the same hospitals. conduct the interviews, together with a One-hour qualitative interviews will The total burden hours resulting from corresponding consent form. be conducted with a total of 8 AIM the proposed updates to the SPPC–II Estimated Annual Respondent Burden Team Leads and 30-minute qualitative data collection is 64 hours. The total Exhibit 1 shows only the estimated interviews with 32 frontline staff in 8 annual burden hours are estimated to be annualized burden hours for the hospitals. We will also conduct 8 one- 54,693 hours.
EXHIBIT 1—ESTIMATED ANNUALIZED BURDEN HOURS
Number of Total Form name Number of responses per Hours per burden respondents respondent response hours
Qualitative semi-structured interviews with AIM Team Leads ...... 8 1 1.00 8 Qualitative semi-structured interviews with frontline staff ...... 32 1 0.50 16 Focus group discussions with AIM Team Leads and frontline staff ...... 40 1 1 40
Total ...... 80 NA NA 64
Exhibit 2 shows only the hours and collection is estimated to be cost of updates to the collection. The $1,421,576.68 annually. total cost burden of the updated
EXHIBIT 2—ESTIMATED ANNUALIZED COST BURDEN
Total Average Form name Number of burden hourly Total cost respondents hours wage rate * burden
Qualitative semi-structured interviews with AIM Team Leads ...... 8 8 $49.83 $398.64 Qualitative semi-structured interviews with frontline staff ...... 32 16 49.83 797.28 Focus group discussions with AIM Team Leads and frontline staff ...... 40 40 49.83 1,993.20
Total ...... 80 64 ...... 3,189.12 * National Compensation Survey: Occupational wages in the United States May 2017 ‘‘U.S. Department of Labor, Bureau of Labor Statistics.’’ Weighted mean hourly wage for obstetrician-gynecologists ($113.10; occupation code 29–1064; 30%); nurse-midwives ($49.83; occupation code 29–1161; 30%); registered nurses ($35.36; occupation code 29–1161; 20%); and nurse practitioners ($51.86; occupation code 29–1171; 20%).
Request for Comments comments will become a matter of Evaluation of Mental Health In accordance with the Paperwork public record. Applications, which is currently being Reduction Act, 44 U.S.C. 3501–3520, Dated: May 21, 2021. conducted by the AHRQ’s Evidence- comments on AHRQ’s information Marquita Cullom, based Practice Centers (EPC) Program. Access to published and unpublished collection are requested with regard to Associate Director. any of the following: (a) Whether the pertinent scientific information will [FR Doc. 2021–11195 Filed 5–26–21; 8:45 am] improve the quality of this review. proposed collection of information is BILLING CODE 4160–90–P necessary for the proper performance of DATES: Submission Deadline on or AHRQ’s health care research and health before June 28, 2021. care information dissemination DEPARTMENT OF HEALTH AND functions, including whether the HUMAN SERVICES ADDRESSES: information will have practical utility; Email submissions: epc@ (b) the accuracy of AHRQ’s estimate of Agency for Healthcare Research and ahrq.hhs.gov. Quality burden (including hours and costs) of Print submissions: the proposed collection(s) of information; (c) ways to enhance the Supplemental Evidence and Data Mailing Address: Center for Evidence quality, utility and clarity of the Request on Evaluation of Mental and Practice Improvement, Agency for information to be collected; and (d) Health Applications Healthcare Research and Quality, ATTN: EPC SEADs Coordinator, 5600 ways to minimize the burden of the AGENCY: Agency for Healthcare Research collection of information upon the Fishers Lane, Mail Stop 06E53A, and Quality (AHRQ), HHS. Rockville, MD 20857. respondents, including the use of ACTION: Request for supplemental automated collection techniques or evidence and data submissions. Shipping Address (FedEx, UPS, etc.): other forms of information technology. Center for Evidence and Practice Comments submitted in response to SUMMARY: The Agency for Healthcare Improvement, Agency for Healthcare this notice will be summarized and Research and Quality (AHRQ) is seeking Research and Quality, ATTN: EPC included in the Agency’s subsequent scientific information submissions from SEADs Coordinator, 5600 Fishers Lane, request for OMB approval of the the public. Scientific information is Mail Stop 06E77D, Rockville, MD proposed information collection. All being solicited to inform our review on 20857.
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FOR FURTHER INFORMATION CONTACT: criteria, and primary and secondary Dated: May 21, 2021. Jenae Benns, Telephone: 301–427–1496 outcomes. Marquita Cullom, or Email: [email protected]. D Description of whether the above Associate Director. SUPPLEMENTARY INFORMATION: The studies constitute ALL Phase II and [FR Doc. 2021–11186 Filed 5–26–21; 8:45 am] Agency for Healthcare Research and above clinical trials sponsored by your BILLING CODE 4160–90–P Quality has commissioned the organization for this indication and an Evidence-based Practice Centers (EPC) index outlining the relevant information Program to complete a review of the in each submitted file. DEPARTMENT OF HEALTH AND evidence for Evaluation of Mental Your contribution is very beneficial to HUMAN SERVICES Health Applications. AHRQ is the Program. Materials submitted must conducting this technical brief pursuant be publicly available or able to be made Food and Drug Administration to Section 902 of the Public Health public. Materials that are considered [Docket No. FDA–2011–D–0514] Service Act, 42 U.S.C. 299a. confidential; marketing materials; study The EPC Program is dedicated to types not included in the review; or Postmarket Surveillance Under Section identifying as many studies as possible information on indications not included 522 of the Federal Food, Drug, and that are relevant to the questions for in the review cannot be used by the EPC Cosmetic Act; Draft Guidance for each of its reviews. In order to do so, we Program. This is a voluntary request for Industry and Food and Drug are supplementing the usual manual information, and all costs for complying Administration Staff; Availability with this request must be borne by the and electronic database searches of the AGENCY: Food and Drug Administration, submitter. literature by requesting information HHS. from the public (e.g., details of studies The draft of this review will be posted ACTION: Notice of availability. conducted). We are looking for studies on AHRQ’s EPC Program website and that report on Evaluation of Mental available for public comment for a SUMMARY: The Food and Drug Health Applications, specifically the period of 4 weeks. If you would like to Administration (FDA or Agency) is following: be notified when the draft is posted, announcing the availability of the draft • Characteristics and minimal please sign up for the email list at: guidance entitled ‘‘Postmarket standards in terms of appropriateness https:// Surveillance Under Section 522 of the and effectiveness of available behavioral www.effectivehealthcare.ahrq.gov/ Federal Food, Drug, and Cosmetic Act.’’ health applications including adverse email-updates. The existing postmarket surveillance events. The technical brief will answer the guidance was issued in May 2016 to • Behavioral health applications following questions. This information is address certain postmarket surveillance assessment frameworks for evaluation/ provided as background. AHRQ is not requirements. This draft guidance is scoring tools. requesting that the public provide intended to update the 2016 guidance to • The entire research protocol is answers to these questions. increase transparency to stakeholders on available online at: https:// Guiding Key Questions (KQs) FDA’s approach to the issuance and effectivehealthcare.ahrq.gov/products/ tracking of these postmarket mental-health-apps/protocol. 1. What characteristics and minimal surveillance orders, and expectations for This is to notify the public that the standards of available behavioral health timely study completion. This draft EPC Program would find the following mobile applications need to be analyzed guidance is not final nor is it in effect information on Evaluation of Mental in existing tools to assess the at this time. appropriateness (to various Health Applications helpful: DATES: Submit either electronic or D A list of completed studies that stakeholders) and effectiveness of written comments on the draft guidance your organization has sponsored for this available apps to include, but not by July 26, 2021 to ensure that the indication. In the list, please indicate limited to: Agency considers your comment on this whether results are available on • Accessibility including ease of use, draft guidance before it begins work on ClinicalTrials.gov along with the health literacy, 508 compliance, the final version of the guidance. ClinicalTrials.gov trial number. digital equity, cost ADDRESSES: You may submit comments • D For completed studies that do not App background including funding on any guidance at any time as follows: have results on ClinicalTrials.gov, a source, purpose summary, including the following • Security features and privacy policy Electronic Submissions elements: study number, study period, such as data ownership/usage Submit electronic comments in the design, methodology, indication and • Clinical foundation and linkage to following way: diagnosis, proper use instructions, current evidence-base • Federal eRulemaking Portal: inclusion and exclusion criteria, • Usability, including interoperability https://www.regulations.gov. Follow the primary and secondary outcomes, across platforms, stability instructions for submitting comments. baseline characteristics, number of • Therapeutic goals, linkage to the Comments submitted electronically, patients screened/eligible/enrolled/lost provider, crisis warning notification/ including attachments, to https:// to follow-up/withdrawn/analyzed, alert system www.regulations.gov will be posted to effectiveness/efficacy, and safety results. 2. Identify or develop an assessment the docket unchanged. Because your D A list of ongoing studies that your framework for evaluation/scoring tools comment will be made public, you are organization has sponsored for this (e.g., websites) and apply the framework solely responsible for ensuring that your indication. In the list, please provide the to help consumers, family members and comment does not include any ClinicalTrials.gov trial number or, if the peer supports, providers and health confidential information that you or a trial is not registered, the protocol for systems select behavioral health mobile third-party may not wish to be posted, the study including a study number, the applications. The framework will take such as medical information, your or study period, design, methodology, into account current FDA status on the anyone else’s Social Security number, or indication and diagnosis, proper use use and classification of risks of apps in confidential business information, such instructions, inclusion and exclusion healthcare. as a manufacturing process. Please note
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that if you include your name, contact except in accordance with 21 CFR 10.20 Æ recommendations for enrollment information, or other information that and other applicable disclosure law. For schedules to help achieve timely identifies you in the body of your more information about FDA’s posting completion of postmarket surveillance; comments, that information will be of comments to public dockets, see 80 • recommendations on the format, posted on https://www.regulations.gov. FR 56469, September 18, 2015, or access content, and review of postmarket • If you want to submit a comment the information at: https:// surveillance plan and report with confidential information that you www.govinfo.gov/content/pkg/FR-2015- submissions, including revised FDA do not wish to be made available to the 09-18/pdf/2015-23389.pdf. review times for postmarket public, submit the comment as a Docket: For access to the docket to surveillance-related submissions; and written/paper submission and in the read background documents or the • updated surveillance status manner detailed (see ‘‘Written/Paper electronic and written/paper comments categories to better reflect progress. Submissions’’ and ‘‘Instructions’’). received, go to https:// This draft guidance document also www.regulations.gov and insert the aims to increase transparency to Written/Paper Submissions docket number, found in brackets in the stakeholders on FDA’s approach to the Submit written/paper submissions as heading of this document, into the issuance and tracking of 522 postmarket follows: ‘‘Search’’ box and follow the prompts surveillance orders, and expectations for • Mail/Hand Delivery/Courier (for and/or go to the Dockets Management timely study completion. written/paper submissions): Dockets Staff, 5630 Fishers Lane, Rm. 1061, This draft guidance is being issued Management Staff (HFA–305), Food and Rockville, MD 20852, 240–402–7500. consistent with FDA’s good guidance Drug Administration, 5630 Fishers You may submit comments on any practices regulation (21 CFR 10.115). Lane, Rm. 1061, Rockville, MD 20852. guidance at any time (see 21 CFR The draft guidance, when finalized, will • For written/paper comments 10.115(g)(5)). represent the current thinking of FDA submitted to the Dockets Management An electronic copy of the guidance on ‘‘Postmarket Surveillance Under Staff, FDA will post your comment, as document is available for download Section 522 of the Federal Food, Drug, well as any attachments, except for from the internet. See the and Cosmetic Act.’’ It does not establish information submitted, marked and SUPPLEMENTARY INFORMATION section for any rights for any person and is not identified, as confidential, if submitted information on electronic access to the binding on FDA or the public. You can as detailed in ‘‘Instructions.’’ guidance. Submit written requests for a use an alternative approach if it satisfies Instructions: All submissions received single hard copy of the draft guidance the requirements of the applicable must include the Docket No. FDA– document entitled ‘‘Postmarket statutes and regulations. 2011–D–0514 for ‘‘Postmarket Surveillance Under Section 522 of the Surveillance Under Section 522 of the Federal Food, Drug, and Cosmetic Act’’ II. Electronic Access Federal Food, Drug, and Cosmetic Act.’’ to the Office of Policy, Guidance and Persons interested in obtaining a copy Received comments will be placed in Policy Development, Center for Devices of the draft guidance may do so by the docket and, except for those and Radiological Health, Food and Drug downloading an electronic copy from submitted as ‘‘Confidential Administration, 10903 New Hampshire the internet. A search capability for all Submissions,’’ publicly viewable at Ave., Bldg. 66, Rm. 5431, Silver Spring, Center for Devices and Radiological https://www.regulations.gov or at the MD 20993–0002. Send one self- Health guidance documents is available Dockets Management Staff between 9 addressed adhesive label to assist that at https://www.fda.gov/MedicalDevices/ a.m. and 4 p.m., Monday through office in processing your request. DeviceRegulationandGuidance/ Friday, 240–402–7500. GuidanceDocuments/default.htm. This • FOR FURTHER INFORMATION CONTACT: Confidential Submissions—To Nilsa Loyo-Berrios, Center for Devices guidance document is also available at submit a comment with confidential and Radiological Health, Food and Drug https://www.regulations.gov and at information that you do not wish to be Administration, 10903 New Hampshire https://www.fda.gov/regulatory- made publicly available, submit your Ave., Bldg. 66, Rm. G114, Silver Spring, information/search-fda-guidance- comments only as a written/paper MD 20993–0002, 301–796–6065. documents. Persons unable to download submission. You should submit two SUPPLEMENTARY INFORMATION: an electronic copy of ‘‘Postmarket copies total. One copy will include the Surveillance Under Section 522 of the information you claim to be confidential I. Background Federal Food, Drug, and Cosmetic Act’’ with a heading or cover note that states Section 522 of the Federal Food, Drug, may send an email request to CDRH- ‘‘THIS DOCUMENT CONTAINS and Cosmetic Act (FD&C Act) (21 U.S.C. [email protected] to receive an CONFIDENTIAL INFORMATION.’’ The 360l) provides FDA with the authority electronic copy of the document. Please Agency will review this copy, including to require manufacturers to conduct use the document number 19042 and the claimed confidential information, in postmarket surveillance at the time of complete title to identify the guidance its consideration of comments. The approval or clearance or any time you are requesting. second copy, which will have the thereafter of certain class II or class III III. Paperwork Reduction Act of 1995 claimed confidential information devices. This draft guidance document redacted/blacked out, will be available will assist manufacturers of devices While this guidance contains no for public viewing and posted on subject to section 522 postmarket collection of information, it does refer to https://www.regulations.gov. Submit surveillance orders by providing: previously approved FDA collections of both copies to the Dockets Management • An overview of section 522 of the information. Therefore, clearance by the Staff. If you do not wish your name and FD&C Act; Office of Management and Budget contact information to be made publicly • information on how to fulfill (OMB) under the Paperwork Reduction available, you can provide this section 522 obligations, including: Act of 1995 (PRA) (44 U.S.C. 3501– information on the cover sheet and not Æ When postmarket surveillance 3521) is not required for this guidance. in the body of your comments and you should be considered commenced; The previously approved collections of must identify this information as Æ recommendations for achieving an information are subject to review by ‘‘confidential.’’ Any information marked approved postmarket surveillance plan OMB under the PRA. The collections of as ‘‘confidential’’ will not be disclosed in a timely manner; and information in the following FDA
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regulations and guidance have been approved by OMB as listed in the following table:
OMB 21 CFR part or guidance Topic control No.
807, subpart E ...... Premarket notification ...... 0910–0120 814, subparts A through E ...... Premarket approval ...... 0910–0231 814, subpart H ...... Humanitarian Use Device Exemption ...... 0910–0332 ‘‘De Novo Classification Process (Evaluation of Automatic De Novo classification process ...... 0910–0844 Class III Designation)’’. 822 ...... Postmarket Surveillance of Medical Devices ...... 0910–0449
Dated: May 21, 2021. solely responsible for ensuring that your with a heading or cover note that states Lauren K. Roth, comment does not include any ‘‘THIS DOCUMENT CONTAINS Acting Principal Associate Commissioner for confidential information that you or a CONFIDENTIAL INFORMATION.’’ The Policy. third party may not wish to be posted, Agency will review this copy, including [FR Doc. 2021–11215 Filed 5–26–21; 8:45 am] such as medical information, your or the claimed confidential information, in BILLING CODE 4164–01–P anyone else’s Social Security number, or its consideration of comments. The confidential business information, such second copy, which will have the as a manufacturing process. Please note claimed confidential information DEPARTMENT OF HEALTH AND that if you include your name, contact redacted/blacked out, will be available HUMAN SERVICES information, or other information that for public viewing and posted on identifies you in the body of your https://www.regulations.gov. Submit Food and Drug Administration comments, that information will be both copies to the Dockets Management posted on https://www.regulations.gov. [Docket No. FDA–2021–D–0373] Staff. If you do not wish your name and • If you want to submit a comment contact information to be made publicly Tobacco Product User Fees: with confidential information that you available, you can provide this Responses to Frequently Asked do not wish to be made available to the information on the cover sheet and not Questions; Draft Guidance for public, submit the comment as a in the body of your comments and you Industry; Availability written/paper submission and in the must identify this information as manner detailed (see ‘‘Written/Paper ‘‘confidential.’’ Any information marked AGENCY: Food and Drug Administration, Submissions’’ and ‘‘Instructions’’). as ‘‘confidential’’ will not be disclosed HHS. Written/Paper Submissions except in accordance with 21 CFR 10.20 ACTION: Notice of availability. and other applicable disclosure law. For Submit written/paper submissions as more information about FDA’s posting SUMMARY: The Food and Drug follows: • of comments to public dockets, see 80 Administration (FDA or Agency) is Mail/Hand Delivery/Courier (for written/paper submissions): Dockets FR 56469, September 18, 2015, or access announcing the availability of a draft the information at: https:// guidance for industry entitled ‘‘Tobacco Management Staff (HFA–305), Food and Drug Administration, 5630 Fishers www.govinfo.gov/content/pkg/FR-2015- Product User Fees: Responses to 09-18/pdf/2015-23389.pdf. Frequently Asked Questions.’’ This draft Lane, Rm. 1061, Rockville, MD 20852. • For written/paper comments Docket: For access to the docket to guidance provides information in read background documents or the response to frequently asked questions submitted to the Dockets Management Staff, FDA will post your comment, as electronic and written/paper comments related to tobacco product user fees received, go to https:// assessed and collected under the well as any attachments, except for information submitted, marked and www.regulations.gov and insert the Federal Food, Drug, and Cosmetic Act docket number, found in brackets in the (FD&C Act). identified, as confidential, if submitted as detailed in ‘‘Instructions.’’ heading of this document, into the DATES: Submit either electronic or Instructions: All submissions received ‘‘Search’’ box and follow the prompts written comments on the draft guidance must include the Docket No. FDA– and/or go to the Dockets Management by July 26, 2021 to ensure that the 2021–D–0373 for ‘‘Tobacco Product Staff, 5630 Fishers Lane, Rm. 1061, Agency considers your comment on this User Fees: Responses to Frequently Rockville, MD 20852, 240–402–7500. draft guidance before it begins work on Asked Questions.’’ Received comments You may submit comments on any the final version of the guidance. will be placed in the docket and, except guidance at any time (see 21 CFR ADDRESSES: You may submit comments for those submitted as ‘‘Confidential 10.115(g)(5)). on any guidance at any time as follows: Submissions,’’ publicly viewable at Submit written requests for single https://www.regulations.gov or at the copies of this draft guidance to the Electronic Submissions Dockets Management Staff between 9 Center for Tobacco Products, Food and Submit electronic comments in the a.m. and 4 p.m., Monday through Drug Administration, Document Control following way: Friday, 240–402–7500. Center, 10903 New Hampshire Ave., • Federal eRulemaking Portal: • Confidential Submissions—To Bldg. 71, Rm. G335, Silver Spring, MD https://www.regulations.gov. Follow the submit a comment with confidential 20993–0002. Send one self-addressed instructions for submitting comments. information that you do not wish to be adhesive label to assist that office in Comments submitted electronically, made publicly available, submit your processing your request or include a Fax including attachments, to https:// comments only as a written/paper number to which the draft guidance www.regulations.gov will be posted to submission. You should submit two may be sent. See the SUPPLEMENTARY the docket unchanged. Because your copies total. One copy will include the INFORMATION section for information on comment will be made public, you are information you claim to be confidential electronic access to the draft guidance.
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FOR FURTHER INFORMATION CONTACT: Eric products, an individual domestic Dated: May 21, 2021. C. Mandle, Center for Tobacco Products, manufacturer or importer is assessed a Lauren K. Roth, Food and Drug Administration, user fee based on its market share for Acting Principal Associate Commissioner for Document Control Center, 10903 New that tobacco product class. Policy. Hampshire Ave., Bldg. 71, Rm. G335, In the Federal Register of May 31, [FR Doc. 2021–11222 Filed 5–26–21; 8:45 am] Silver Spring, MD 20993–0002, email: 2013 (78 FR 32581), FDA issued a BILLING CODE 4164–01–P [email protected], 1–877– 287–1373. proposed rule to add part 1150 (21 CFR part 1150) to require domestic tobacco SUPPLEMENTARY INFORMATION: DEPARTMENT OF HEALTH AND product manufacturers and importers to HUMAN SERVICES I. Background submit to FDA information needed to FDA is announcing the availability of calculate the amount of user fees to Food and Drug Administration assess each domestic manufacturer and a draft guidance for industry entitled [Docket No. FDA–2020–Z–2200] ‘‘Tobacco Product User Fees: Responses importer under the FD&C Act. In the to Frequently Asked Questions.’’ This Federal Register of July 10, 2014 (79 FR Termination of the Food and Drug draft guidance provides information in 39302), FDA finalized portions of the Administration’s Unapproved Drugs response to frequently asked questions User Fee proposed rule related to Initiative; Request for Information related to tobacco product user fees cigarettes, snuff, chewing tobacco, and Regarding Drugs Potentially Generally assessed and collected under section roll-your-own tobacco, which is Recognized as Safe and Effective; 919 of the FD&C Act (21 U.S.C. 387s). codified at part 1150. In the Federal Withdrawal In particular, this draft guidance Register of May 10, 2016 (81 FR 28707), provides information regarding the FDA finalized a rule that requires AGENCY: Food and Drug Administration submission of information needed to domestic manufacturers and importers (FDA), Department of Health and Human Services (HHS). assess user fees owed by each domestic of cigars and pipe tobacco to submit manufacturer or importer of tobacco information needed to calculate the ACTION: Notice; withdrawal. products and how FDA determines amount of user fees assessed under the whether a company owes user fees in SUMMARY: The Department of Health and each quarterly assessment. The current FD&C Act. Human Services (HHS or the Form FDA 3852, ‘‘Report of Tobacco FDA is issuing this draft guidance Department) is issuing this document to Produce Removals Subject to Tax for consistent with FDA’s good guidance withdraw a legally and factually Tobacco Product User Fee practices regulation (21 CFR 10.115). inaccurate notice and request for Assessments,’’ discussed in this draft The draft guidance, when finalized, will information published in the Federal guidance, is available at https:// represent the current thinking of FDA Register on November 25, 2020, entitled www.fda.gov/media/88957/download. on the responses to the frequently asked ‘‘Termination of the Food and Drug The Family Smoking Prevention and questions set forth in the guidance. It Administration’s Unapproved Drugs Tobacco Control Act (Pub. L. 111–31) does not establish any rights for any Initiative; Request for Information (Tobacco Control Act) was enacted on person and is not binding on FDA or the Regarding Drugs Potentially Generally June 22, 2009, amending the FD&C Act public. You can use an alternative Recognized as Safe and Effective.’’ This and providing FDA with the authority to approach if it satisfies the requirements notice also ends the period for regulate tobacco products. Included in of the applicable statutes and submission of responses to Part II of the the Tobacco Control Act is the regulations. November 25, 2020, notice and request requirement that FDA assess and collect for information. user fees. II. Paperwork Reduction Act DATES: The notice and the request for Section 919(a) of the FD&C Act information are withdrawn as of May While this guidance contains no requires FDA, in accordance with that 27, 2021. section, to ‘‘assess user fees on, and collection of information, it does refer to collect such fees from, each previously approved FDA collections of FOR FURTHER INFORMATION CONTACT: manufacturer and importer of tobacco information. Therefore, clearance by the Anuj Shah, Center for Drug Evaluation products subject to’’ the tobacco product Office of Management and Budget and Research, Food and Drug provisions of the FD&C Act (chapter IX (OMB) under the Paperwork Reduction Administration, 10903 New Hampshire Ave., Bldg. 51, Rm. 6224, Silver Spring, of the FD&C Act). Under the Act of 1995 (PRA) (44 U.S.C. 3501– MD 20993, 301–796–2246. calculations required by section 919 of 3521) is not required for this guidance. the FD&C Act, the tobacco products that The previously approved collections of SUPPLEMENTARY INFORMATION: On are subject to user fee assessments are information are subject to review by November 25, 2020, HHS published a cigarettes, snuff, chewing tobacco, roll- OMB under the PRA. The collections of notice and a request for information in your-own tobacco, cigars, and pipe information in part 1150 have been the Federal Register entitled ‘‘Termination of the Food and Drug tobacco. The total amount of user fees approved under 0910–0749. for each fiscal year is specified in Administration’s Unapproved Drugs section 919(b)(1) of the FD&C Act, and, III. Electronic Access Initiative; Request for Information under section 919(a), FDA is to assess Regarding Drugs Potentially Generally and collect one-fourth of that total each Persons with access to the internet Recognized as Safe and Effective’’ (the quarter of the fiscal year. The FD&C Act may obtain an electronic version of the HHS Notice) (85 FR 75331). The HHS provides for the total quarterly draft guidance at https:// Notice stated that it was ‘‘terminating’’ assessment to be allocated among www.regulations.gov, https:// the FDA’s Unapproved Drugs Initiative specified classes of tobacco products. www.fda.gov/TobaccoProducts/ (UDI) effective 30 days from publication The class allocation is based on each Labeling/RulesRegulationsGuidance/ of the HHS Notice in the Federal tobacco product class’ volume of default.htm, or https://www.fda.gov/ Register, by withdrawing FDA’s tobacco products removed into regulatory-information/search-fda- ‘‘Marketed Unapproved Drugs commerce. Within each class of tobacco guidance-documents. Compliance Policy Guide’’ (CPG
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440.100). The HHS Notice also exception applies. A biological product interpretation of ‘‘new drug’’ underpins requested public input on four topics (defined in section 351(i) of the Public FDA’s drug regulatory system. that relate to the statutory exemptions Health Service Act (PHS Act) (42 U.S.C. FDA has long employed a risk-based from the definition of ‘‘new drug’’ in the 262(i)) with an approved license under enforcement approach with respect to Federal Food, Drug, and Cosmetic Act section 351 of the PHS Act is not new drugs marketed without an (FD&C Act). The request for responses required to have an approved approved application. In October 2003, stated that: ‘‘The Department will application under section 505 of the the Agency published a draft guidance, consider information submitted by the FD&C Act. entitled ‘‘Marketed Unapproved Drugs— public in response to Part II of this Compliance Policy Guide,’’ to clarify Notice on a rolling basis, and until For decades, FDA has interpreted the how FDA generally intended to exercise further notice.’’ The responses were word ‘‘drug’’ in the term ‘‘new drug’’ to its enforcement discretion regarding directed to be submitted to an HHS refer to the entire drug product and not illegally marketed unapproved new email address with a specific subject just its active ingredient. This drugs (October 23, 2003, 68 FR 60702). line. interpretation has significant In June 2006, FDA finalized the 2003 Because the HHS Notice contained implications for public health. An active draft guidance in a final guidance multiple legal and factual inaccuracies, ingredient can have different effects on entitled ‘‘Marketed Unapproved Drugs— it is hereby withdrawn. Further, no the body depending on the formulation Compliance Policy Guide Sec. 440.100, responses or information submitted to of the drug and its route of Marketed New Drugs Without Approved the HHS email [email protected], in administration (e.g., topical vs. NDAs or ANDAs’’ (CPG 440.100 response to the HHS Notice and request intravenous), among other things.1 That guidance) (June 9, 2006, 71 FR 33466). for information, on or after May 27, is why when it reviews an application, The CPG 440.100 guidance described 2021 will be considered by HHS or FDA carefully evaluates, for each drug how FDA intended to prioritize FDA. All website statements and other product, not only the active ingredient regulatory action under its existing informal issuances with respect to the but also information about the drug’s enforcement authority regarding HHS Notice are also hereby withdrawn. formulation, route of administration, currently marketed unapproved new The HHS Notice withdrew FDA’s labeling, inactive ingredients, drugs, including that FDA generally guidance CPG 440.100, but that bioavailability, and manufacturing intended to apply a risk-based withdrawal does not represent a change processes. In accordance with this approach. In 2011, FDA updated the CPG in the legal obligations that apply to approach, FDA has consistently argued new drugs or to FDA’s existing 440.100 guidance to clarify that in the courts that the term ‘‘drug’’ in enforcement authority over unapproved unapproved new drugs introduced onto ‘‘new drug’’ means the entire drug new drugs. the market after September 19, 2011, Central to the legal and factual product and not only an active were subject to enforcement action at inaccuracies in the HHS Notice is its ingredient, and courts, including the any time without regard to the misinterpretation of the term ‘‘new U.S. Supreme Court, have agreed with enforcement priorities set out in CPG drug.’’ The definition of ‘‘drug’’ in FDA’s interpretation. See U.S. v. 440.100 (September 21, 2011, 76 FR section 201(g)(1) of the FD&C Act (21 Generix Drug Corp., 460 U.S. 453, 458– 58398). As described in the updated U.S.C. 321(g)(1)) includes articles 59 (1983) (the FD&C Act’s definition of version of the CPG 440.100 guidance, intended for use in the ‘‘diagnosis, cure, ‘‘new drug’’ applies to the entire drug FDA generally intended to encourage mitigation, treatment, or prevention of product rather than the active manufacturers of unapproved new drugs disease in man or other animals’’; ingredient); see also U.S. v. Premo to submit applications for their ‘‘articles (other than food) intended to Pharmaceutical Lab., 629 F.2d 785 (2d products, while continuing to apply a affect the structure or any function of Cir. 1980). FDA regulations incorporate risk-based approach to removing the body of man or other animals’’; and FDA’s interpretation of ‘‘new drug’’ (see unapproved new drugs from the market articles ‘‘intended for use as a 21 CFR 314.200), and a product-specific and preserving access to medically component’’ of the foregoing articles. A necessary drugs. drug is a ‘‘new drug,’’ and is generally 1 For example, Elixir Sulfanilamide, a liquid The CPG 440.100 guidance was part subject to the requirements for ‘‘new version of sulfanilamide (an early antibiotic widely of FDA’s UDI, which focuses on drugs,’’ unless the drug is generally used in the 1930s and 1940s to treat streptococcal addressing the continued illegal recognized by qualified experts as safe infections), was responsible for the deaths of more marketing in the United States of drug than 100 people in 1937. The liquid formulation and effective (GRASE) for its labeled was manufactured using sulfanilamide as the active products that lack the required FDA uses and used to a material extent or for ingredient in a diethylene glycol-based solution. review and approval for safety and a material time or the drug is Had the manufacturer conducted an animal study efficacy. To address this problem, FDA’s grandfathered because it was marketed or a review of then-existing scientific journals, it UDI adopts a risk-based approach for would have revealed the highly toxic nature of the before 1938 (section 201(p) of the FD&C inactive ingredient diethylene glycol, but Federal removing from the market unapproved Act). A separate ‘‘grandfather’’ clause law at the time did not require such studies, nor new drugs, particularly those that pose exempts a drug from the ‘‘effectiveness’’ did it require premarket review of the drug by FDA. serious risks to patients, with the goal requirements if, before 1962, the drug This tragedy spurred Congress to enact the FD&C of also preserving patient access to Act in 1938, which required that new drugs be was: (1) Used or sold commercially in approved by FDA for safety before they could be medically necessary drugs and the United States; (2) not a ‘‘new drug’’ marketed. Another example occurred in 1983, when encouraging manufacturers of as defined by the FD&C Act at that time; 38 premature infants died and 43 were seriously unapproved new drugs to submit and (3) not covered by an effective injured after being intravenously administered E- applications for their products. The UDI Ferol, an unapproved high potency form of vitamin has a two-pronged approach to help application. Under section 505(a) of the E. Injectable vitamin E drugs for use in premature FD&C Act (21 U.S.C. 355(a)), before any infants had been marketed since at least 1949; assure patient safety. First, the Agency ‘‘new drug’’ may be legally marketed in however, E-Ferol was a new formulation, encourages manufacturers of the United States, it must be the subject containing higher levels of vitamin E and using a unapproved new drugs to obtain relatively high concentration of two polysorbates as approval to be legally marketed in the of an approved application submitted emulsifiers, which subsequent research suggests pursuant to section 505(b) or section were likely responsible for the injuries and deaths United States. Second, FDA works to 505(j) of the FD&C Act, unless an of the premature infants. remove unapproved new drugs from the
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market consistent with risk-based Æ Between 1969 and 2006, FDA regarding the definition of ‘‘new drug’’ enforcement priorities and existing received 665 adverse events reports, under section 201(p) of the FD&C Act enforcement authorities. including 93 deaths, associated with and whether certain drugs might be As a result of the UDI, FDA has unapproved quinine sulfate use. Among grandfathered or qualify as GRASE and initiated 45 actions since 2006 (some the more common types of events with therefore would not be subject to the affecting multiple unapproved new serious outcomes reported to the new drug approval requirement. We did drugs) that have led to hundreds of Agency were cardiac events, renal not find any evidence that HHS potentially unsafe drugs being failure, and events related to overdose. consulted with, otherwise involved, or voluntarily removed from the market, FDA approved its first quinine sulfate even notified FDA before issuing the including several drugs with significant product in August 2005, and the HHS Notice. Section 1003(d) of the safety concerns. These drugs were approved labeling for quinine sulfate FD&C Act (21 U.S.C. 393(d)) provides removed from the market in response to provides extensive warnings to ensure that the Secretary ‘‘shall be responsible FDA Federal Register notices its safe use. After a safe and effective for executing’’ the FD&C Act ‘‘through announcing that FDA intended to take FDA-approved quinine sulfate product the [FDA] Commissioner.’’ Here, the enforcement action (13 of the actions), became available, in December 2006, HHS Notice in withdrawing the CPG warning letters (15 of the actions), or at FDA issued a Federal Register notice 440.100 guidance is clearly an action FDA’s informal request through announcing that it intended to take ‘‘executing’’ the FD&C Act. communications such as a enforcement action against unapproved The HHS Notice misinterprets the teleconference (17 of the actions). In all drug products containing quinine statutory term ‘‘new drug.’’ First, the 45 actions, safety concerns supported (including quinine sulfate and other HHS Notice erroneously suggests that removal of the unapproved new drug salts of quinine) and persons who cause FDA has taken the position that drug products from the market, such as the manufacture of such products or substances (i.e., active ingredients) serious adverse events, labeling that did their shipment in interstate commerce marketed prior to June 25, 1938, could not adequately warn healthcare because these products presented be ‘‘grandfathered’’ under the statute, professionals of risks, or potential risks serious safety risks that the unapproved and therefore, are not ‘‘new drugs’’ of harm resulting from adulterated drugs drug labeling did not comprehensively subject to FDA’s new drug approval 3 produced by facilities with current good describe. As of February 2021, there are process. As explained above, FDA has manufacturing practice violations. five FDA-approved quinine sulfate long interpreted the word ‘‘drug’’ in capsules, including four generic drug ‘‘new drug’’ to refer to the entire drug The following are well-documented products, available in the marketplace. product and not just the active examples of significant adverse events As noted above, these compliance ingredient, and the U.S. Supreme Court associated with unapproved new drugs actions have resulted in potentially has ruled that this is the correct that resulted in compliance actions to unsafe unapproved new drugs being interpretation of that term. Consistent remove an entire class of unapproved removed from the market as well as with this product-specific interpretation new drugs from the market. As noted FDA approval of safe and effective of ‘‘new drug,’’ FDA has construed the below, these compliance actions have versions of drug products previously grandfather clause in section 201(p)(1) also spurred manufacturers to seek and marketed without approval. Approval of of the FD&C Act to mean that a drug obtain FDA approval of safe and formerly unapproved new drugs helps product cannot be grandfathered if it effective versions of these drugs: reduce concerns about a potential differs in any respect from the pre-1938 • Carbinoxamine-containing products market disruption or shortage of these version of the drug product. Second, the Æ Between 1983 and 2006, FDA drugs, because the manufacturers of HHS Notice erroneously suggests that became aware of 21 deaths in children approved drugs have invested in a FDA had interpreted the definition of under 2 years of age associated with the manufacturing process that helps to ‘‘new drug’’ to exclude drug products use of carbinoxamine-containing drugs, ensure the drug is produced reliably and with active ingredients marketed prior including unapproved drugs. FDA had consistently. This lowers the risk of to June 25, 1938, but that FDA failed to concerns about the risks associated with quality problems, which are one of the acknowledge this interpretation in the these products because, although their main causes of shortages.4 In addition, CPG 440.100 guidance, as part of the safety and effectiveness had not been the approval of previously unapproved UDI. In fact, the CPG 440.100 guidance studied in infants and young children, new drugs assures the American public did not change FDA’s interpretation of they were promoted for use in this that the approved versions of those ‘‘new drug;’’ the CPG reflected the vulnerable age group. As a result, in drugs are safe and effective for their interpretation that the Agency had June 2006, FDA issued a Federal intended uses, manufactured in applied for decades and that was upheld Register notice announcing that it accordance with Federal quality by the U.S. Supreme Court in 1983. intended to take enforcement action standards, and bear accurate and The HHS Notice also includes other against unapproved drug products complete information in their labeling misstatements, including erroneously containing carbinoxamine and those regarding risks, benefits, and safe use. describing the UDI and FDA’s CPG who cause the manufacture of such On November 25, 2020, HHS 440.100 guidance as a new policy that products.2 As of February 2021, six published the HHS Notice in the should have been adopted through FDA-approved carbinoxamine- Federal Register stating that it was notice-and-comment rulemaking. containing drug products, including five ‘‘terminating’’ the UDI by withdrawing However, the CPG 440.100 guidance did generic versions, are available on the FDA’s CPG 440.100 guidance, effective not change FDA’s interpretation of ‘‘new marketplace and are labeled as 30 days from the publication date. HHS drug,’’ ‘‘grandfathered,’’ or ‘‘GRASE.’’ contraindicated in children under 2 also issued a request for information Instead, it described FDA’s enforcement years old. priorities under FDA’s existing legal • Quinine 3 71 FR 75557 (December 15, 2006). See https:// authorities regarding illegally marketed www.govinfo.gov/content/pkg/FR-2006-12-15/pdf/ unapproved new drugs. Communicating 06-9713.pdf. enforcement policies through guidance 2 71 FR 33462 (June 9, 2006). See https:// 4 FDA, Drug Shortages: Root Causes and Potential www.govinfo.gov/content/pkg/FR-2006-06-09/pdf/ Solutions (2019), available at https://www.fda.gov/ documents rather than legislative rules E6-9033.pdf. media/131130/download. is consistent with both the
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Administrative Procedure Act (APA; 5 it is appropriate to withdraw the HHS DEPARTMENT OF HEALTH AND U.S.C. 551 et seq.) and FDA’s Notice at this time. The HHS Notice HUMAN SERVICES regulations on good guidance practices does not accurately reflect the (§ 10.115 (21 CFR 10.115)). Under the Department’s or FDA’s thinking because Food and Drug Administration APA, FDA may use guidance documents it is inconsistent with the FD&C Act, [Docket No. FDA–2021–N–0335] to ‘‘advise the public prospectively of FDA regulations, and judicial precedent, the manner in which the agency among other legal authorities, and is not Authorizations of Emergency Use of proposes to exercise a discretionary supported by the facts. In addition, the Certain Biological Products During the 5 power.’’ Accordingly, FDA’s good HHS Notice could result in significant COVID–19 Pandemic; Availability guidance practice regulations define harm to public health by suggesting that ‘‘guidance documents’’ to include AGENCY: Food and Drug Administration, unsafe or ineffective drugs could ‘‘documents that relate to . . . HHS. circumvent the drug approval process. enforcement policies.’’ (§ 10.115(b)(2)). ACTION: Notice. Additionally, the HHS Notice is Although the withdrawal of FDA’s supported by flawed facts. It cites, for CPG 440.100 guidance does not change SUMMARY: The Food and Drug the proposition that the UDI and CPG the legal obligations that apply to new Administration (FDA) is announcing the 440.100 guidance resulted in price drugs, or FDA’s existing enforcement issuance of two Emergency Use increases for certain new drugs, only a authority over unapproved new drugs, Authorizations (EUAs) (the single observational study of 26 we recognize that the withdrawal of the Authorizations) under the Federal Food, products, which included pricing CPG may have created confusion for the Drug, and Cosmetic Act (FD&C Act) for estimates that were not inflation- public, including regulated industry, as biological products for use during the adjusted over the 4-year observational to how FDA intends to prioritize its COVID–19 pandemic. FDA has issued period, which could lead to an enforcement resources in this area. FDA one Authorization for biological overestimation of real price changes.6 therefore plans to issue guidance on this products as requested by Eli Lilly and The HHS Notice also erroneously ties topic consistent with good guidance Company and one Authorization for a the 2015 price increase for the drug biological product as requested by practices. The guidance will provide DARAPRIM to the UDI. DARAPRIM was Janssen Biotech, Inc. The appropriate updates regarding FDA’s approved as a new drug under the FD&C Authorizations contain, among other enforcement priorities for marketed Act in 1953. Following the 1962 FD&C things, conditions on the emergency use Act amendments, which required drugs unapproved new drugs. In the interim, of the authorized products. The to demonstrate not only safety but before such guidance is issued, FDA Authorizations follow the February 4, efficacy, DARAPRIM was found to be will continue to exercise its existing 2020, determination by the Secretary of effective, in 1971, as part of FDA’s general approach to prioritizing Health and Human Services (HHS) that review of all new drugs that had been regulatory and enforcement action, there is a public health emergency that approved only for safety before 1962. which involves risk-based prioritization has a significant potential to affect DARAPRIM was then fully approved by in light of all the facts of a given national security or the health and FDA as a safe and effective drug. For circumstance. Risk-based enforcement security of U.S. citizens living abroad years after its approval, DARAPRIM was best supports FDA’s public health and that involves a novel (new) an off-patent, off-exclusivity drug priorities. coronavirus. The virus, now named eligible for generic competition, but no FDA’s longstanding interpretation of SARS–CoV–2, causes the illness drug manufacturer sought and obtained COVID–19. On the basis of such approval of a generic version during this the statutory terms ‘‘new drug,’’ ‘‘grandfathered,’’ and ‘‘GRASE’’ are determination, the Secretary of HHS period. It was during this period, in declared on March 27, 2020, that 2015, that the holder of the approved unchanged and the HHS Notice did not affect the requirements that apply to circumstances exist justifying the application for DARAPRIM significantly authorization of emergency use of drugs new drugs under the statutes FDA raised the price of the drug. FDA and biological products during the administers. The HHS Notice did not, recently approved a generic version of COVID–19 pandemic, pursuant to the 7 and legally could not, provide a new this product on February 28, 2020. FD&C Act, subject to the terms of any Due to the HHS Notice’s legal and pathway for the legal marketing of authorization issued under that section. factual inaccuracies, including those unapproved new drugs. Neither HHS The Authorizations, which include an described above, HHS and FDA believe nor FDA has the authority to exempt a explanation of the reasons for issuance, product or class of products that are are reprinted in this document. 5 See the Attorney General’s Manual on the APA new drugs under the FD&C Act from the (1947), at 30 n.3. DATES: The Authorization for Eli Lilly new drug approval requirements of the 6 See R. Gupta et al., ‘‘The FDA Unapproved and Company is effective as of February Drugs Initiative: An Observational Study of the FD&C Act. See Cutler v. Kennedy, 475 9, 2021, and the Authorization for Consequences for Drug Prices and Shortages in the F. Supp. 838, 856 (D.D.C. 1979); United States,’’ 23 Journal of Managed Care & Janssen Biotech, Inc. is effective as of Specialty Pharmacy 1066 (October 2017) (the Yale Hoffman-LaRoche v. Weinberger, 425 F. February 27, 2021. Supp. 890, 892–894 (D.D.C. 1975). Study). Of note, the authors of the Yale Study ADDRESSES: Submit written requests for suggested ways to mitigate unintended consequences of the UDI that did not include Dated: May 17, 2021. single copies of the EUAs to the Office terminating the UDI by withdrawing CPG 440.100 Janet Woodcock, of Counterterrorism and Emerging guidance or reinterpreting the definition of ‘‘new Acting Commissioner of Food and Drugs. Threats, Food and Drug Administration, drug.’’ 10903 New Hampshire Ave., Bldg. 1, 7 FDA continues to maintain efforts to improve Dated: May 20, 2021. Rm. 4338, Silver Spring, MD 20993– the efficiency of the generic drug development, Xavier Becerra, review, and approval process, generally, and it 0002. Send one self-addressed adhesive prioritizes the review of submissions for generic Secretary, Department of Health and Human label to assist that office in processing drugs for which there are fewer than three approved Services. your request or include a Fax number to generic versions for the reference listed drug (RLD) [FR Doc. 2021–11257 Filed 5–26–21; 8:45 am] and for which there are no blocking patents or which the Authorizations may be sent. exclusivities on the RLD. BILLING CODE 4164–01–P See the SUPPLEMENTARY INFORMATION
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section for electronic access to the health emergency, or a significant data from adequate and well-controlled Authorizations. potential for a public health emergency, clinical trials, if available, it is FOR FURTHER INFORMATION CONTACT: that affects, or has a significant potential reasonable to believe that: (A) The Michael Mair, Office of to affect, national security or the health product may be effective in diagnosing, Counterterrorism and Emerging Threats, and security of U.S. citizens living treating, or preventing (i) such disease Food and Drug Administration, 10903 abroad, and that involves a biological, or condition; or (ii) a serious or life- New Hampshire Ave., Bldg. 1, Rm. chemical, radiological, or nuclear agent threatening disease or condition caused 4340, Silver Spring, MD 20993–0002, or agents, or a disease or condition that by a product authorized under section 301–796–8510 (this is not a toll free may be attributable to such agent or 564, approved or cleared under the number). agents; or (4) the identification of a FD&C Act, or licensed under section 351 material threat by the Secretary of of the PHS Act, for diagnosing, treating, SUPPLEMENTARY INFORMATION: Homeland Security pursuant to section or preventing such a disease or I. Background 319F–2 of the Public Health Service condition caused by such an agent; and (PHS) Act (42 U.S.C. 247d–6b) sufficient (B) the known and potential benefits of Section 564 of the FD&C Act (21 to affect national security or the health the product, when used to diagnose, U.S.C. 360bbb–3) allows FDA to and security of U.S. citizens living prevent, or treat such disease or strengthen public health protections abroad. condition, outweigh the known and against biological, chemical, nuclear, Once the Secretary of HHS has potential risks of the product, taking and radiological agents. Among other declared that circumstances exist into consideration the material threat things, section 564 of the FD&C Act justifying an authorization under posed by the agent or agents identified allows FDA to authorize the use of an section 564 of the FD&C Act, FDA may in a declaration under section unapproved medical product or an authorize the emergency use of a drug, 564(b)(1)(D) of the FD&C Act, if unapproved use of an approved medical device, or biological product if the applicable; (3) that there is no adequate, product in certain situations. With this Agency concludes that the statutory approved, and available alternative to EUA authority, FDA can help ensure criteria are satisfied. Under section the product for diagnosing, preventing, that medical countermeasures may be 564(h)(1) of the FD&C Act, FDA is or treating such disease or condition; (4) used in emergencies to diagnose, treat, required to publish in the Federal in the case of a determination described or prevent serious or life-threatening Register a notice of each authorization, in section 564(b)(1)(B)(ii), that the diseases or conditions caused by and each termination or revocation of an request for emergency use is made by biological, chemical, nuclear, or authorization, and an explanation of the the Secretary of Defense; and (5) that radiological agents when there are no reasons for the action. Under section such other criteria as may be prescribed adequate, approved, and available 564(h)(1) of the FD&C Act, revisions to by regulation are satisfied. alternatives. an authorization shall be made available No other criteria for issuance have II. Criteria for EUA Authorization on the internet website of FDA. Section been prescribed by regulation under 564 of the FD&C Act permits FDA to section 564(c)(4) of the FD&C Act. Section 564(b)(1) of the FD&C Act authorize the introduction into III. The Authorizations provides that, before an EUA may be interstate commerce of a drug, device, or issued, the Secretary of HHS must biological product intended for use in The Authorizations follow the declare that circumstances exist an actual or potential emergency when February 4, 2020, determination by the justifying the authorization based on the Secretary of HHS has declared that Secretary of HHS that there is a public one of the following grounds: (1) A circumstances exist justifying the health emergency that has a significant determination by the Secretary of authorization of emergency use. potential to affect national security or Homeland Security that there is a Products appropriate for emergency use the health and security of U.S. citizens domestic emergency, or a significant may include products and uses that are living abroad and that involves a novel potential for a domestic emergency, not approved, cleared, or licensed under (new) coronavirus. The virus, now involving a heightened risk of attack sections 505, 510(k), 512, or 515 of the named SARS–CoV–2, causes the illness with a biological, chemical, radiological, FD&C Act (21 U.S.C. 355, 360(k), 360b, COVID–19. Notice of the Secretary’s or nuclear agent or agents; (2) a and 360e) or section 351 of the PHS Act determination was provided in the determination by the Secretary of (42 U.S.C. 262), or conditionally Federal Register on February 7, 2020 Defense that there is a military approved under section 571 of the FD&C (85 FR 7316). On the basis of such emergency, or a significant potential for Act (21 U.S.C. 360ccc). FDA may issue determination, the Secretary of HHS a military emergency, involving a an EUA only if, after consultation with declared on March 27, 2020, that heightened risk to U.S. military forces, the HHS Assistant Secretary for circumstances exist justifying the including personnel operating under the Preparedness and Response, the authorization of emergency use of drugs authority of title 10 or title 50, U.S. Director of the National Institutes of and biological products during the Code, of attack with (A) a biological, Health, and the Director of the Centers COVID–19 pandemic, pursuant to chemical, radiological, or nuclear agent for Disease Control and Prevention (to section 564 of the FD&C Act, subject to or agents; or (B) an agent or agents that the extent feasible and appropriate the terms of any authorization issued may cause, or are otherwise associated given the applicable circumstances), under that section. Notice of the Secretary’s declaration was provided in with, an imminently life-threatening FDA 2 concludes: (1) That an agent the Federal Register on April 1, 2020 and specific risk to U.S. military referred to in a declaration of emergency 1 (85 FR 18250). Having concluded that forces; (3) a determination by the or threat can cause a serious or life- the criteria for issuance of the Secretary of HHS that there is a public threatening disease or condition; (2) Authorizations under section 564(c) of that, based on the totality of scientific 1 In the case of a determination by the Secretary the FD&C Act are met, FDA has issued evidence available to FDA, including of Defense, the Secretary of HHS shall determine two authorizations for the emergency within 45 calendar days of such determination, whether to make a declaration under section 2 The Secretary of HHS has delegated the use of biological products during the 564(b)(1) of the FD&C Act, and, if appropriate, shall authority to issue an EUA under section 564 of the COVID–19 pandemic. On February 9, promptly make such a declaration. FD&C Act to the Commissioner of Food and Drugs. 2021, FDA issued an EUA to Eli Lilly
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and Company for bamlanivimab and authorized versions of the fact sheets IV. Electronic Access etesevimab, administered together, and other written materials), provide an subject to the terms of the explanation of the reasons for issuance, An electronic version of this Authorization. On February 27, 2021, as required by section 564(h)(1) of the document and the full text of the FDA issued an EUA to Janssen Biotech, FD&C Act. Any subsequent reissuances Authorizations and are available on the Inc. for the Janssen COVID–19 Vaccine, of these Authorizations can be found on internet at https://www.fda.gov/ subject to the terms of the FDA’s web page: https://www.fda.gov/ emergency-preparedness-and-response/ Authorization. The initial emergency-preparedness-and-response/ mcm-legal-regulatory-and-policy- Authorizations, which are included mcm-legal-regulatory-and-policy- framework/emergency-use- below in their entirety after section IV framework/emergency-use- authorization. of this document (not including the authorization. BILLING CODE 4164–01–P
U.S. FOOD & DRUG IIDMINlSTUffON
February 9, 2021
Eli Lilly artdCompany Attention: Christine Phillips, .PhD, RAC Advisor Global Regulatory Affairs • US Lilly Corporate Center .Drop Code 2543 Indianapolis, IN 46285
RE:· Emergency Use Authorization 094
Dear Ms. Phillips:
This letter is in response to .Eli Lilly and Company's e'Lilly") request that the.Food and Drug Adrninistration (FDA) issue an Emergency Use Authorization (EUA) for emergency use of batnlanivimab and etesevimabadrninistered together.for the treatment of mild to moderate coronavirus disease 2019 (COVID-19), as described irt the Scope of Authorization (Section II) of this letter, pursuant to Section .564 of the Federal Food, Drug, and Cosmetic Act (the Act) (21 u_.s.c. §360bbb-3).
On February 4, 2020, pursuant to Section 564(b)(l)(C) of the Act, the Secretary of the Department of Health and Human Services (HHS) determined that there is a public health emergency that has.a significant potential to affect national security or the health and security of United States citizens living abroad, and that involves the virus that causes COVID-19. 1 On .the basis of such determination, the Secretary of HHS on March 2 7, 2020, declared that circumstances existjustifying the authorization of emergency use of drugs and biological products during the COVID-19 pandemic, pursuant to Section 564 of the .Federal Food, Drug, and Cosmetic Act (the Act) (21 U.S.C. 360bbb~3), subject to terms of any authorization issued urtder that section. z
Bamlanivimab and etesevimab are neutralizing IgG 1 monoclonal antibodies that bind to distinct but overlapping epitopes within the receptor binding domain of the spike protein of SARS-CoV .2. They are both investigational drugs and are not currently approved for. any indication.
Basedon:thereview of the data from the.Phase 2/3 BLAZE-I trial (NC::T04427501), an ongoing randomized, double-blind, placebo-controlled clini_cal trial, and the Phase 2 BLAZE-4 trial (NCT04634409), an ongoing randomized, double-blind, placebo-controlled clinical trial, it is reasonable to believe that batnlanivimab and etesevimab administered together maybe effective
1 U.S. DepartrnentofHealth and Human Services; Determination qfa Public HealthEmergencycmd Declaration that Circumstances Exist Justifying Authorizations Pursuant to Section 564(b) ofthe Federal Food, Drug, and Cosmetic Act, 21 US. C. § 360bbb-3. February 4, 2020. 2 US. Department dfHealth and Human Services, Declaration that Circumstillices Exist Justifying Authorizaiions Pursuant to Section 564(b) ofthe Federal Food, Drug, cmd Cosmetic Ac4 21 U.S. C. § 360bbb~3; 85 FR 18250 (April 1, 2020).
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for the treatment of mild to moderate COVID-19 in adults and pediatric patients (12 years of age and older weighingat least 40 kg)with positive results of direct SARS-CoV-'2 viral testing,. and who ate -at high risk for progressing to severe COVrD-19 and/ot hospitalization,,. and that, when used under the conditions described in this authorization, the known and potential benefits of bamlanivimab and etesevimab administered together outweigh the known lUld potential risks of such products.
Having concluded that the criteria for issuance ofthis authorization under Section_ 564(c) ofthe Act are met; I am authorizing the emergency use ofban1lanivimab for treatment of COVID-19, as described in the Scope of Authorization section ofthis letter (Section II) and subject to the terms ofthis authorization.
l. Criteria fl)r l!i$uance of ;\;uthorizatfon
I have concluded that the emergency use of bamlanivimab and etesevimab for the treatment of COVID-19 when administered as described in the Scope of Authorization (Section II) meets the criteria for issuance of m authorization under Section 564(c) ofthe Act, because:
1. SARS-CoV-2 can cause a serious or life-threatening disease or condition, including severe respiratory ilmess,.to humans infected by this virus;
2. Based on the totalityofscientific evidence available to FDA, itis reasonable to belteve that bamlanivimab arid etesevimab administered together may be effective in treating mild to moderate COVID-19 in adults and pediatric patients (12 years ofage and older weighing at least 40 kg) with positive results ofdfrect SARS,CoV-2 viral testing, and who are at high riskfor progressing to severe COVID-f9 and/or hospitalization, and that, when administered as described inthe Scope ofAuthorization (Section II) and used under the conditions described in this authorization, the known and potential benefits ofban1lanivimab and etesevimab outweigh the known and potential risks of such product; and
3. There is no adequate, approved, and available alternative to the emergency use of ban:ilatlivinuib and etesevimab as described in the Scope of Authorization (Section II) for the treatment of mild to moderate COVID-19 in adults and pediatric patients ( 12 years of.age and older weighing at least 40.kg) with positive results of direct SARS• Co V-2 viral testing, and who are at high risk for progressing to severe COVID-19 and/or hospitalization. 3 ·
n; Si'.op~ ot'Authorization
I have concluded, pursuant to Section 564(dXl) of the Act, thatthe scope of this authorization is limited as follows:
• Distribution of the authorized bamlanivimab and etesevimab will be controlted by the United Sfatei; (U.S.) Government for use consistent with the terms and conditions of
3 No other criteria of issuance have be.en prescribed by regulation under Section 564(c )(4) of the Acl
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this EUA. Lilly will supply bamlanivimab and etesevi:mab to authorized distributors4, who will distribute to healthcare facilities or healthcare providers as directed by the U.S. Government, in collaboration with state and local government authorities as needed;
• The bamlanivi:mab and etesevimab covered by this authorization will be administered together only by healthcare providers to treat mild to moderate COVID-19 in adults and pediatric patients ( 12 years of age and older weighing at least 40 kg) with positive results of direct SARS-Co V-2 viral testing, and who are at high risk for progressing to severe COVID-19 and/or hospitalization;
• Etesevimab may only be administered together with bamlanivimab5;
• Bamlanivimab and etesevimab are not authorized for use in the following patient populations6 :
• Adults or pediatric patients who are hospitalized due to COVID-19, or • Adults or pediatric patients who require oxygen therapy due to COVID- 19, or • Adults or pediatric patients who require an increase in baseline oxygen flow rate due to COVID-19 in those patients on chronic oxygen therapy due to underlying non-COVID-19-related comorbidity.
• Bamlanivimab and e_tesevimab may only be administered together in settings in which health care providers have immediate access to medications to treat a severe infusion reaction, such as anaphylaxis, and the ability to activate the emergency medical system (EMS), as necessary.
• TI1e use ofbamlanivimab and etesevimab covered_ by this authorization.must be in accordance with the dosing regimens as detailed in the authorized Fact Sheets.
Product Description
Bamlanivimab and ctesevimab are rteutralizing lgGl monoclonal antibodies that bind to distinct but overlapping epitopes within the receptor bindirtg domain of the spike protein of SARS-Co V-
4 "Authorized Distributor(s)" are identified by Lilly as an entity or entities allowed to distribute authorized bamlanivimab. 5.At the time of the issuance of this EDA, bamlanivimab, a monoclonal antibody therapy, is authorized under a separate EUA as a monotherapy for the treatment of mild to moderate COVID-19 in adults and pediatric patients (12 years of age and older weighing at least 40 kg) with positive. results of direct SARS-Co V-2 viral testing, and who are at high risk for progressing to severe COVID-19 and/or hospitalization. (For a listing of FDA EUAs, see FDA's website at: Emergency Use Aythorization I FDA). Etesevimab, alone, has not been evaluated as a treatment for patients with COVID-19. Etesevimab may only be administered together with bamlanivimab consistent with the terms and conditions of this authorization. 6 Treatment with bamlanivim_ab and etesevimab has not been studied in patients hospitalized due to COVID-19. Monoclonal antibodies, such as bamlaniviniab and etesevimi,b, may be associated with worse clinical outcomes when administered to hospitalized patients with COVID-19 requiring high flow oxygen or mechanical ventilation.
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2. Bamlanivimab.injection,700 mg/20 mL, and etesevimab, 700.mg/20 mL, are sterile, preservati:ve 0free deatto opalescentartdcolotless to. slightlyyefiowto•slightly brown solutions to be diluted prior to itifusiM. One vial ofbarnlanivitnab (20 mL) and two vials of etesevimab (40111L) are to be added tQ a pt:efilled0i?%sodium chloride µifusion bag i1S descriQ¢diir~ he!llthcaf(! provider fa,ct ~heet. The authorized batnU\tlivimab µ1cludes a viallabelillldlor ca.rto11 labeling that is clearly marked ~•For use under EmergencyUse Authorization (EUA)"'.. 111e authorized etesevimab includes a vialJabel and/or carton labeling. that is .clearly marked "For U$C under Emergency Ose Authorization(EUA)"ancl "MOS:t A.PM!NlStER WITH BAMLANIVIMAR"
Banilanivimab,injection, 70()mg120 ml,, and etesevhna1'; injecfion,700mg/20 mt via,}sshould be stotecl.inunopened• vialsunderrefrigetatedtemperatureat2°C to 8°0 (36°F·to 46"F):inthe original c~o11toprotect:from.lighttµ1tllti111e ofttse; IJifote4 t>iM1anivimab arid iltesevimat, iilfusionsoluti()n can be $10tedfQr up to24 hoUt$ lit reffig~ratedteinperatttr,e{2"Cto 8°<;(3~°F to 46?Fl)and up to 7hours at room temperature (20°C to>25°C [6&°F to 77tiF]) including infusion time.
Bltfulan1vhnahand eteseVimab are irt,lthorizediot emer~ericy ttse aS desctibedfathe Sc()f)e of A;.uthorization.(Section II)witbtbef<>l1QWJ1:1~ producl-speciflc mfot111at:iQ1:1 requirell to 1'e made available to healthcare providers and patietits, parents.and caregivers,respectively, through Lilly's website atw;ww,BAM@dETE;c:om: • Fact stieet tor geaith Care Providers: Emergency tJse•Authorizatioh (EU..\:) of Bamlanivunab and 'Etesevimab
• Fact Sheet tot:" PatierttS; l>arents 1:tnd Caregivers: Emergencyt:fse Authorizaii<>n:(EUA,) of :&i:rrililllivimab and EtesevimabforCoi::on.avirus Disease 2019(COVID-l9-)
fhave conduded, putsuatiUo Section 564(d)(2}ofthe Act, that it is reasonabletobeHeve that the kno:Wn and potential benefits ofblMlanivimab and etesevimab w1ien:used for the treatment of COVID•l !> and.used in accordance with this S.cope ofAuthorization (SectionII); outweigh its known and potential risks.
I have conch.uied, pttrsu.mtto Secti&i 564(d)(3Jofth~ Act, based 011the totality ofscientillc evidence ayailab,le to FPA. thlU it js r:eaS
Havirigreviewed the scientific infonnation avaifabfo to FDA, including.the ihfotmattori suppqrtihg the conclusions described in Section I.above, I have co11cluile(l that bamlanivimab and etesevimab (as 4escnbed in this Scope of Authorization (SectionII))meet~ criteria set forth in Section 564{c) ofthe Act concerning safety and potential effectiveness.
The emergency use ofyour product tmderan EDA must be c011sistent with, mid may notexceed, the temis ofthe AuthOrization, including.the Scope ofAuthoriziltion($e.:;tion II):and the Conditions <>f Authorization (Section III): Subject to the terms ofthisE'tJA and under the circumstances set forth in
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Page 5 -- Eli Lilly and Company
the Secretary ofHHS's determination under Section 564(bXl)(C) described above and theSecretary of HHS's corre$ponding dedaration under Section 564(bX1 ); bamlanivimab and etesevirtiab administered together are authorized to treat mild to moderate COVID-19illness in adttfts and pediatric patients (12 yeats-0f age and older weighing at least 40 kg) with positive results of direct SAR.S-CoV -2 viral testing, and who are at high rislc fur progressing to severe COV!D-19 illness and/or hospitalization as described in the Scope of Authorization (Section II) under this EUA, despite the fact that it does not meet certain requirements otherwise required by applicable federal law.
IlL Conditions ofAuthorization
l'iirsuant to Section 564. ofthe Act, I a111 establishing the following conditions on this authorization:
Eli Lilly and Company (Lilly) and Authorized Distributors
A Lilly and authorized distributor(s) will ensure that the authorized bamlariivimab. and etesevirnabare distributed, as directed by the U.S. government, and the authorized labeling (i.e., Fact Sheets) will be made available to healthcare facilities and/or healthcare providers consistent with the tenns ofthis letter.
R Lilly·and authorized distributoi(s) will ensure that appropriate storage and cold chain is· maintained until the product is delivered to healthcare facilities and/or healthcare providers.
C, Lilly and authorized distributot(s) will ensure that the terniS ofthis EDA are made available to all relevant stakeholders (e.g.., U.S. government agencies, state and local government authorities; authorized distributors, healthcare facilities, healthcare providers) involved in distributing or receiving authorized bamlarlivimab and etesevimab, Lilly will provide to all .relevant stakeholders a copy ofthisletter of authorization and c-0mmunicate any subsequent amendments that might be made to this letter ofauthorization and its authorized accompanying materials (i.e,, Fact Sheets).
D. Lilly may requestchang.:;s to this authorization, including to the authorized Fact Sheets for banilanivimab and etesevitnab. Any request for changes to this EUA must be submitted to the Office of Infectious Diseases/Office ofNewDrugs!Center for Drug Evaluation and Research. Such changes require appropriate authorizatfon prior to implementa:tion.7
7 The following types of revisions may be authorized ,vithotit reili$uing thisletter: (1) changes to the authorized labeling; (2) non~substantive editorial corrections to this letter; (3) new types of authorized labeling, including riew fact sheets; (4)new carton/oontainer Iabels;.(5) expiration dating ex,tensions; (6) changes.to manufacturing processes, including tests or other a\lthorized cortlponents ofmanufacturin:g; ('7) new conditions ofauthorization to require data collection or study; (8) ne,v strengths of the authorized product, new product sources.(e: g., of active pharmaceutical ingredient) or of product cOinporients. For changes to the authorization; including the authorize(\ labeling, of the type listed in.{3), (6); ('1), or (8), review andi;oncurrence isreqirired from the Counter-TerrOrisnI and Emergency Coordination Staff/Offite of the Center Directot/CPERandthe Office ol'Countertetrorism and Emerging Thteat;;lOffice of thci Chief Scientist,
VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.005 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28615
P;age 6-EliLillyan(lCompany
E. Lillymaydevelop:instructionalmd educational.materials to-facilitate the emergency use of the-authorized bartilanivitnah and.etesevimab(e.~~· materlaispro\ddfug mformation on productadministtatio1nlhd/ot paifertttnoriitotihg) undetc◊ttditioli O ofthiltE:t1A
:t'\ }Jllywill~QrtfuFl)A;~ MV~e eYimt anij~ltnedi~Qll-\'ll't~~at~witb: 'theuseofthe.. authorized.bamlanivnnab andetesevnnab'thatare.reportedto.Lillyusing eitb¢t:0fthe.£0Uowing options.
·@onh:Su't,mitr~risthrQugh'the•Saf'clyReportfug~(SRJ:i)as~descci~ontlui:mA 'SRP;WebJrage; · ·· · · ·
Option 2; Subintt tepQrts:difectly through the· Electronic: Sufuirissioris Gateway {ESO) :as :tie$(:!.'11:)¢if<>li'thefcQ11$ el~#.t9nktsu11tfiissiew··webp~.
Submitted reports :under bo'th•options.should state: ''bamlanivunalrnnd etesevnnalruse for ,CQVID-19 under .Etnet~ey use Authorization• (EUA.);" For reports submitted un.der option 1, include th$1an~.at the begttlliirtg of the qti¢$tlon "l)escribe_Evenr'futfutthet an~, EotteJ!Qt:ts.~µl)mitted undiitt Option 2, inclu It LillywillI¢tainan itldependenttliiriJJ)lllty(Le;,nqf affiliatajwnb tilly)tg conduct a re\dew of the batch records and any underlyingdata·and associated discrepancies of bamlanivimab drug substance n:1an:tlfactl.ited at LillyBranchburg, Nl • F<>tajl batches manur~dprionothe ei'fecti\'¢ da1:e. of lliis a\lthoriiatlm1. these ba¢hes cm 't>ereltiaseitwhilere\iiew is: ongoing. · • For all batche$ tn:llhutactuted after the effective date oftln§ amhQt1Zatim1.thetrutd parfyre\d~·•CM. be petfottn()dconcµrreni'toLlUy's l?afuhrel.:ase process, Iffue independentre\dewf"'mds, priorfurelease;;a. discrepancy with significa:rif potentialto affect criticalquality atttt'butes, theprodUct mustrtot be relea$ed unless and until the issue is satisfactorjly te!lOlv¢,.Apyi.li$ctepanciesJOU1'1tlby #le mdependentre\dew, whether prfod.o-0r:iuterrel~ase;.mll$f be rep()rted to the Agency ina summary report; submitted eve1yl4.calendardays, andinellideLilly'scorrecti:veandpreventiveactionplansfoteach dis¢tepancy,irtcluding wlrethermatket:actiort istequired..Theplans itlustincludem appro¢:iate evaluation ofeachcliSbrepancy's poiemi:al impact on. any released drug :/lUbst;ince a,nd ll$$()Cial¢ lirug product. . L Lilly will retain an independenl'third~parfy(Le,, notafftliafed with LiHy}fo.conduct labofatotyrelease iestin:g.ofbamlani\iimab··drug.subs'tancemanuf~ at·Lilly, Btartchbtitg(excluding•bi<>butden and ¢ndot()xintesting). Any disctepandiesfound by the indepertdent la!,otiltoty mll$f be reportecl to theAgency in a.sUilllillll)' .report, submitted everyl4.cale11ffilr ~ys, ~ includeLilly'scqrrectiveand prevetiiive.a,cli'Qnplansfor each VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.006 28616 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices I>.age 7 -Eli Lilly and.ComJ>311y discrepancy-. Theplans·mustinclude an appropriate evaluation ofeach discrepancy~s potential:itnpacton.anyreleased drug substance and$sociated. drug product. J, LlllyWillsu1;n;iitmfQftll/ltionfotl,'te~9Y witlli_nthr®work:ing(lllyso.f~ceipt().fany ·infonnllii.911 con~g 1111ybatcl1 of:~ani.:vlma\, oret~eyimab (wl:i.ethertlie t,ai:cl1is .distributed oruot); as. follows: (1 )information concerning anyincidenUhat.causesthe product or itsl;ibeling:to be nus.tllkenfor.. orappliedtQ, another.article~ and O)information •concet®Iganywcrobi9k,gicalqontamifiatip11,orailysignificantchemicatphysic:lil.◊r other change it:! debmo.rll'tioo in the product; or anyfailure of:oue orm:o.re batches. of:the productfomeeftheestablishedspecifications, LiUywill include initsnotificalionfo the ~cy whether the batch, or:batches; in question will.be recalled .. If:FDArequests that lh:ese,.or anyo-ihetbatches/atany time, be:recalled, Lillynntstrecall thetrt. K Li.1lyWillnolimp1ementanychanges t()the dei;cripti◊µ o.f:the proou~ 01anllfacturing :process, facilities and equipment; and elemerits ofthe associated confrolsirategy that: assure process performance and qualit)1-0f:the authori.zed.pf()ductwithoutnotificatioh :to and .corictttterice hytheAgency asdescribedUridercon.ditforti); J,. Lilly .will 1111ll11lfacture 1tt1d ~st t,llU11ani.viU1a\, 1111d ete§eyfuia\, per tile process 1tt1d I11et11Qds., includiti:gin~process samplit:igand testing and fiirishingproducttesting(release and. st;ibility)to meet all sPeCifications as detailed.in Lilly's EUAreqµest. · M. ·Llny will indi\iidual.ly·rrst bamtaniyim:ab.and eteseyiin:ahwiihaumque product NOC under tlienrm:ketit:igcatego.zyofUm1pprovaj Dnlg•Other,.Further; eaphli~gWill.includeeaph establisbment.where manUfacturingis petfonnedforthe.drug and.the type ofoperation penormed at each suchestablishment: ft Through a process ofinyentocy ~I.Lilly andlllithorizeddistributor(s)Will01aintain records regarding distribution of the authorized bamlanivimab and etesevurnib(i.e,;-fot numbers, quantity; receiving site, receipt date). tt titly and authorlzedtiistril!utQt:(s)willrnilbavaifableto FOl\upo11 req11estany~<;otd$ 1)111lllfa,inell in 90@@011 with:thi.s l1lUA · .Heiiltlicare Facilities to Wb6riithe Aiithhriied Biiliiliirii~ah and Etese\iimah.Afu Distributed and Healthcare ProvidetsAdnilitlsteringthe AuthorizedBan;tllln,iyjmab and Etesevitnab l', 'f.I¢lllthcarefapilities 1111d})ealthcare provj:ders will ens,uretliatthey are aware oftlie1etter Qf ·auihorization; •. and.the·termsnerein;.·and thattheatithorized·.FactSheetsaremade available to.bealthcareproviders.and.to.·palients.and.caregivers;.respectively,.through appropriate melili.$, ptlorto ~on tlfbarnlaniVimab and eteseY.iniabim deseribedit:!Jhe Scope -0f'Authorization(Sectiot1 ll) Mder·this EUA.. Q; Healthcarefacilities and healthcare providers recefvingbamlaniviinab:and. etesevimab will trackserioUs adv~eeVeri.ts that are considetedto be potentially attributable to the use of .bamlanivimaban:d etesevimahun®thl$ authorizalionandmustreportthese to FOA in VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00092 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.007 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28617 Page 8 -EliLillrandC()mpany •accordance:withthe.Fact.SheetforHealthcareProviders.Complete and.submita MedWatch fortfi (www~tda.gqv/#iedwatchlt@ortJitfi\), orO>itlplete Md submit FDA ·Fortfi~SOO(hiWth.pr:ofessional}hyfax(l-'8QO.,FDA-Ot78}Cthesefonnscanbe fol.ffidvia :Jirll(,·~t:>o-ve), ··()ajl 1~&00~PDA-l0'.Uf◊rqµesgot1S, $µbfilitt~d~1't$;$119µld $iaW; •~~amt~:vimat,~d eftlse:vifilal:,•.lll!efQt(;O.WQ-19:w:l4er ~~en1;:yQse.!\.µth9rizllit"Oµ {EtJA.)"atdhe· begirmingofthequestion.''Describe Event?forfurlher·analysis, It Heii.ltln:arefi©lities an:dheattht!ate ptil\iidet:$ will ensure:mat~!lte$1:~e~t1oo14 ·ch/ufi.ismainfaine4tlhfilthep~ are,aclnliitiSf.el'.ed.(!()nsi$nt·witlitheuinnsofthis letter. . s, through.a process o:t'irivemmy:corttrol.healthcarefa8lltles wlli mamtahirecords regartling thec:lis~ autl:t<)rizedb1unJ.an:fvintab;u1d ete$evinrab (i.e., l9t.i:mmbet:$.quan:tity, r¢ceivingsite,receil)tdate). pt'Qductsto~;•and1:1taintaippatientinfortnaiion(e,g.,pllfient name, age~disease manifestatiofl\ number ofdoses administered per patient, other drugs adtninisteted). 't. •1:Iea:lthc~facilities willens:1irethatan:yr:ee<>t9$associated with thisEUA are maintained untilt1l>tified by LiUyari~or:fDA-,.$uchrecord$ \Vill.~ tlladell,yall:al:,ktQ Li]Jy;Iffl.$~an:d FDA·forinspectionuponrequest t1. ·Heal:tlmarefacilitiei.•an:dptovidetsWilltep()tfth~.in:t'~on llhd:titilization&tta as dire:ciedbythe.U.S. Peparlmeftt Conditions RelatedtoPrinted Matter.Advertising and Promotion Y. All descriptive pritrted matter, as well as: advertising llhdprotnotionru filiitenal, tefatin~ to theuse•ofthebamlanivimabcandeiesevimab underthfoauthorizatiooshall·beoonsistem ·withtheauthorizedlabelmg; as well as the tennssetforth in this EUAand the applicable requirements setforthJnthe Act and.FDA regulations. W. N◊deScriptive:plintedmatlet; as weU as.~:verlisin~ Qr ptofilotion;utnaierial, r¢l:µmgto the 11$(; ofban:tli111ivimi$ ancl et¢se:vifilab un4ertlii~ auth.<)tizatiott: may 1'¢J>Nsentorsµ~•that $Uchproductsare·.·safeor effective··when.usedfor thetreatinentofmild to.moderate COVJD..19:.inadtilts andpediatricpatients .(Uyeatsofage llhdoldetweighlngadeast40 kg) with positive res~ X Alldescriptive printed matter; as.well as advertising and promotional material,relatingto ·t11euseofth¢bamlanivmiaband.etesevimab underthis.aufhorization,clearly·llhd (!()ttspicuo1i$ly shallstate thl¢: · • Bamfa:ni~ and etese\iimab have noth¢en appro:ved, but have been autl:torizedfQr•emergency·qse·t,y fDAtol>e~~edtogetlier·forthe· treatment ofmildtomoderate COVID-.19in adults and•pediafric patients (12 years:ofage andolderweighingatleli$1:40k:g) with.positive resultsofdirect VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00093 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.008 28618 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices P:age 9 - EliLillrandCompany SARS,Co V-2 viraltesting,.and who are at high riskfor progressingto severe COVID-19 and/or hospitafizatioo. • Ba1iliaruvnnab'and eteseviniab are iffitltorizedto be administered together for the tr:eatmenfot)nildtl> moderllte COVID-1? in ad'cilts lUld pediatric patients (12 yeru:sl>fage /11'.!.d ()Ider weighing at l~ast 40kg) with positive res'cilts of direct SARS-CoV~2 viral testing,,andwhoare athighriskforprogressingto severe covro~19 md/or hospitalizationorilyfor the duration ofthe declllratfon that circumstartces exist Justifying theiauthorizafion ofthe emergency use ofthe bamlanivnnabunder :Section 564(b)(1}oftheAct,21 tT.S:C. § 3:60bbb-'.3(h)(l); llllless the:: arithorizii.ti w; Duratwn ofAuthoiitation 'This 11,tl'A will be effective :untilth~ de~latatlottthat cfrc:utn:stances ·existJ1:tstifyingthe atiillorizati<>q of:the emerge}Jcy :use ofdrµ~ /11'.!.d bio.togical pro!,l:ucts Sincerely, R:APM Penii;e NL HintQn Chief Scientist Food,and•Drug.Athtiinistratiori VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00094 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.009 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28619 U•. S; FOOD &: DRUG AtlMINISTR,M!QN February 27, 2021 Janssen Biotech, Inc, Attention: Ms .. Ruta W-alawalkar 920 Route 202 Raritan, NJ 08869 Dear Ms. Walawalkar: This letter is in response to a request from Janssen Biotech, Inc. that the Food and Drug Administration (FDA).issue an Emergency Use Authorization (EUA) for emergency use of the Jai1ssen COVID-19 Vaccine for the prevention of Corona.virus Disease 2019 (COVID-19)for individuals 18 years of age and older, as described in the Scope of Authorization (Section II) of this letter, pursuant to Section 564 of the Federal Food; Drug, and Cosmetic Act (the FD&C Act or the Act) (21 u:s.c. 360bbb-3). On Febmary 4, 2020, pursuant to Section 564(b)(l)(C)ofthe Act, the Secretary orthe Department of Health and Human Services (HHS) determined that there is a public health emergency that has a significant potential to affect national security or the health and security of United States citizens living abroad, and that involves the virus that causes COVID-19. 1 On the basis of such detennination, the Secretary of HHS on March 27, 2020, declare.d that circumstances exist justifying the authorization of emergency use of drugs and biological products during the .COVID-19 pandemic, pursuant to Section 564 of the Act, subject to tem1s of any authorization issued under that section. 2 TI1e Janssen COVID-19 Vaccine is for active immunization to prevent COVID-19 caused by severe acuterespiratory syndrome coronavirus 2 (SARS-CoV-2) in individuals 18 years of age and older. The vaccine contains a recombinant; replication-incompetent human adenovirus serotype 26 (Ad26) vector, encoding the SARS-CoV-2 viral spike (S) glycoprotein, stabilized in its pre-fusio11 fonn. It is an investigational vaccine not licensed for any indication. FDA reviewed safety ai1d efficacy data from an ongoing phase 3 trial which has enrolled 43,783 participants randomized 1: 1 to receive Janssen COVID-19 Vaccine or saline control. The trial has e11rolled participants 18 years of age and older. FDA's re.view has considered the safety and effectiveness data as they relate to the request for emergency use authorization. FDA's review of the available safety data from 43,783 participants 18 years ofage and older, who were followed 1 U.S. Department of Health and Human S~rvices, Determination ofa Public Hea.lth Emergency and Declaration that Circunfstances Exist Justifying Authoritations Pursuant to Section 564(b} ofthe Federal Food, Drng, and Cosmetic Act, 21 U.S.C § 360bbb-3. Febrimry 4, 2020. 2 U:S. Department of Health and Human Services, Declaration fliat Circumstances Exist Justifying Authorizations Pursuant to Section 564(b) ofthe Federal Food, Drng, and Cosmetic Act, 21 U.S.C. § 36/Jbbb-3, 85 FR 18250 (April 1, 2020). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.010 28620 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Page 2 - Janssen Biotech, Inc.. for a median duration of eightweeks after receiving the vaccine or placebo, did.notidentify specific slifety concemstb:at would preclude issuance ofan EUA. FI>A's analysis ofthe efficacy data ftoru. 39,321 participants i& years ofage: and older who-were SARS~CoV-2. serortegative or -vllo had anJ;u:1known.serosta'tlls at paselin:1;1 showthittthe vaccin1;1 was:. 66.9% effective (95% confidence interval (Cl): $9;0,e 73.4)and 66.1% effective. (95% CI: 55.0, 74. &)in preventing moderate.to severe/critical COVID.J9 occurring at least 14 days and. at least 28 days after vaccination, respectiwly. Based on these Having conclucled that the criteria Io.issuance ofthis authorization under Section564(c)ofthe Act are met.I am authorizing the emergencruse ofthe Janssen COVID-19 Vaccine forthe prevention ofCQVI0-19, as described in the $cope, of Authorization section ofthis letter (Section II) and subject to thetefttiS ofthis authorization. L .Crifi!ri11 forlssilitn~ofAuthotiiation fhave cqndudedthafthe ett1ergencyuse ofthe..Janssen COVI1>0 19 Vaccinetorthe pr¢venti L $.ARS~CoV ~2 c1trt c:a:use a serious or life-furootenil:).g disease or conditfo11,. including severe respiratory illness.to humans infected bythisvirus; 2. Basedonthetotalityofscieritiffoevidence available t-OFDA, itis reasonable to believe that the .Janssen Cd\UD~ 19 Vaccine may he effective i:n: preventing COVII).;19, and that, when used under the c;onditions described intltis.iuthotizafion, the known and potential benefits QftheJ1trtssenCOVIlJ~l9 Vaccine wllen ttsed t9 prevei.rt.<:OVID-19 outweigh.its. known and potential risks; and 3. There iKno adequatet a:pproved,and availa.hie alteri:iative to the emergencyuse o:fthe Janssen GQVID-19 Vaccineto preven.tCOVID-19. 3. n. scope 6f Auth6rliatioo 1have concluded, pursuantto Sedfon 564(dj(iJofthe A.ct; thattl1e0 scope of this authorization is limited as follows: 3 No other criteria ofissuance.have been prescribedhy:regulationunderSeclion564(c)(4)of the.Act VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.011 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28621 Page 3 -Janssen Biotech, fuc. • Janssen Biotech, fuc. will.supply the Janssen COVID-19 Vaccine, either directly or through authorized distributor(s)4 to emergency response stakeholders5 as directed bythe U.S. government, including the Centers for Disease Controland Prevention (CDC) and/or other designee, for use consistent with the terms and conditions of this EUA; • The Jattssen COVID-19 Vaccine covered bythis authorization will be administered by vaccination providers6 and used only to prevent COVII).19 in individuals ages 18 and older; Md • The Janssen COVID-19 Vaccine.may be administered by a vaccination provider with()ut an individual prescription for each vaccine recipient. Product De/lcription TI1e Janssen COVID-19 Vaccine is supplied as a suspension in multi-dose vials: The Janssen COVID-19 Vaccine does not contain a preservative. Each 0.5 mL dose of the Janssen COVID-19 Vaccine is fommlatedto contai11 5xtoM virus particles of the Ad26 vector:encodihg the S glycoprotein of SARS°CoV-2. Each dose of the Janssen COVID-19 Vaccine also includes the following inactive ingredients 2.19 mg sodium chloride, 0.14 mg citric acid monohydrate, 2.02 mgtrisodium citrate dihydrate, 0.16 mg 4 ''Authorized Distributor(s)" are identified by JaiJSsenBfotech, Inc:or, if app!lcable, by a U}3. goven:unent entity, such as the Centers. for Disease Control and Prevention (CDC).and/or other designee, as an entity or entities allowed to distribute authorized JanssenCOVID-19 Vaccine. s For purposes of this. letter, "emergency response stakeholder" refers to a public health agertcyartd its delegates that have legal responsibilit,y and authority for responding to an incident, based on politicalor geographical boundary lines (e.g., city, county, tribal territorial, State, or.Federal), or functional (e,g., law enfbrcemeritar public health range) or sphere of authority to administer, deliver, or distribute vaccine in an emergency situation. In sohle cases (e:g., depending ona state qr Joe.al jurisdictiort's COVID-19 vaccination response organization antl plans), there might be overlapping roles and responsibilities among "einergency response .stakeholders~ artd "vaccination providers".( e,g.,.if a local health department is mlministering COVID-19 vatcines; ifa pharmacy is acting in ari official capacity under the authority of the state health department.to administer CQ VID-19 vaccines). Ih such cases, it is expected that the .conditions of authorization that apply ro emergency .response stakeholders and vacciriation providers will all be met 6 For purposes of this letter, "vaccinationprovider''refersto the facility, organization, or healthcare provider licensed or otherwise authorized by the emergency response stakeholder (e.g., non-physician healthcare professionals, such as nurses and pharmacists pursuant to state law under a standing order issued. by the state health officer) to minister or provide vaccination services in accordance with the. applicable emergencyTesponse stak:eholder's official COV:rD-19 vaccination and emergency response plan(s) and who is enrolled in the CDC COVID0 19 Vaccination Program. For purposes ofthis letter, "healthcare provider'' also refers to a person authorized by the US. Deyiartment of Health and.Human Services (e.g:, under the PREP ActDeclarationfor Medical Countermeasures against COVID-l 9}to administer FDA-authorized COVJDclSJ.vaccine (e,g., qualified.pharmacy technicians and State-authorized pharmacy interns acting under the supervision of a qualifiedpharmacist). See, e.g., HHS. Fourth.Amendment t.o the Declaration Under the Public Readiness and Emergency Preparedness Actfer Medical Countermeasures Against cOnD-HlandRepuhlicationofJhe Declaration, 85 FR 79190 QJecember9, 2020). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00097 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.012 28622 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Eage 4 -Janssen Biotech, Inc. polysorbate'-80; 25.. 5 mg 2:..hydroxypropyH3•cyc.lodei..1rin; 2,Q4 mg ethanoL Each dose may also contain residual amounts ofhost cell proteins (:=:;0.15mcg} and/or host cell DNA (:s3 ng}. The dosing regimen is a single doseofOS.niL The manufacture ofthe authorized Janssen COVID--19 Vaccine is lU11ited tcrthoseJacili'ties identified and agreed uponin Janssen's requesHor authorization. TI1eJanssen.COVID-,19 Vaccine vial label and.carton labels are clearly markedfor "Emergency Use Authorization.•? The Janssen COVID-19Vaccine is authorized to be distributed, stored, further redistribute~ and ruiniinistered by emergency response stakeholders when packaged in the authorized manufacturer packawng (Le~, viais and cartons), despite the f actthat the vial and carton fabets maynotcontain infonnatl.6n that 6therwise W The JanssenCOVI0:..19 Vaccine is auth6rized for emergency use with t:hefolloWfug pr6duct• specific infonnation reqµired to ·be made ;i:vailable to vaccin;iti0!1 providers and recipients, respectiyely(referredto as "anthorized labelint'): • FacfSheet for Healthcare :Providers Administering Vaccine (Vaccination Providers): Emergency Use Authorization (EUA} ofthe Janssen COVID-19Vaccinefo Prevent Cor<>rta-virus Disease 2019{CO:VID49) • Fact Sheet forRedpientsand ·Caregivers: Emergencyl.Jse Authorization (El.Ji\) ofthe Jansr;enCOVII>~ 1.9 Vacci11e to PteyentCor.011avirus. Qisease 2019 (COVID~ 19)fo !ndividiials lRYears ofAge and Older fhaveconcluded. .pursuant to Section 564(d)(2}oftheAc¾ that itis reasonable to believe.that the known and potential benefits ofthe Janssen·CQVIO:.. 19Vae<.;ine,when used to prevent cOVI0-19 and ®ed in accordancewi(h this Soope ofAuthorizatibn.(Section ll), outweigh its know11 an<.t potential r:isk11, I have concluded, pili"suiilitto Section 564(d)(3) ofthe Act1 based on the fotality, of scientific evidence available t◊ EDA, that iris reasMableto believe that the Janssen COVID-19 Vaccine may be effecti-ve in preventing COVll)-19 when used in accordance with this Scope of Authorization {Section.ll), pur:sul!Iltto Section564(c)(:2)(A) ofthe Act. Having reviewed the scientific mfonnatioriavailabietoFD~ including the iriforinati6n Sll~porting the con:clusioll$ described in section tabove,. I have concluded that the Janssen COVID-19 VMdne (as. described in this Scope of Authorizatfon (Section Il)) meets the criteria set forthjnSection 564(i::) of the Actcon.cerni!lg safety and potel)tial ef.fectivenes~, Theerriergen:c.y i.tse 6fthe Jan..~sen: covm~ 19 vac.dne under this EUA must Be. COI1Sisteri:tWilh; arid may not excee.~ thetenns oftheAuthorization, including the. Scope ofAµthorization (SeetionJt) and the Conditi'ons of Authorization (Section, Ill). Subjectto the terms ofthisEUA and undei:the circumstancegsetforthinthe8ecretaryofHHS'sdet.mninafionundetSection?64(b)0XC) VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.013 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28623 :eage 5 -Janssen Biotech, fuc. described above and the Secretary ?fHHS's corresponding declaration under Section564(b)(l),the Janssen CO~l9 Vaccine is authorized to ~verttCOVID-19 in. individtlll.ls l RJeMi of age and older Mdescribed.inthe\Soope ofAuthmization(Sectio11 Il)oodetthls EU.A, despite the fact thatit fit Concllitons otAuthotizittion PursuanHo Section 564 oftheA.¢4lam-establishirtgthe foll~conditfol:lS onthls authoriz:dfon: Janssen Biotech;fuc. and Authorized Distttl:;utor(s) A )llJlS.sen: ;t3iotech. htc. andmrth-Orized distni>titot(s}wHi e:t1sute th:aiihe l)Uthotizecf JanssenCOVID,I9Vaooineis distribute~ as directed bythe tr:S.govemment, ·mcludingCOOand/or•otherdesignee,and·theauthorizedlabeling(i.e,,FactSheets) will be made available to vaccinationproviders,recipients,and. caregivers consistent withthetettns otthls 1ettet. · · lt JajlSsen l'.3ioteclt; Iiic, and lillthorjzed dwtrjbutof(s)vtjlJ. ~ that apptQpl"iate sf()rage and cold chainis maintaineduritil deliveredfo·emergencyresponse stakeholders' receipt sites. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.014 28624 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Page 6-Janssen Biotech, me. E, Janssen Biotech, Inc. may request changes to this authorization, including to the authorized Fact Sheets fortheJanssenCOVID-19 Vaccine .. Artyrequestforchanges to this EOAmustbe submitted to.the :Office ofVaccines Research and Review (OVRR)/Centerfor Biologics Eyaluation and R:esearch (CBER). $uch changes. require appropriate authorization prior to implementation. 7 F. Janssen Biotech, Inc. will report toVitccihe Adverse Event Reporting Systetti. (VAERS): • Serious adverse events (m:espective of attribution: to vaccmat100); • Cases ofMuhisystem Inflammatory Syndrome in adults; and • Qises ofCOVID-l~thattesultm hospitalization or death, that arereportedfo Janssen Biote.:h, Inc. · 'these reports sh<>uld be submjtted to VAERS. as soon as possible but no l;J;tedhan 15 calendar days from initialreceipt ofthe infonnation by Janssen Biotech, Inc. G, Janssen Biotech, me .. must submit to Jnvestigational New Dmg application (W:0) number 22657 periodic safety reports at. monthly intervals in.:accotdance with a due date agreed upon with the Office of Bipsiatistics and Epidemiology(OBE)/CBER, beginning after the first full calendar month after authorization, Each periodic safety report istequired to. contain descriptive infonnation which includes: • .A narrative summary and analysis of adverse events submitted during the reporting interval, including interval and cumulative counts by age groups, special populations (e.g:, pregnant women), and adverse events ofspecial interest • A narrative sUinitiafyand analysis ofvaccihe adtni:rtistiation ~:rs, whetherotnot .associated with an adverse event;. that were identified since the l$1: reporting interval • Newly identified safety cortcetns in the interval; arni • Adions takert. sihce the 1$1: report because of adverse experiences (:(or. ex:.ample, changes.made to Healthcare Providers Admir!istering Vaccine{Vaccination ProvidersJFact Shee~ changes made to studies or studies initiated} It No changes Will be implemented to the description ofthe product; martufa.cttiring process,facilities, ur equipment vvitbout notification to and concmreµce by the Agency. r. AILmantifacturing facilities willcompiy with Coociit Good Manufacturing l'ractire requirements. 7 T~ following types of {\:Visions may be authorized Without reisllrung. this 1ettet (1) ciianges to the aµtl).otized lilbelihg; (2) non-substantive editorial corrections to this letter; ~3) new types of: authorized labelihg, including r1ew foot shee~ (4) new carton/contairter labels; (5) expiration datihg exteri$iOilS; (6) changes.t0: manufacturing proce;ses.. including te\;ts or other authorized components of inanufactiirihg; (7) new collliiti® of authorizatil>rito requite data colle1;tion Ot study, All chimgesto the authorization reqtiireteview and concurrence :froniQVRR For changes to ¢.e .authormition, inclµding the!iUthorizeli labelirtg'. ofthe type listed in (3), (6), or(:7); review imd coilGurrtlnce is also reqtiirl:d from the Pteparedhess.~d Response Team (PREP)/Qffice of t4e Cen~r Director (OD)/CBER and the .Office ofC~RD1terterrorism and Emerging :rbteats/Office ofthe Chlt!fScientist. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.015 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28625 Page 7 -Janssen Biotech, Inc. J. JanssenBiotech, Inc. will submit to the EUAfile Certitfoates of Anal)'Sis (CoA)for eachclrug product lot at least48 ~ours prior~vaccine distribmion. The CoAwill include the establ:ishedspecmcatfom lindspecific resoltsfotellch qliality controltest peifOrtlled ontltefinal drugprodi;tctiot. K. JanssenBioteo~ Inc, :will submitfothe EUArtle quarterlymanufacturingreports that include a: li$tingofalLDrug Substance and Drug Productlots produced a:fief:issuance ofthisauthorization, This reportmustinclude lotnuml)er, manufacturing site, ~ <>f manuf~c.~. a:n:d lotdispQSitfon._ including those lots that were quarantined for investiglliion or those lots thalwere rejected .. Infonnation on·the reasons for lot quarantine or rejection must be included in the report.. The first report.is dueJune l, 2021. Le Jimssen Biotech, Inc, and authorized distribut-0r(s)witlmaintl!inrecords re,gardmg release ofJanssen.COVID-19Vaccinefordistribution.(i.e,, lot numbers, quantity~ releaSe date), M.. Ja$se11Biotech. fuc, •. and$1horizeddi$fributor(!iJWillmlikeavailable'.t◊.FDA.upon t"eqµest 1111yrecords tnaintainel.1 in connectiQn wil;h ~ E:trA, N: Janssen Biotec~.Jric~ wiii coriduct~ost--authoriiationobservatlorial stu(iiestoevafoate the llS!i-Orjation between Jmssen C0vt049 Vaccifie artd apre-specifiedJist of adverseeventsQfs~ciafinterest, .. alongVl'ithl,ieatfu; andh<)spitalizations,and•seyere· CO~19, 1he studypopajati9ri shoulliincfode im:ijviduals adtlutris~ the authorized.Janssen COVID-19 Vaccine under this EUAin the generalU.& population(l&years of·ageMdolder\ populatioriS. of interest such ..llS:•healthcare workers, ptegna11twomeri, itmnorioc:otnpromised indiviliual!l, subpopulations with specific comt>rl>iditi~, The studies.should b.e conducted inJarge sca;Ie database$ with an active comparator lii11.sset1Biotech. In:¢. will pmyide protocols and status update reportstothe.IND22657with.agreed~uponstudy·designsand.milestone.dates. Einergency·ResP@se·Stakehbiders O; ·Emergency.responsestakeholders wiU.identifyvacrjnation•.sitesfo.•receive authorized JanssenCOVID-19Vaccine .. and ensureits distribution and administration, consistent With the terms ofthis lettet andCDC~C():\m)..19 Vaccination Program. P,. Em~c.yresponsestak~hofdetSwill.•erisure.thatvaccinationptQviderswithintheir jurisdictions are aware of.this letter of.authorization, andthetennsherein.and any subsequent amendments that might be madeto the letter ofauthorization, ihstrtict th~ abl'lut:the means through which they ateto obtafuandadministerthe vaccine under the EPA, andertiiurethatthe authl'lrized labeling[i.e,,]'actSheet tor Heruthcare l'rovi~At.lm~g Vaajrte(;Vaccination Proyi~)arili fact S!teetfor Recipients and Caregivers] is madeavailabletovaccination providers through appropriatemew(e.g.,·e-mait,website). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00101 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.016 28626 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices P~ 8 -•Janssen Biotech, Inc. Qi Emergencyresponse stakeholders receiving authorizedJanssen COVID-19:Vaccine will.erl$ut,rthat apptoprlatestorage and.coldchainis>mitintairted: Vaccination: Providers R. Vaccinationprovidenrwill.adtninis~the vaccine in accordance with the authorization and will participate.an&complywiththe tenns and 1raifimgt¢qi:tlred by tDC's:CQVID-19\faccirtationPingtatn:; K Viu::cinatfunprovidenrwillprovidetheFactSheetforRecipierits and Caregivers to eru:fr fudi:vidual teooi'vmg vl¢cinatiott · t. \fiu;qinatiQt1 providers ~$terirtgthe JamisetiOO\ttr).:12 Vaccin,e must~PQri:the following information,associatedwiththe adininistration ofthe Janssen CQVII)~ f9: ·v,accine.ofwhichtheybecomeawareto VAERS inaccordance withthe Fact Sheet for Healthcate ProvidersAdmiriister~ Vaccihe(Vacelllation Providera): • Vaccine administration errors whether,or notassociated·wifh.an adverse event • $erious !l4vers.e eyents: (irrespective ofaitribution to vaccihatron:) • Cases.ofMult1system Inflafimiatofy Syndrotiie in adults •· Cases of09V:ID- PHhat resultih.ltQspitalizatioµ 9r: death: Complete iifid submit reports to VAERSonlirte at https://vaers.'hhs,~oy/r~orteyent.htnit The\(AER$ t¢potfS shou1dihclu~ the wotdi\ ••J@ssenCdViD~l9 Vaccine l?.UA:' ihthe description section 6f:theteport Moreinfmm:atiohis avaitabte atvaers.hhs,gov ot~y callihgl•800..:&22~7967. To the exteritfeasible, report to Janssen Biotech, Inc. by contacting 1..:800•565--4008 ·~ bypro'vi(,ling.!lcopy9fthe VAERSfoOlltg Janss~n Biotech, Ihc,;fax: 2L5- 293'-~$$, or b:Y emaiL,,ffiJyaccin~A:[email protected]; tt Vaccination providers will Ct>rtduct any roll<>wauprequestedbythe t)'.S, g<>:vemment; foc1udfug <::DC, EDA. -0r otherdesignee; tegatdmg ad:verse events to the extentf'easiol:e given the em:~ni:ly'cttcumstartces. V; ·vaccination providers will monitorandcomplywithCDC and/or emergency .response stakeholder vaccine managementreqwremefits (~:g,, requirements concemit1g obtaitlmg.·tr11,Clcingt.~ W; Vacciriatiohproviderswiii ensure thatanyrecords associated Willi t1tis EDA ate maintained until.notified by FDA. Such records willbemadeavailableto CDC, and.FDJ\;for inspection upon request, VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00102 Fmt 4703 Sfmt 4725 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.017 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28627 Page 9 -Janssen Biotech, Inc, ConditlonsR'elatedto:Printed Matt.er2Advertising, and Promotion :X, ~1~9rlptive ~d tllllfter; ad'v¢ish1& l!ll4 pr9motional:m$rial,,rela:tingto the '.lJse ofthe. Janssen COVIJ),19 VaccineshalLbe consist.eritwiththe auihorized labeling; as .well.as.the tenns setforth in this EUA, and.meet the requirements-set fu.rth in section '502(a)and(rt) ofthe FD&C Act and FDA inlplementingt!:lgufatforts. Y: t'\l.f®Scripiivepririted matter; advertisih~ and promi>tioruiltn$rialrelaiing.fu the: useoftheJanssenCOVID~l9Vaccinecleadyandconspicuouslyshallstahdhah ,., 'J'lili; prO IV;c 1'uratioitotA:uth.orization. This EUA :wiffbe effe~ve until the declarationthat\cfrcumsta.m;es exist.justifyingthe authorization ofthe emergencyuse.·ofdrugs and. biological products during the COVID'-il9 ~=~:::;~:nated under Section ,64(h)(2) ~f'the Act or the ·suA ill reV◊ked untfut Section RADM Denise M. Hinton ChiefScientist Food-.and Drug·,Attministtatiro. Enclosures Dated: May 21, 2021. Coronavirus Disease 2019 (COVID–19) Electronic Submissions Lauren K. Roth, public health emergency (PHE). This Submit electronic comments in the Acting Principal Associate Commissioner for notice of availability (NOA) is pursuant following way: Policy. to the process that FDA announced, in • Federal eRulemaking Portal: [FR Doc. 2021–11234 Filed 5–26–21; 8:45 am] the Federal Register of March 25, 2020, https://www.regulations.gov. Follow the BILLING CODE 4164–01–C for making available to the public instructions for submitting comments. COVID–19-related guidances. The Comments submitted electronically, guidances identified in this notice including attachments, to https:// DEPARTMENT OF HEALTH AND address issues related to the COVID–19 HUMAN SERVICES www.regulations.gov will be posted to PHE and have been issued in the docket unchanged. Because your accordance with the process announced Food and Drug Administration comment will be made public, you are in the March 25, 2020, notice. The solely responsible for ensuring that your [Docket No. FDA–2020–D–1136] guidances have been implemented comment does not include any without prior comment, but they remain confidential information that you or a Guidance Documents Related to subject to comment in accordance with Coronavirus Disease 2019; Availability third party may not wish to be posted, the Agency’s good guidance practices. such as medical information, your or AGENCY: Food and Drug Administration, DATES: The announcement of the anyone else’s Social Security number, or HHS. guidances is published in the Federal confidential business information, such ACTION: Notice of availability. Register on May 27, 2021. as a manufacturing process. Please note that if you include your name, contact SUMMARY: The Food and Drug ADDRESSES: You may submit either information, or other information that Administration (FDA or Agency) is electronic or written comments on identifies you in the body of your announcing the availability of FDA Agency guidances at any time as comments, that information will be guidance documents related to the follows: posted on https://www.regulations.gov. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.018 28628 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices • If you want to submit a comment except in accordance with 21 CFR 10.20 In the Federal Register of March 25, with confidential information that you and other applicable disclosure law. For 2020 (85 FR 16949) (the March 25, 2020, do not wish to be made available to the more information about FDA’s posting notice) (available at https:// public, submit the comment as a of comments to public dockets, see 80 www.govinfo.gov/content/pkg/FR-2020- written/paper submission and in the FR 56469, September 18, 2015, or access 03-25/pdf/2020-06222.pdf), FDA manner detailed (see ‘‘Written/Paper the information at: https:// announced procedures for making Submissions’’ and ‘‘Instructions’’). www.govinfo.gov/content/pkg/FR-2015- available FDA guidances related to the 09-18/pdf/2015-23389.pdf. Written/Paper Submissions COVID–19 PHE. These procedures, Docket: For access to the docket to which operate within FDA’s established Submit written/paper submissions as read background documents or the good guidance practices regulations, are follows: electronic and written/paper comments • intended to allow FDA to rapidly Mail/Hand Delivery/Courier (for received, go to https:// disseminate Agency recommendations written/paper submissions): Dockets www.regulations.gov and insert the and policies related to COVID–19 to Management Staff (HFA–305), Food and docket number, found in brackets in the industry, FDA staff, and other Drug Administration, 5630 Fishers heading of this document, into the stakeholders. The March 25, 2020, Lane, Rm. 1061, Rockville, MD 20852. ‘‘Search’’ box and follow the prompts notice stated that due to the need to act • For written/paper comments and/or go to the Dockets Management quickly and efficiently to respond to the submitted to the Dockets Management Staff, 5630 Fishers Lane, Rm. 1061, COVID–19 PHE, FDA believes that prior Staff, FDA will post your comment, as Rockville, MD 20852, 240–402–7500. public participation will not be feasible well as any attachments, except for You may submit comments on any or appropriate before FDA implements information submitted, marked and guidance at any time (see § 10.115(g)(5) COVID–19-related guidances. Therefore, identified, as confidential, if submitted (21 CFR 10.115(g)(5))). FDA will issue COVID–19-related as detailed in ‘‘Instructions.’’ Submit written requests for single guidances for immediate Instructions: All submissions received copies of these guidances to the address must include the name of the guidance implementation without prior public noted in table 1. See the SUPPLEMENTARY comment (see section 701(h)(1)(C) of the document that the comments address INFORMATION section for electronic and the docket number for the guidance Federal Food, Drug, and Cosmetic Act access to the guidance. (21 U.S.C. 371(h)(1)(C)) and (see table 1). Received comments will be FOR FURTHER INFORMATION CONTACT: placed in the docket(s) and, except for § 10.115(g)(2)). The guidances are Kimberly Thomas, Center for Drug available on FDA’s web pages entitled those submitted as ‘‘Confidential Evaluation and Research (CDER), Food Submissions,’’ publicly viewable at ‘‘COVID–19-Related Guidance and Drug Administration, 10903 New Documents for Industry, FDA Staff, and https://www.regulations.gov or at the Hampshire Ave., Bldg. 51, Rm. 6220, Dockets Management Staff between 9 Other Stakeholders’’ (available at Silver Spring, MD 20993–0002, 301– https://www.fda.gov/emergency- a.m. and 4 p.m., Monday through 796–2357. Friday, 240–402–7500. preparedness-and-response/mcm- • Confidential Submissions—To SUPPLEMENTARY INFORMATION: issues/covid-19-related-guidance- submit a comment with confidential I. Background documents-industry-fda-staff-and-other- stakeholders) and ‘‘Search for FDA information that you do not wish to be On January 31, 2020, as a result of made publicly available, submit your Guidance Documents’’ (available at confirmed cases of COVID–19, and after https://www.fda.gov/regulatory- comments only as a written/paper consultation with public health officials submission. You should submit two information/search-fda-guidance- as necessary, the Secretary of Health documents). copies total. One copy will include the and Human Services (HHS), pursuant to The March 25, 2020, notice further information you claim to be confidential the authority under section 319 of the stated that, in general, rather than with a heading or cover note that states Public Health Service Act (42 U.S.C. publishing a separate NOA for each ‘‘THIS DOCUMENT CONTAINS 247d), determined that a PHE exists and COVID–19-related guidance, FDA CONFIDENTIAL INFORMATION.’’ The has existed since January 27, 2020, intends to publish periodically a Agency will review this copy, including nationwide.1 On March 13, 2020, there consolidated NOA announcing the the claimed confidential information, in was a Presidential declaration that the availability of certain COVID–19-related its consideration of comments. The COVID–19 outbreak in the United States guidances that FDA issued during the second copy, which will have the constitutes a national emergency, relevant period, as included in table 1. claimed confidential information beginning March 1, 2020.2 redacted/blacked out, will be available This notice announces COVID–19- for public viewing and posted on 1 Secretary of Health and Human Services, related guidances that are posted on https://www.regulations.gov. Submit ‘‘Determination that a Public Health Emergency FDA’s website. both copies to the Dockets Management Exists’’ (originally issued on January 31, 2020, and Staff. If you do not wish your name and subsequently renewed), available at: https:// there was a Presidential Declaration continuing the www.phe.gov/emergency/news/healthactions/phe/ contact information to be made publicly national emergency concerning the COVID–19 Pages/default.aspx. pandemic beyond March 1, 2021. See Continuation available, you can provide this 2 Proclamation on Declaring a National of the National Emergency Concerning the information on the cover sheet and not Emergency Concerning the Novel Coronavirus Coronavirus Disease 2019 (COVID–19) Pandemic Disease (COVID–19) Outbreak (March 13, 2020), in the body of your comments and you (February 24, 2021), available at https:// available at: https://trumpwhitehouse.archives.gov/ must identify this information as presidential-actions/proclamation-declaring- www.federalregister.gov/documents/2021/02/26/ ‘‘confidential.’’ Any information marked national-emergency-concerning-novel-coronavirus- 2021-04173/continuation-of-the-national- as ‘‘confidential’’ will not be disclosed disease-covid-19-outbreak/. On February 24, 2021, emergency-concerning-the-coronavirus-disease- 2019-covid-19-pandemic. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28629 II. Availability of COVID–19-Related announcing the availability of the Guidance Documents following COVID–19-related guidances: Pursuant to the process described in the March 25, 2020, notice, FDA is TABLE 1—GUIDANCES RELATED TO THE COVID–19 PUBLIC HEALTH EMERGENCY Docket No. Center Title of guidance Contact information to request single copies FDA–2020–D–1136 ...... CDER Development of Abbreviated New Drug Applications [email protected]. Please include the docket During the COVID–19 Pandemic—Questions and number FDA–2020–D–1136 and complete title of Answers Guidance for Industry (April 2021). the guidance in the request. FDA–2020–D–1136 ...... CDER Remote Interactive Evaluations of Drug Manufac- [email protected]. Please include the docket turing and Bioresearch Monitoring Facilities During number FDA–2020–D–1136 and complete title of the COVID–19 Public Health Emergency Guid- the guidance in the request. ance for Industry (April 2021). Although these guidances have been for any person and are not binding on of information (listed in table 2). implemented immediately without prior FDA or the public. You can use an Therefore, clearance by OMB under the comment, FDA will consider all alternative approach if it satisfies the PRA (44 U.S.C. 3501–3521) is not comments received and revise the requirements of the applicable statutes required for these guidances. The guidances as appropriate (see and regulations. previously approved collections of § 10.115(g)(3)). III. Paperwork Reduction Act of 1995 information are subject to review by These guidances are being issued OMB under the PRA. The collections of consistent with FDA’s good guidance CDER Guidances information in the following FDA practices regulation (§ 10.115). The While these guidances contain no regulations and guidances have been guidances represent the current thinking collection of information, they do refer approved by OMB as listed in the of FDA. They do not establish any rights to previously approved FDA collections following table: TABLE 2—CDER GUIDANCES AND COLLECTIONS CFR cite referenced in Another guidance title referenced in COVID–19 guidance title COVID–19 guidance COVID–19 guidance OMB control No(s). Development of Abbreviated New ...... —Manufacturing, Supply Chain, and Drug and 0910–0001, 0910– Drug Applications During the Biological Product Inspections During COVID– 0338, 0910–0139. COVID–19 Pandemic—Ques- 19 Public Health Emergency Questions and tions and Answers Guidance Answers. for Industry (April 2021). —Circumstances that Constitute Delaying, Deny- ing, Limiting, or Refusing a Drug Inspection. Remote Interactive Evaluations of 21 CFR 211.170, 21 CFR 314.3, —ANDAs: Stability Testing of Drug Substances 0910–0001, 0910– Drug Manufacturing and Bio- 21 CFR 314.50, 21 CFR and Products, Questions and Answers. 0014, 0910–0797, research Monitoring Facilities 314.94, 21 CFR 314.101, 21 —Referencing Approved Drug Products in ANDA 0910–0119 0910– During the COVID–19 Public CFR 314.105, 21 CFR Submissions. 0581, 0910–0733, Health Emergency Guidance 314.107, 21 CFR 320.25, 21 —Protecting Participants in Bioequivalence Stud- 0910–0672. for Industry (April 2021). CFR 320.31, 21 CFR 320.38, ies for Abbreviated New Drug Applications 21 CFR 320.63. During the COVID–19 Public Health Emer- gency. —Safety Reporting Requirements for INDs and BA/BE Studies. —Controlled Correspondence Related to Ge- neric Drug Development. —Formal Meetings Between FDA and ANDA Applicants of Complex Products Under GDUFA. —Conduct of Clinical Trials of Medical Products During the COVID–19 Pandemic. —ANDAs: Stability Testing of Drug Substances and Products. —ANDAs: Stability Testing of Drug Substances and Products, Questions and Answers. IV. Electronic Access Stakeholders,’’ available at https:// https://www.fda.gov/regulatory- Persons with access to the internet www.fda.gov/emergency-preparedness- information/search-fda-guidance- may obtain COVID–19-related guidances and-response/mcm-issues/covid-19- documents; or at: related-guidance-documents-industry- • https://www.regulations.gov. • FDA web page entitled ‘‘COVID–19- fda-staff-and-other-stakeholders; Related Guidance Documents for • FDA web page entitled ‘‘Search for Industry, FDA Staff, and Other FDA Guidance Documents’’ available at VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28630 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Dated: May 21, 2021. confidential business information, such ‘‘confidential.’’ Any information marked Lauren K. Roth, as a manufacturing process. Please note as ‘‘confidential’’ will not be disclosed Acting Principal Associate Commissioner for that if you include your name, contact except in accordance with 21 CFR 10.20 Policy. information, or other information that and other applicable disclosure law. For [FR Doc. 2021–11217 Filed 5–26–21; 8:45 am] identifies you in the body of your more information about FDA’s posting BILLING CODE 4164–01–P comments, that information will be of comments to public dockets, see 80 posted on https://www.regulations.gov. FR 56469, September 18, 2015, or access • If you want to submit a comment the information at: https:// DEPARTMENT OF HEALTH AND with confidential information that you www.govinfo.gov/content/pkg/FR-2015- HUMAN SERVICES do not wish to be made available to the 09-18/pdf/2015-23389.pdf. public, submit the comment as a Docket: For access to the docket to Food and Drug Administration written/paper submission and in the read background documents or the [Docket No. FDA–2005–D–0027] manner detailed (see ‘‘Written/Paper electronic and written/paper comments Submissions’’ and ‘‘Instructions’’). received, go to https:// Procedures for Handling Post- Written/Paper Submissions www.regulations.gov and insert the Approval Studies Imposed by docket number, found in brackets in the Premarket Approval Application Order; Submit written/paper submissions as heading of this document, into the Draft Guidance for Industry and Food follows: ‘‘Search’’ box and follow the prompts • Mail/Hand Delivery/Courier (for and Drug Administration Staff; and/or go to the Dockets Management written/paper submissions): Dockets Availability Staff, 5630 Fishers Lane, Rm. 1061, Management Staff (HFA–305), Food and Rockville, MD 20852, 240–402–7500. AGENCY: Food and Drug Administration, Drug Administration, 5630 Fishers You may submit comments on any HHS. Lane, Rm. 1061, Rockville, MD 20852. • guidance at any time (see 21 CFR ACTION: Notice of availability. For written/paper comments submitted to the Dockets Management 10.115(g)(5)). SUMMARY: The Food and Drug Staff, FDA will post your comment, as An electronic copy of the guidance Administration (FDA or Agency) is well as any attachments, except for document is available for download announcing the availability of the draft information submitted, marked and from the internet. See the guidance entitled ‘‘Procedures for identified, as confidential, if submitted SUPPLEMENTARY INFORMATION section for Handling Post-Approval Studies as detailed in ‘‘Instructions.’’ information on electronic access to the Imposed by Premarket Approval Instructions: All submissions received guidance. Submit written requests for a Application Order.’’ The existing post- must include the Docket No. FDA– single hard copy of the draft guidance approval studies final guidance, entitled 2005–D–0027 for ‘‘Procedures for document entitled ‘‘Procedures for ‘‘Procedures for Handling Post-Approval Handling Post-Approval Studies Handling Post-Approval Studies Studies Imposed by PMA Order,’’ was Imposed by Premarket Approval Imposed by Premarket Approval issued in June 2009. This draft guidance Application Order.’’ Received Application Order’’ to the Office of is intended to update the 2009 guidance comments will be placed in the docket Policy, Guidance and Policy to assist stakeholders with and, except for those submitted as Development, Center for Devices and understanding post-approval study ‘‘Confidential Submissions,’’ publicly Radiological Health, Food and Drug requirements imposed as a condition of viewable at https://www.regulations.gov Administration, 10903 New Hampshire approval of a premarket approval or at the Dockets Management Staff Ave., Bldg. 66, Rm. 5431, Silver Spring, application (PMA). This draft guidance between 9 a.m. and 4 p.m., Monday MD 20993–0002. Send one self- is not final nor is it in effect at this time. through Friday, 240–402–7500. addressed adhesive label to assist that office in processing your request. DATES: Submit either electronic or • Confidential Submissions—To written comments on the draft guidance submit a comment with confidential FOR FURTHER INFORMATION CONTACT: by July 26, 2021 to ensure that the information that you do not wish to be Nilsa Loyo-Berrios, Center for Devices Agency considers your comment on this made publicly available, submit your and Radiological Health, Food and Drug draft guidance before it begins work on comments only as a written/paper Administration, 10903 New Hampshire the final version of the guidance. submission. You should submit two Ave., Bldg. 66, Rm. G114, Silver Spring, ADDRESSES: You may submit comments copies total. One copy will include the MD 20993–0002, 301–796–6065. on any guidance at any time as follows: information you claim to be confidential SUPPLEMENTARY INFORMATION: with a heading or cover note that states Electronic Submissions ‘‘THIS DOCUMENT CONTAINS I. Background Submit electronic comments in the CONFIDENTIAL INFORMATION.’’ The To provide reasonable assurance, or following way: Agency will review this copy, including the continued assurance, of safety and • Federal eRulemaking Portal: the claimed confidential information, in effectiveness of an approved device, https://www.regulations.gov. Follow the its consideration of comments. The FDA may require a post-approval study instructions for submitting comments. second copy, which will have the (PAS) as a condition of approval under Comments submitted electronically, claimed confidential information 21 CFR 814.82(a)(2) and (a)(9). A PAS is including attachments, to https:// redacted/blacked out, will be available usually a clinical or non-clinical study, www.regulations.gov will be posted to for public viewing and posted on as specified in the PMA approval order, the docket unchanged. Because your https://www.regulations.gov. Submit and is typically intended to gather comment will be made public, you are both copies to the Dockets Management specific data to address questions about solely responsible for ensuring that your Staff. If you do not wish your name and the postmarket performance of or comment does not include any contact information to be made publicly experience with an approved medical confidential information that you or a available, you can provide this device. As described in ‘‘Balancing third party may not wish to be posted, information on the cover sheet and not Premarket and Postmarket Data such as medical information, your or in the body of your comments and you Collection for Devices Subject to anyone else’s Social Security number, or must identify this information as Premarket Approval,’’ FDA may VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28631 consider it acceptable to collect certain Æ revised FDA review time goals for www.fda.gov/regulatory-information/ data in the postmarket setting, rather PAS-related submissions. search-fda-guidance-documents. than premarket under certain This draft guidance is being issued Persons unable to download an circumstances when FDA has consistent with FDA’s good guidance electronic copy of ‘‘Procedures for uncertainty regarding certain benefits or practices regulation (21 CFR 10.115). Handling Post-Approval Studies risks of the device, but the degree of The draft guidance, when finalized, will Imposed by Premarket Approval uncertainty is acceptable in the context represent the current thinking of FDA Application Order’’ may send an email of the overall benefit-risk profile of the on ‘‘Procedures for Handling Post- request to [email protected] device at the time of premarket Approval Studies Imposed by Premarket to receive an electronic copy of the approval. The purpose of this draft Approval Application Order.’’ It does document. Please use the document guidance document is to assist not establish any rights for any person number 19043 and complete title to stakeholders with understanding PAS and is not binding on FDA or the public. identify the guidance you are requirements imposed as a condition of You can use an alternative approach if a PMA by providing: requesting. • it satisfies the requirements of the Procedural information; applicable statutes and regulations. III. Paperwork Reduction Act of 1995 • recommendations concerning the format, content, and review of PAS- II. Electronic Access While this guidance contains no related submissions; and collection of information, it does refer to • Persons interested in obtaining a copy updates to the final guidance previously approved FDA collections of of the draft guidance may do so by entitled ‘‘Procedures for Handling Post- information. Therefore, clearance by the Approval Studies Imposed by PMA downloading an electronic copy from the internet. A search capability for all Office of Management and Budget Order’’ dated June 2009, including: (OMB) under the Paperwork Reduction Æ Recommendations to help facilitate Center for Devices and Radiological Act of 1995 (PRA) (44 U.S.C. 3501– FDA’s review of a PAS protocol in a Health guidance documents is available 3521) is not required for this guidance. timely manner; at https://www.fda.gov/medical-devices/ Æ recommendations for study device-advice-comprehensive- The previously approved collections of timelines including enrollment regulatory-assistance/guidance- information are subject to review by milestones and study completion; documents-medical-devices-and- OMB under the PRA. The collections of Æ revised definitions to PAS status radiation-emitting-products. This information in the following FDA categories that we believe better reflect guidance is also available at https:// regulations have been approved by OMB progress of the PAS; and www.regulations.gov and at https:// as listed in the following table: OMB control 21 CFR part Topic No. 814, subparts A through E ...... Premarket approval ...... 0910–0231 814, subpart H ...... Humanitarian use devices; Humanitarian device exemption ...... 0910–0332 Dated: May 21, 2021. organ donation, procurement, [email protected]. A copy of the ACOT Lauren K. Roth, allocation, and transplantation; charter and list of current members may Acting Principal Associate Commissioner for maximizing the number of deceased be obtained by accessing the ACOT Policy. donor organs available for website at https://www.organdonor.gov/ [FR Doc. 2021–11216 Filed 5–26–21; 8:45 am] transplantation; supporting the safety of about-dot/acot.html. BILLING CODE 4164–01–P living organ donation proposed policies SUPPLEMENTARY INFORMATION: In of the Organ Procurement and accordance with the Amended Final Transplantation Network (OPTN) and Rule of the OPTN (42 CFR part 121), the DEPARTMENT OF HEALTH AND OPTN operations; and the latest ACOT was established pursuant to 42 HUMAN SERVICES advances in the science of U.S.C. 217a and, in accordance with transplantation. Public Law 92–463, was first chartered Health Resources and Services Authority: In accordance with 42 CFR on September 1, 2000. The ACOT meets Administration 121.12, the Secretary established ACOT up to three times during the fiscal year. pursuant to 42 U.S.C. 217a. The Committee Solicitation of Nominations for Nominations: HRSA is requesting is governed by the Federal Advisory nominations for voting members to Membership To Serve on the Advisory Committee Act (FACA) (5 U.S.C. Appendix Committee on Organ Transplantation serve as Special Government Employees 2), which sets forth standards for the (SGEs) on ACOT. The Secretary formation and use of advisory committees. AGENCY: Health Resources and Services appoints ACOT members with the Administration (HRSA), Department of DATES: Written nominations for expertise needed to fulfill the duties of Health and Human Services (HHS). membership on the ACOT will be the Advisory Committee. Nominees received on a continuous basis. ACTION: Request for nominations. sought are individuals knowledgeable in ADDRESSES: Nomination packages must such fields as deceased and living organ SUMMARY: HRSA is seeking nominations be submitted to the Executive Secretary, donation, health care public policy, of qualified candidates to be considered ACOT, Healthcare Systems Bureau, transplantation medicine and surgery, for appointment as members of the HRSA, Room 08W67, 5600 Fishers critical care medicine, and other Advisory Committee on Organ Lane, Rockville, Maryland 20857, or via medical specialties involved in the Transplantation (ACOT or Committee). email to: [email protected]. identification and referral of donors, ACOT provides advice and FOR FURTHER INFORMATION CONTACT: non-physician transplant professions, recommendations to the Secretary of Shelley Grant, Executive Secretary, nursing, epidemiology, immunology, HHS (Secretary) on matters pertaining to ACOT, at (301) 443–8036 or email law and bioethics, behavioral sciences, VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28632 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices economics, and statistics, as well as any required remedial action needed to ACBSCT was chartered on December 19, representatives of transplant candidates, address the potential conflict. 2006. ACBSCT meets up to three times transplant recipients, living organ during the fiscal year. Maria G. Button, donors, and family members of ACBSCT shall, as requested by the deceased and living organ donors. Director, Executive Secretariat. Secretary, discuss and make Interested applicants may self-nominate [FR Doc. 2021–11209 Filed 5–26–21; 8:45 am] recommendations regarding the or be nominated by another individual BILLING CODE 4165–15–P Program. It shall provide a consolidated, or organization. comprehensive source of expert, Individuals selected for appointment unbiased analysis and recommendations DEPARTMENT OF HEALTH AND to the Secretary on the latest advances to the Committee will be invited to HUMAN SERVICES in the science of blood stem cell serve for a term up to 4 years. Members transplantation. ACBSCT shall advise, appointed as SGEs receive a stipend and Health Resources and Services assist, consult, and make reimbursement for per diem and travel Administration recommendations, at the request of the expenses incurred for attending ACOT Secretary, on (1) broad Program policy meetings and/or conducting other Solicitation of Nominations for in areas such as the necessary size and business on behalf of the ACOT, as Membership To Serve on the Advisory composition of the adult donor pool authorized by 5 U.S.C. 5703 of FACA for Council on Blood Stem Cell available through the Program and the persons employed intermittently in Transplantation composition of the National Cord Blood government service. AGENCY: Health Resources and Services Inventory, (2) requirements regarding The following information must be Administration (HRSA), Department of informed consent for cord blood included in the package of materials Health and Human Services (HHS). donation, (3) accreditation requirements submitted for each individual being ACTION: Request for nominations. for cord blood banks, (4) the scientific nominated for consideration: (1) A letter factors that define a cord blood unit as of nomination stating the name, SUMMARY: HRSA is seeking nominations high quality, (5) public and professional affiliation, and contact information for of qualified candidates to be considered education to encourage the ethical the nominee, the basis for the for appointment as members of the recruitment of genetically diverse nomination (i.e., what specific Advisory Council on Blood Stem Cell donors and ethical donation practices, attributes, perspectives, and/or skills Transplantation (ACBSCT or Council). (6) criteria for selecting the appropriate does the individual possess that would ACBSCT shall advise the Secretary of blood stem source for transplantation, benefit the workings of ACOT), and the HHS (Secretary), through the HRSA (7) program priorities; (8) research nominee’s field(s) of expertise; (2) a Administrator, on the activities of the priorities, and (9) the scope and design biographical sketch of the nominee; (3) C.W. Bill Young Cell Transplantation of the Stem Cell Therapeutic Outcomes the name, address, daytime telephone Program and the National Cord Blood Database. number, and email address at which the Inventory Program (Program). At the request of the Secretary, nominator can be contacted; and (4) a Authority: The Council was established to ACBSCT shall also review and advise current copy of the nominee’s implement a statutory requirement of the on issues relating more broadly to the curriculum vitae. Nomination packages Stem Cell Therapeutic and Research Act of field of blood stem cell transplantation, may be submitted directly by the 2005 (Pub. L. 109–129). The Council is such as regulatory policy pertaining to individual being nominated or by the governed by the Federal Advisory Committee the compatibility of international person/organization recommending the Act (FACA), as amended (5 U.S.C. Appendix regulations, and actions that may be candidate. 2), which sets forth standards for the taken by state and federal governments formation and use of advisory committees. and public and private insurers to HHS endeavors to ensure that the increase donation and access to membership of ACOT is fairly balanced DATES: Written nominations for transplantation. ACBSCT shall also in terms of points of view represented membership on ACBSCT will be make recommendations regarding and that individuals from a broad received continuously. research on emerging therapies using representation of geographic areas, ADDRESSES: Nomination packages must cells from bone marrow and cord blood. gender, and ethnic and minority groups, be submitted to the Executive Secretary, The Council may meet up to three times as well as individuals with disabilities, ACBSCT, Healthcare Systems Bureau, during the fiscal year. are considered for membership. HRSA, Room 08W60, 5600 Fishers Lane, Rockville, Maryland 20857, or Nominations: HRSA is requesting Appointments shall be made without nominations for voting members to discrimination on the basis of age, sent via email to: ACBSCTHRSA@ hrsa.gov. serve as Special Government Employees ethnicity, gender, sexual orientation, or (SGEs) on ACBSCT. The Council shall cultural, religious, or socioeconomic FOR FURTHER INFORMATION CONTACT: consist of up to 25 members who are status. Shelley Grant, Executive Secretary, SGEs and 6 ex-officio, non-voting Individuals who are selected to be ACBSCT, at (301) 443–8036 or email members. The Secretary appoints considered for appointment will be [email protected]. A copy of the ACBSCT ACBSCT SGEs with the expertise required to provide detailed information charter and a list of current members needed to fulfill the duties of the regarding their financial holdings, may be obtained by accessing the Council. HRSA is seeking nominees consultancies, and research grants or ACBSCT website at https:// who are outstanding authorities and contracts. Disclosure of this information bloodcell.transplant.hrsa.gov/about/ representatives of marrow donor centers is required for HRSA ethics officials to advisory_council/index.html. and marrow transplant centers; determine whether there is a conflict SUPPLEMENTARY INFORMATION: ACBSCT representatives of cord blood banks and between the SGE’s public duties as a was established pursuant to Public Law participating birthing hospitals; member of ACOT and their private 109–129 as amended by Public Law recipients of bone marrow transplants; interests, including an appearance of a 111–264; 42 U.S.C. 274k; Section 379 of recipients of cord blood transplants; loss of impartiality as defined by federal the Public Health Service Act. In persons who require such transplants; laws and regulations, and to identify accordance with Public Law 92–463, the family members of such a recipient or VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28633 family members of a patient who has their financial holdings, consultancies, Time: 9:30 a.m. to 4:30 p.m. requested the assistance of the Program and research grants or contracts. Agenda: To review and evaluate grant in searching for an unrelated donor of Disclosure of this information is applications. bone marrow or cord blood; persons required for HRSA ethics officials to Place: National Institute of Allergy and Infectious Diseases, National Institutes of with expertise in bone marrow and cord determine whether there is a conflict Health, 5601 Fishers Lane, Room 3E71A, blood transplantation; persons with between the SGE’s public duties as a Rockville, MD 20892 (Virtual Meeting). expertise in typing, matching, and member of ACBSCT and their private Contact Person: Patricia A. Gonzales transplant outcome data analysis; interests, including an appearance of a Hurtado, Ph.D., Scientific Review Officer, persons with expertise in the social loss of impartiality as defined by federal Scientific Review Program, Division of sciences; basic scientists with expertise laws and regulations, and to identify Extramural Activities, National Institute of in the biology of adult stem cells; any required remedial action needed to Allergy and Infectious Diseases, National ethicists, hematology, and transfusion address the potential conflict. Institutes of Health, 5601 Fishers Lane, Room medicine researchers with expertise in 3E71A, Rockville, MD 20852, 240–627–3556, adult blood stem cells; persons with Maria G. Button, [email protected]. expertise in cord blood processing; and Director, Executive Secretariat. (Catalogue of Federal Domestic Assistance members of the general public to serve [FR Doc. 2021–11213 Filed 5–26–21; 8:45 am] Program Nos. 93.855, Allergy, Immunology, and Transplantation Research; 93.856, BILLING CODE 4165–15–P as members. Interested applicants may Microbiology and Infectious Diseases self-nominate or be nominated by Research, National Institutes of Health, HHS) another individual or organization. Individuals selected for appointment DEPARTMENT OF HEALTH AND Dated: May 21, 2021. to ACBSCT will be invited to serve for HUMAN SERVICES Tyeshia M. Roberson, a term of 2 years, and are eligible to Program Analyst, Office of Federal Advisory serve as many as 3 consecutive 2-year National Institutes of Health Committee Policy. terms. Members appointed as SGEs National Institute of Allergy and [FR Doc. 2021–11208 Filed 5–26–21; 8:45 am] receive a stipend and reimbursement for Infectious Diseases; Notice of Closed BILLING CODE 4140–01–P per diem and travel expenses incurred Meetings for attending ACBSCT meetings and/or conducting other business on behalf of Pursuant to section 10(d) of the DEPARTMENT OF HEALTH AND ACBSCT, as authorized by 5 U.S.C. 5703 Federal Advisory Committee Act, as HUMAN SERVICES of the FACA for persons employed amended, notice is hereby given of the intermittently in government service. following meetings. National Institutes of Health The following information must be The meetings will be closed to the Agency Emergency Information included in the package of materials public in accordance with the Collection Clearance Request for submitted for each individual being provisions set forth in sections Public Comment nominated for consideration: (1) A letter 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., of nomination stating the name, as amended. The grant applications and AGENCY: National Institutes of Health, affiliation, and contact information for the discussions could disclose HHS. the nominee, the basis for the confidential trade secrets or commercial ACTION: Notice. nomination (i.e., what specific property such as patentable material, attributes, perspectives, and/or skills and personal information concerning SUMMARY: In compliance with the does the individual possess that would individuals associated with the grant requirement of the Paperwork benefit the workings of ACBSCT), and applications, the disclosure of which Reduction Act of 1995 to provide the nominee’s field(s) of expertise; (2) a would constitute a clearly unwarranted opportunity for public comment on biographical sketch of the nominee; (3) invasion of personal privacy. proposed data collection projects, the the name, address, daytime telephone Name of Committee: National Institute of National Institutes of Health (NIH) will number, and email address at which the Allergy and Infectious Diseases Special publish periodic summaries of propose nominator can be contacted; and (4) a Emphasis Panel; NIAID Investigator Initiated projects to be submitted to the Office of current copy of the nominee’s Program Project Applications (P01 Clinical Management and Budget (OMB) for curriculum vitae. Nomination packages Trial Not Allowed). review and approval. may be submitted directly by the Date: June 23, 2021. DATES: Comments on the information individual being nominated or by the Time: 10:00 a.m. to 3:00 p.m. collection request must be received on person/organization recommending the Agenda: To review and evaluate grant applications. or before 10 days of this published candidate. notice. HHS endeavors to ensure that the Place: National Institute of Allergy and Infectious Diseases, National Institutes of membership of ACBSCT is fairly ADDRESSES: When commenting, please Health, 5601 Fishers Lane, Room 3E71A, reference the document identifier or balanced in terms of points of view Rockville, MD 20892 (Virtual Meeting). represented and that individuals from a OMB control number. To be assured Contact Person: Patricia A. Gonzales consideration, comments and broad representation of geographic Hurtado, Ph.D., Scientific Review Officer, areas, gender, and ethnic and minority Scientific Review Program, Division of recommendations must be submitted groups, as well as individuals with Extramural Activities, National Institute of within 10 days. You may send your disabilities, are considered for Allergy and Infectious Diseases, National comments electronically to http:// membership. Appointments shall be Institutes of Health, 5601 Fishers Lane, Room www.regulations.gov. Follow the 3E71A, Rockville, MD 20852, 240–627–3556, instructions for ‘‘Comment or made without discrimination on the [email protected]. basis of age, ethnicity, gender, sexual Submission’’ or ‘‘More Search Options’’ Name of Committee: National Institute of to find the information collection orientation, or cultural, religious, or Allergy and Infectious Diseases Special socioeconomic status. document(s) that are accepting Emphasis Panel; NIAID Investigator Initiated comments. Individuals selected to be considered Program Project Applications (P01 Clinical for appointment will be required to Trial Not Allowed). FOR FURTHER INFORMATION CONTACT: To provide detailed information regarding Date: June 28, 2021. obtain a copy of the data collection VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28634 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices plans and instruments, submit partnership that includes the U.S. resources. Because the COVID–19 comments in writing, or request more Department of Health and Human treatment landscape continues to evolve information on the proposed project, Services (HHS), including the National and audience needs continue to change, contact: Ms. Mikia P. Currie, Office of Institutes of Health (NIH) Office of the it is critical for the FCR Team to collect Policy for Extramural Research Director, Centers for Disease Control routine feedback from the general public Administration, 6705 Rockledge Drive, and Prevention (CDC), the U.S. Food (especially from groups who have not Suite 350, Bethesda, Maryland 20892, or and Drug Administration (FDA), the historically been well-represented in call a non-toll-free number 301–435– Biomedical Advanced Research and clinical trials) and healthcare providers 0941 or Email your request, including Development Authority (BARDA), and to identify these evolving needs. By your address to the U.S. Department of Defense (DOD). understanding evolving needs, the FCR [email protected]. The FCR Team oversees the ‘‘Combat team will be able to properly develop Formal requests for additional plans and COVID’’ initiative—a multifaceted effort and broadly disseminate relevant instruments must be requested in to provide the general public and COVID–19 treatment and ACTIV writing. healthcare providers with the latest clinical trial resources. This effort will SUPPLEMENTARY INFORMATION: Section evidence-based information on COVID– require ongoing data collection over the 3506(c)(2)(A) of the Paperwork 19 treatments and the Accelerating next 20 months (through the end of Reduction Act of 1995 requires: Written COVID–19 Therapeutic Interventions December 2022). comments and/or suggestions from the and Vaccines (ACTIV) clinical trials Data collected through this effort will public and affected agencies are invited (including the combatcovid.hhs.gov be used to inform the development and to address one or more of the following website). The NIH is especially broad dissemination of Combat COVID points: (1) The necessity and utility of interested in recruiting participants resources, including new or enhanced the proposed information collection for from groups who have historically been messages, materials and/or web pages the proper performance of the agency’s underrepresented in clinical trials. (combatcovid.hhs.gov). functions; (2) the accuracy of the Together with their contractor, the FCR The team will employ two strategies estimated burden; (3) ways to enhance Team is working to: to collect this routine audience • Address participation barriers and the quality, utility, and clarity of the feedback: raise awareness of ACTIV clinical trials, information to be collected; and (4) the 1. DATA COLLECTION STRATEGY 1: use of automated collection techniques and • Ensure the general public’s and Monthly 60-minute virtual audience or other forms of information feedback teams sessions (focus groups, technology to minimize the information health care provider’s needs are met as it pertains to evidence-based in-depth interviews, online bulletin collection burden. boards) for rapid testing of new Combat Title of the Collection: Audience information on these trials. COVID messages, concepts, ideas, Feedback to Inform Ongoing Messaging The purpose of the information resources, web pages, and materials. and Strategies for ‘‘Combat COVID’’ collection is to collect routine feedback Type of Collection: Emergency. from the Combat COVID Initiative’s two 2. DATA COLLECTION STRATEGY 2: target audiences (the general public and 15-minute custom web surveys to OMB No. 0925–NEW—Federal COVID healthcare providers) to identify understand target audiences’ needs and Response evolving needs and better disseminate awareness of Combat COVID over time, Abstract: The Federal COVID relevant information relates to COVID– and to inform ongoing messages and Response (FCR) Team is a cross-agency 19 treatment and ACTIV clinical trial strategies. ESTIMATED ANNUALIZED BURDEN TABLE Average Number of Number burden per Total burden Type of respondent respondents responses per response hours respondent (in hours) Consumer Audience Feedback Team Screener (Attachment 1) ...... 120 1 5/60 10 HCP Audience Feedback Team Screener (Attachment 2) ...... 40 1 5/60 3 Consumer Audience Feedback Activity (Attachments 3 & 5) ...... 60 12 1 720 HCP Audience Feedback Activity (Attachments 4 & 5) ...... 20 12 1 240 Benchmark & Follow-Up Web Surveys—Consumer Audience (Attachment 6) ...... 2,000 5 15/60 2,500 Benchmark & Follow-Up Web Survey—HCP Audience (Attachment 6) ...... 300 5 15/60 375 Total ...... 2,540 12,620 ...... 3848 Dated: May 20, 2021. DEPARTMENT OF HEALTH AND amended, notice is hereby given of the Lawrence A. Tabak, HUMAN SERVICES following meeting. Principal Deputy Director, National Institutes The meeting will be closed to the of Health. National Institutes of Health public in accordance with the [FR Doc. 2021–11255 Filed 5–26–21; 8:45 am] provisions set forth in sections National Institute of Allergy and BILLING CODE 4140–01–P 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Infectious Diseases; Notice of Closed as amended. The grant applications and Meeting the discussions could disclose confidential trade secrets or commercial Pursuant to section 10(d) of the property such as patentable material, Federal Advisory Committee Act, as and personal information concerning VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28635 individuals associated with the grant Agenda: To review and evaluate grant Scientific Review, National Institutes of applications, the disclosure of which applications. Health, 6701 Rockledge Drive, Room 3114, would constitute a clearly unwarranted Place: National Institutes of Health, MSC 7808, Bethesda, MD 20892, (301) 480– invasion of personal privacy. Rockledge II, 6701 Rockledge Drive, 1276, [email protected]. Bethesda, MD 20892 (Virtual Meeting). Name of Committee: Center for Scientific Name of Committee: National Institute of Contact Person: Lilia Topol, Ph.D., Review Special Emphasis Panel; PAR Panel: Allergy and Infectious Diseases Special Scientific Review Officer, Center for Cancer Health Disparities. Emphasis Panel; Cohort Studies To Improve Scientific Review, National Institutes of Date: June 29–30, 2021. Our Understanding of Influenza Immunity, Health, 6701 Rockledge Drive, Room 6192, Time: 9:00 a.m. to 8:30 p.m. Vaccine Response and Effectiveness in Older MSC 7804, Bethesda, MD 20892, 301–451– Agenda: To review and evaluate grant Adults (65 years and older) (U01 Clinical 0131, [email protected]. applications. Trial Not Allowed). Name of Committee: Center for Scientific Place: National Institutes of Health, Date: July 9, 2021. Review Special Emphasis Panel; Member Rockledge II, 6701 Rockledge Drive, Time: 10:00 a.m. to 5:00 p.m. Conflict: Interventions and Mechanisms for Bethesda, MD 20892 (Virtual Meeting). Agenda: To review and evaluate grant Addiction. Contact Person: Sulagna Banerjee, Ph.D., applications. Date: June 28, 2021. Scientific Review Officer, Center for Place: National Institute of Allergy and Time: 9:00 a.m. to 4:00 p.m. Scientific Review, National Institutes of Infectious Diseases, National Institutes of Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Bethesda, MD Health, 5601 Fishers Lane, Room 3G42, applications. 20892, 612.309.2479, sulagna.banerjee@ Rockville, MD 20892 (Virtual Meeting). Place: National Institutes of Health, nih.gov. Contact Person: Sandip Bhattacharyya, Rockledge II, 6701 Rockledge Drive, Name of Committee: Center for Scientific Ph.D., Scientific Review Officer, Scientific Bethesda, MD 20892 (Virtual Meeting). Review Special Emphasis Panel; Fellowship: Review Program, Division of Extramural Contact Person: Mark P. Rubert, Ph.D., Infectious Disease and Immunology B. Scientific Review Officer, Center for Activities, National Institute of Allergy and Date: June 29–30, 2021. Scientific Review, National Institutes of Infectious Diseases, National Institutes of Time: 9:00 a.m. to 8:00 p.m. Health, 6701 Rockledge Drive, Room 5218, Health, 5601 Fishers Lane, Room 3G43, Agenda: To review and evaluate grant MSC 7852, Bethesda, MD 20892, 301–806– Rockville, MD 20852, (240) 292–0189, applications. 6596, [email protected]. [email protected]. Place: National Institutes of Health, (Catalogue of Federal Domestic Assistance Name of Committee: Population Sciences Rockledge II, 6701 Rockledge Drive, Program Nos. 93.855, Allergy, Immunology, and Epidemiology Integrated Review Group; Bethesda, MD 20892 (Virtual Meeting). and Transplantation Research; 93.856, Cancer, Heart, and Sleep Epidemiology: A Contact Person: Uma Basavanna, Ph.D., Microbiology and Infectious Diseases Study Section. Scientific Review Officer, Center for Research, National Institutes of Health, HHS) Date: June 28–29, 2021. Scientific Review, National Institutes of Time: 9:00 a.m. to 8:00 p.m. Health, 6701 Rockledge Drive, Bethesda, MD Dated: May 21, 2021. Agenda: To review and evaluate grant 20892, 301–435–1199, uma.basavanna@ Tyeshia M. Roberson, applications. nih.gov. Place: National Institutes of Health, Program Analyst, Office of Federal Advisory Name of Committee: Center for Scientific Committee Policy. Rockledge II, 6701 Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting). Review Special Emphasis Panel; Small [FR Doc. 2021–11211 Filed 5–26–21; 8:45 am] Contact Person: Denise Wiesch, Ph.D., Business: Cardiovascular and Surgical BILLING CODE 4140–01–P Scientific Review Officer, Center for Devices. Scientific Review, National Institutes of Date: June 29–30, 2021. Health, 6701 Rockledge Drive, Room 3138, Time: 9:00 a.m. to 8:00 p.m. DEPARTMENT OF HEALTH AND MSC 7770, Bethesda, MD 20892, (301) 437– Agenda: To review and evaluate grant HUMAN SERVICES 3478, [email protected]. applications. Place: National Institutes of Health, Name of Committee: Center for Scientific National Institutes of Health Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; Member Bethesda, MD 20892 (Virtual Meeting). Conflict: Neurobehavior, Developmental Contact Person: Willard Wilson, Ph.D., Center for Scientific Review; Notice of Psychopathology, Autism and Stress. Scientific Review Officer, Center for Closed Meetings Date: June 29, 2021. Scientific Review, National Institutes of Time: 9:00 a.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Bethesda, MD Pursuant to section 10(d) of the Agenda: To review and evaluate grant 20817, 301–867–5309, willard.wilson@ Federal Advisory Committee Act, as applications. nih.gov. amended, notice is hereby given of the Place: National Institutes of Health, following meetings. Rockledge II, 6701 Rockledge Drive, Name of Committee: Center for Scientific The meetings will be closed to the Bethesda, MD 20892 (Virtual Meeting). Review Special Emphasis Panel; The Blood- Contact Person: Anna L. Riley, Ph.D., Brain Barrier, Neurovascular Systems and public in accordance with the CNS Therapeutics. provisions set forth in sections Scientific Review Officer, Center for Scientific Review, National Institutes of Date: June 29, 2021. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health, 6701 Rockledge Drive, Room 3114, Time: 10:00 a.m. to 7:00 p.m. as amended. The grant applications and MSC 7759, Bethesda, MD 20892, 301–435– Agenda: To review and evaluate grant the discussions could disclose 2889, [email protected]. applications. confidential trade secrets or commercial Name of Committee: Center for Scientific Place: National Institutes of Health, property such as patentable material, Review Special Emphasis Panel; Small Rockledge II, 6701 Rockledge Drive, and personal information concerning Business: Disease Prevention and Bethesda, MD 20892 (Virtual Meeting). individuals associated with the grant Management, Risk Reduction and Health Contact Person: Linda MacArthur, Ph.D., Scientific Review Officer, Center for applications, the disclosure of which Behavior Change. Date: June 29–30, 2021. Scientific Review, National Institutes of would constitute a clearly unwarranted Health, 6701 Rockledge Drive, Room 4187, invasion of personal privacy. Time: 9:00 a.m. to 8:00 p.m. Agenda: To review and evaluate grant Bethesda, MD 20892, 301–537–9986, Name of Committee: Center for Scientific applications. [email protected]. Review Special Emphasis Panel; Small Place: National Institutes of Health, Name of Committee: Center for Scientific Business: The Cancer Drug Development and Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; RFA Panel: Therapeutics (CDDT). Bethesda, MD 20892 (Virtual Meeting). Nutrition for Precision Health. Date: June 24–25, 2021. Contact Person: Michael J. McQuestion, Date: June 29, 2021. Time: 9:00 a.m. to 8:00 p.m. Ph.D., Scientific Review Officer, Center for Time: 1:00 p.m. to 5:00 p.m. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28636 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Agenda: To review and evaluate grant Agenda: To review and evaluate grant Scientific Review, National Institutes of applications. applications. Health, 6701 Rockledge Drive, Rm. 5201, Place: National Institutes of Health, Place: National Institutes of Health, MSC 7840, Bethesda, MD 20892, 301–435– Rockledge II, 6701 Rockledge Drive, Rockledge II, 6701 Rockledge Drive, 1175, [email protected]. Bethesda, MD 20892 (Virtual Meeting). Bethesda, MD 20892 (Virtual Meeting). Name of Committee: Center for Scientific Contact Person: Pamela Jeter, Ph.D., Contact Person: Kirk Edward Dineley, Review Special Emphasis Panel; Infectious Scientific Review Officer, Center for Ph.D., Scientific Review Officer, Center for Disease and Host-Pathogen Interactions. Scientific Review, National Institutes of Scientific Review, National Institutes of Date: June 30, 2021. Health, 6701 Rockledge Drive, Room 10J08, Health, 6701 Rockledge Drive, Room 806E, Time: 10:00 a.m. to 6:00 p.m. Bethesda, MD 20892, (301) 435–2591, Bethesda, MD 20892, (301) 867–5309, Agenda: To review and evaluate grant [email protected]. [email protected]. applications. (Catalogue of Federal Domestic Assistance Name of Committee: Center for Scientific Place: National Institutes of Health, Program Nos. 93.306, Comparative Medicine; Review Special Emphasis Panel; Small Rockledge II, 6701 Rockledge Drive, 93.333, Clinical Research, 93.306, 93.333, Business: Innovative Immunology Research. Bethesda, MD 20892 (Virtual Meeting). 93.337, 93.393–93.396, 93.837–93.844, Date: June 29, 2021. Contact Person: David C. Chang, Ph.D., 93.846–93.878, 93.892, 93.893, National Time: 10:00 a.m. to 7:00 p.m. Scientific Review Officer, Center for Institutes of Health, HHS) Agenda: To review and evaluate grant Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD Dated: May 21, 2021. applications. Place: National Institutes of Health, 20892, (301) 451–0290, changdac@ Tyeshia M. Roberson, Rockledge II, 6701 Rockledge Drive, mail.nih.gov. Program Analyst, Office of Federal Advisory Bethesda, MD 20892 (Virtual Meeting). (Catalogue of Federal Domestic Assistance Committee Policy. Contact Person: Shinako Takada, Ph.D., Program Nos. 93.306, Comparative Medicine; [FR Doc. 2021–11207 Filed 5–26–21; 8:45 am] Scientific Review Officer, Center for 93.333, Clinical Research, 93.306, 93.333, BILLING CODE 4140–01–P Scientific Review, National Institutes of 93.337, 93.393–93.396, 93.837–93.844, Health, 6701 Rockledge Drive, Bethesda, MD 93.846–93.878, 93.892, 93.893, National 20892, 301–402–9448, shinako.takada@ Institutes of Health, HHS) nih.gov. DEPARTMENT OF HEALTH AND Dated: May 21, 2021. Name of Committee: Center for Scientific HUMAN SERVICES Tyeshia M. Roberson, Review Special Emphasis Panel; Small Program Analyst, Office of Federal Advisory National Institutes of Health Business: Immune Responses and Vaccines to Microbial Infections. Committee Policy. Center for Scientific Review; Notice of Date: June 30–July 1, 2021. [FR Doc. 2021–11205 Filed 5–26–21; 8:45 am] Closed Meetings Time: 9:30 a.m. to 7:30 p.m. BILLING CODE 4140–01–P Agenda: To review and evaluate grant Pursuant to section 10(d) of the applications. Federal Advisory Committee Act, as Place: National Institutes of Health, DEPARTMENT OF HEALTH AND amended, notice is hereby given of the Rockledge II, 6701 Rockledge Drive, HUMAN SERVICES following meetings. Bethesda, MD 20892 (Virtual Meeting). The meetings will be closed to the Contact Person: Barna Dey, Ph.D., National Institutes of Health Scientific Review Officer, Center for public in accordance with the Scientific Review, National Institutes of provisions set forth in sections National Institute of Allergy and Health, 6701 Rockledge Drive, Room 3184, Infectious Diseases; Notice of Closed 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Bethesda, MD 20892, 301–451–2796, bdey@ as amended. The grant applications and mail.nih.gov. Meeting the discussions could disclose Name of Committee: Center for Scientific Pursuant to section 10(d) of the confidential trade secrets or commercial Review Special Emphasis Panel; Member Federal Advisory Committee Act, as property such as patentable material, Conflict: Bioengineering, Cellular and Circuit amended, notice is hereby given of the and personal information concerning Neuroscience. following meeting. individuals associated with the grant Date: June 30, 2021. The meeting will be closed to the Time: 9:30 a.m. to 6:00 p.m. applications, the disclosure of which public in accordance with the would constitute a clearly unwarranted Agenda: To review and evaluate grant applications. provisions set forth in sections invasion of personal privacy. Place: National Institutes of Health, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: Biobehavioral and Rockledge II, 6701 Rockledge Drive, as amended. The contract proposals and Behavioral Processes Integrated Review Bethesda, MD 20892 (Virtual Meeting). the discussions could disclose Group; Language and Communication Study Contact Person: Jyothi Arikkath, Ph.D., confidential trade secrets or commercial Section. Scientific Review Officer, Center for property such as patentable material, Date: June 21–22, 2021. Scientific Review, National Institutes of and personal information concerning Time: 10:00 a.m. to 8:00 p.m. Health, 6701 Rockledge Drive, Room 5215, individuals associated with the contract Agenda: To review and evaluate grant Bethesda, MD 20892, (301) 435–1042, applications. [email protected]. proposals, the disclosure of which would constitute a clearly unwarranted Place: National Institutes of Health, Name of Committee: Center for Scientific Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; RFA–RM– invasion of personal privacy. Bethesda, MD 20892 (Virtual Meeting). 21–009 Cellular Senescence Network: Name of Committee: National Institute of Contact Person: Andrea B. Kelly, Ph.D., Technology Development and Application Allergy and Infectious Diseases Special Scientific Review Officer, Center for (UG3/UH3). Emphasis Panel; Early Phase Clinical Trial Scientific Review, National Institutes of Date: June 30, 2021. Units (EPCTU): Task Area A—Administrative Health, 6701 Rockledge Drive, Room 3184, Time: 10:00 a.m. to 8:00 p.m. and Overall Clinical Operations Support and MSC 7770, Bethesda, MD 20892, (301) 455– Agenda: To review and evaluate grant Concept Development (N01). 1761, [email protected]. applications. Date: June 24, 2021. Name of Committee: Center for Scientific Place: National Institutes of Health, Time: 9:00 a.m. to 2:00 p.m. Review Special Emphasis Panel; Small Rockledge II, 6701 Rockledge Drive, Agenda: To review and evaluate contract Business: Cardiovascular Sciences. Bethesda, MD 20892 (Virtual Meeting). proposals. Date: June 24–25, 2021. Contact Person: Thomas Beres, Ph.D., Place: National Institute of Allergy and Time: 9:00 a.m. to 6:30 p.m. Scientific Review Officer, Center for Infectious Diseases, National Institutes of VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28637 Health, 5601 Fishers Lane, Room 3G62 Emphasis Panel; Early Phase Clinical Trial www.regulations.gov, including any Rockville, MD 20892 (Virtual Meeting). Units (EPCTU): Task Area E/Sample Task personal information provided. Contact Person: Eleazar Cohen, Ph.D., Order E (N01). Docket: For access to the docket to Scientific Review Officer, Scientific Review Date: June 28, 2021. read background documents or Program, Division of Extramural Activities, Time: 9:00 a.m. to 6:00 p.m. comments received, go to http:// National Institute of Allergy and Infectious Agenda: To review and evaluate contract Diseases, National Institutes of Health, 5601 proposals. ww.regulations.gov. Fishers Lane, Room 3G62, Rockville, MD Place: National Institute of Allergy and SUPPLEMENTARY INFORMATION: Executive 20852, (240) 669–5081, ecohen@ Infectious Diseases, National Institutes of Order 12862 directs Federal agencies to niaid.nih.gov. Health, 5601 Fishers Lane, Room 3G62A, provide service to the public that (Catalogue of Federal Domestic Assistance Rockville, MD 20892 (Virtual Meeting). matches or exceeds the best service Contact Person: Eleazar Cohen, Ph.D., Program Nos. 93.855, Allergy, Immunology, available in the private sector. In order and Transplantation Research; 93.856, Scientific Review Officer, Scientific Review Microbiology and Infectious Diseases Program, Division of Extramural Activities, to work continuously to ensure that our Research, National Institutes of Health, HHS) National Institute of Allergy and Infectious programs are effective and meet our Diseases, National Institutes of Health, 5601 customers’ needs, Department of Dated: May 21, 2021. Fishers Lane, Room 3G62A, Rockville, MD Homeland Security (hereafter ‘‘the Tyeshia M. Roberson, 20852, (240) 669–5081, ecohen@ Agency’’) seeks to obtain OMB approval Program Analyst, Office of Federal Advisory niaid.nih.gov. of a generic clearance to collect Committee Policy. (Catalogue of Federal Domestic Assistance qualitative feedback on our service [FR Doc. 2021–11206 Filed 5–26–21; 8:45 am] Program Nos. 93.855, Allergy, Immunology, delivery. By qualitative feedback we BILLING CODE 4140–01–P and Transplantation Research; 93.856, mean information that provides useful Microbiology and Infectious Diseases insights on perceptions and opinions Research, National Institutes of Health, HHS) but are not statistical surveys that yield DEPARTMENT OF HEALTH AND Dated: May 21, 2021. quantitative results that can be HUMAN SERVICES Tyeshia M. Roberson, generalized to the population of study. National Institutes of Health Program Analyst, Office of Federal Advisory This collection of information is Committee Policy. necessary to enable the Agency to garner National Institute of Allergy and [FR Doc. 2021–11212 Filed 5–26–21; 8:45 am] customer and stakeholder feedback in Infectious Diseases; Notice of Closed BILLING CODE 4140–01–P an efficient, timely manner, in Meetings accordance with our commitment to improving service delivery. The Pursuant to section 10(d) of the information collected from our DEPARTMENT OF HOMELAND Federal Advisory Committee Act, as customers and stakeholders will help SECURITY amended, notice is hereby given of the ensure that users have an effective, following meetings. [Docket Number DHS–2021–0023] efficient, and satisfying experience with The meetings will be closed to the the Agency’s programs. This feedback public in accordance with the Generic Clearance for the Collection of will provide insights into customer or provisions set forth in sections Qualitative Feedback on Agency stakeholder perceptions, experiences 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Service Delivery and expectations, provide an early as amended. The contract proposals and warning of issues with service, or focus the discussions could disclose AGENCY: Department of Homeland attention on areas where confidential trade secrets or commercial Security (DHS). communication, training or changes in property such as patentable material, ACTION: 60-Dsay notice and request for operations might improve delivery of and personal information concerning comments; extension without change of products or services. These collections individuals associated with the contract a currently approved Collection, 1601– will allow for ongoing, collaborative and proposals, the disclosure of which 0014. actionable communications between the would constitute a clearly unwarranted Agency and its customers and SUMMARY: invasion of personal privacy. The Department of Homeland stakeholders. It will also allow feedback Security, will submit the following Name of Committee: National Institute of to contribute directly to the Allergy and Infectious Diseases Special Information Collection Request (ICR) to improvement of program management. Emphasis Panel; Early Phase Clinical Trial the Office of Management and Budget Improving agency programs requires Units (EPCTU): Task Area D/Sample Task (OMB) for review and clearance in ongoing assessment of service delivery, Order D (N01). accordance with the Paperwork by which we mean systematic review of Date: June 25, 2021. Reduction Act of 1995. Time: 9:00 a.m. to 2:00 p.m. the operation of a program compared to DATES: Comments are encouraged and Agenda: To review and evaluate contract a set of explicit or implicit standards, as proposals. will be accepted until July 26, 2021. a means of contributing to the Place: National Institute of Allergy and This process is conducted in accordance continuous improvement of the Infectious Diseases, National Institutes of with 5 CFR 1320.1 program. The Agency will collect, Health, 5601 Fishers Lane, Room 3G62A, ADDRESSES: You may submit comments, analyze, and interpret information Rockville, MD 20892 (Virtual Meeting). identified by docket number Docket # gathered through this generic clearance Contact Person: Eleazar Cohen, Ph.D., DHS–2021–0023, at: to identify strengths and weaknesses of Scientific Review Officer, Scientific Review Æ Federal eRulemaking Portal: http:// current services and make Program, Division of Extramural Activities, National Institute of Allergy and Infectious www.regulations.gov. Please follow the improvements in service delivery based Diseases, National Institutes of Health, 5601 instructions for submitting comments. on feedback. The solicitation of Fishers Lane, Room 3G62A, Rockville, MD Instructions: All submissions received feedback will target areas such as: 20852, (240) 669–5081, ecohen@ must include the agency name and Timeliness, appropriateness, accuracy niaid.nih.gov. docket number Docket # DHS–2021– of information, courtesy, efficiency of Name of Committee: National Institute of 0023. All comments received will be service delivery, and resolution of Allergy and Infectious Diseases Special posted without change to http:// issues with service delivery. Responses VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28638 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices will be assessed to plan and inform The types of collections that this 2. Evaluate the accuracy of the efforts to improve or maintain the generic clearance covers include, but are agency’s estimate of the burden of the quality of service offered to the public. not limited to: proposed collection of information, If this information is not collected, vital • Customer comment cards/complaint including the validity of the feedback from customers and forms methodology and assumptions used; stakeholders on the Agency’s services • Small discussion groups 3. Enhance the quality, utility, and will be unavailable. • Focus Groups of customers, potential clarity of the information to be The Agency will only submit a customers, delivery partners, or collected; and collection for approval under this other stakeholders 4. Minimize the burden of the generic clearance if it meets the • Cognitive laboratory studies, such as collection of information on those who following conditions: those used to refine questions or are to respond, including through the • Information gathered will be used assess usability of a website; use of appropriate automated, • only internally for general service Qualitative customer satisfaction electronic, mechanical, or other improvement and program management surveys (e.g., post-transaction technological collection techniques or purposes and is not intended for release surveys; opt-out web surveys) • other forms of information technology, outside of the agency (if released, In-person observation testing (e.g., e.g., permitting electronic submissions procedures outlined in Question 16 will website or software usability tests) of responses. be followed); The Agency has established a • Information gathered will not be manager/managing entity to serve for Analysis used for the purpose of substantially this generic clearance and will conduct Agency: Department of Homeland informing influential policy decisions; 1 an independent review of each • Security, (DHS). Information gathered will yield information collection to ensure Title: Generic Clearance for the qualitative information; the collections compliance with the terms of this Collection of Qualitative Feedback on will not be designed or expected to clearance prior to submitting each Agency Service Delivery. yield statistically reliable results or used collection to OMB. OMB Number: 1600–0014. as though the results are generalizable to If appropriate, agencies will collect Frequency: On Occasion. the population of study; information electronically and/or use • Affected Public: Private Sector. The collections are voluntary; online collaboration tools to reduce • The collections are low-burden for Number of Respondents: 184,902. burden. Estimated Time per Respondent: 1 respondents (based on considerations of Small business or other small entities total burden hours, total number of Hour. may be involved in these efforts, but the Total Burden Hours: 300,000. respondents, or burden-hours per Agency will minimize the burden on respondent) and are low-cost for both them of information collections Robert Dorr, the respondents and the Federal approved under this clearance by Executive Director, Business Management Government; sampling, asking for readily available Directorate. • The collections are non- information, and using short, easy-to- [FR Doc. 2021–10994 Filed 5–26–21; 8:45 am] controversial and do not raise issues of complete information collection BILLING CODE 9112–FL–P concern to other Federal agencies; instruments. • Any collection is targeted to the Without these types of feedback, the solicitation of opinions from Agency will not have timely respondents who have experience with DEPARTMENT OF THE INTERIOR information to adjust its services to meet the program or may have experience customer needs. Fish and Wildlife Service with the program in the near future; and If a confidentiality pledge is deemed • With the exception of information [FWS–R8–NWRS–2021–N011; useful and feasible, the Agency will needed to provide renumeration for FXRS12610800000–212–FF08RSDC00] only include a pledge of confidentiality participants of focus groups and that is supported by authority cognitive laboratory studies, personally Tijuana Estuary Tidal Restoration established in statute or regulation, that identifiable information (PII) is Program II, Phase I (TETRP II Phase I) is supported by disclosure and data collected only to the extent necessary security policies that are consistent with AGENCY: Fish and Wildlife Service, and is not retained. Interior. If these conditions are not met, the the pledge, and that does not Agency will submit an information unnecessarily impede sharing of data ACTION: Notice of intent to prepare an collection request to OMB for approval with other agencies for compatible environmental impact statement. through the normal PRA process. confidential use. If the agency includes SUMMARY: The U.S. Fish and Wildlife To obtain approval for a collection a pledge of confidentiality, it will Service’s Tijuana Slough National that meets the conditions of this generic include a citation for the statute or Wildlife Refuge, along with the clearance, a standardized form will be regulation supporting the pledge. California Department of Parks and submitted to OMB along with There is no change in the information supporting documentation (e.g., a copy being collected. There is no change to Recreation’s Border Field State Park, of the comment card). The submission the burden associated with this propose to act in partnership to prepare will have automatic approval, unless collection. a joint draft environmental impact OMB identifies issues within 5 business The Office of Management and Budget statement/environmental impact report days. is particularly interested in comments to evaluate the impacts on the human which: environment related to restoring coastal 1 As defined in OMB and agency Information 1. Evaluate whether the proposed wetlands within the Tijuana River Quality Guidelines, ‘‘influential’’ means that ‘‘an collection of information is necessary National Estuarine Research Reserve at agency can reasonably determine that for the proper performance of the the southwestern corner of San Diego dissemination of the information will have or does functions of the agency, including County, California. We are providing have a clear and substantial impact on important public policies or important private sector whether the information will have this notice to open a public scoping decisions.’’ practical utility; period and announce our intent to VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00114 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28639 conduct public scoping meetings in resources, while also increasing the following impacts would be expected: accordance with the requirements of the estuary’s tidal prism to improve water Conversion of existing upland habitat to National Environmental Policy Act, and quality and maintain continuous tidal coastal wetlands; replacement of high its implementing regulations. exchange through the tidal inlet. salt marsh habitat with low salt marsh habitat; short-term disturbance to listed DATES: To ensure consideration in our Preliminary Proposed Action and reviews, we are requesting submission Alternatives and sensitive avian species; temporary of new information no later than July increases in dust and other air 12, 2021. Two action alternatives and the no pollutants during construction; changes The draft environmental impact action alternative will be evaluated in to the area’s existing fluvial hydrology; statement/environmental impact report the draft environmental impact temporary impacts to water quality is scheduled for release in October 2021. statement/environmental impact report. during excavation; temporary and The final environmental impact Both action alternatives would permanent changes to existing public statement is scheduled for completion reconfigure a portion of the southern access; and temporary increases in by March 2022, with the record of arm of the Tijuana Estuary to establish construction traffic on the roadways decision expected to be issued in April coastal wetlands supported by an within the Tijuana River Valley. 2022. extensive system of tidal channels intended to increase the estuary’s tidal Anticipated Permits and Authorizations ADDRESSES: You may submit written prism and enhance estuarine function comments and materials by one of the The following permits and other within the system. The project site following methods: authorizations are anticipated to be • U.S. Mail: Brian Collins, USFWS, would be excavated to establish required: elevations with appropriate inundation San Diego NWR Complex, 1080 • U.S. Army Corps of Engineers Clean frequencies to support specific coastal Gunpowder Point Drive, Chula Vista, Water Act (CWA) section 404 wetland habitat types. Suitable CA 91910. Nationwide Permit 27 and others, if excavated material would be • Email: [email protected]; appropriate; beneficially used to establish and/or please include ‘‘TETRP NOI’’ in the • San Diego Regional Water Quality email subject line. reconfigure transitional areas located along the southern edge of the Control Board CWA section 401 water FOR FURTHER INFORMATION CONTACT: restoration area and/or the barrier dunes quality certification; Brian Collins, Refuge Manager, at brian_ to the west, increasing resiliency to sea- • California Coastal Commission [email protected] or 760–431–9440 level rise. Additionally, some of the consistency determination in extension 273. Individuals who use excavated material may be suitable for compliance with section 930.34 et seq. telecommunication devices for the deaf nearshore disposal. of the National Oceanic and (TDD) may call the Federal Relay Alternative 1 (Maximum Tidal Prism) Atmospheric Administration (NOAA) Service at 1–800–877–8339 between 8 is currently identified as the proposed federal consistency regulations for a.m. and 8 p.m., Eastern Time, Monday action. This alternative, which would actions on Refuge lands and a coastal through Friday. restore approximately 85 ac of coastal development permit for actions on SUPPLEMENTARY INFORMATION: The U.S. habitat, would maximize deeper Border Field State Park; Fish and Wildlife Service’s (Service) intertidal habitats, by expanding tidal • Refuge special use permit to the Tijuana Slough National Wildlife Refuge channels and intertidal mudflat. California Department of Parks and and the California Department of Parks Alternative 2 (Reduced Impact Recreation for construction access and and Recreation’s Border Field State Park Alternative), which would restore activities on Refuge lands; propose to prepare a draft approximately 80 ac of coastal habitat, • Consultation pursuant to section 7 environmental impact statement/ has been designed to preserve existing of the Federal Endangered Species Act environmental impact report to evaluate native plant communities, including with the Service and National Marine the effects of restoring 80 to 85 acres (ac) high salt marsh and transition zone Fisheries Service; of coastal wetlands within the Tijuana throughout the project site. The primary • Consultation with Tribes and the Estuary, north of Monument Road and tidal connection to Alternative 2 is the south of the existing tidal inlet, in State Historic Preservation Officer existing South Beach Slough, which pursuant to section 106 of the National southwestern San Diego County. We are would be deepened to increase tidal requesting comments concerning the Historic Preservation Act; flows into the proposed restoration site. • scope of the analysis and identification The primary differences between the Consultations with NOAA Fisheries of relevant information and studies. two action alternatives include the for essential fish habitat under the amount of intertidal mudflat restored Magnuson-Stevens Fishery Purpose and Need for the Proposed Conservation and Management Act, and Action versus salt marsh habitat; the total acreage of restored versus preserved for marine mammals pursuant to the The purpose of the Tijuana Estuary habitats; and the number of connections Marine Mammal Protection Act. Tidal Restoration Program II, Phase I to existing tidal channels. Schedule for the Decision-Making (TETRP II Phase I) project is to restore Under the No Action Alternative, Process native coastal habitats and functions to restoration of the estuary would not be a portion of the southern arm of the implemented. No sediment or Processing of the environmental Tijuana Estuary consistent with the vegetation would be removed and no impact statement from the public recommendations presented in the establishment of habitat for the scoping stage to the signing of the Tijuana Estuary—Friendship Marsh enhancement of biological and record of decision, is expected to take Restoration Feasibility Study prepared hydrological functions within the approximately 1 year. Subsequent in 2008. The need for the proposed project site would occur. actions will involve the processing of all action is to reverse ongoing degradation required permits needed to implement of coastal resources essential to the Summary of Expected Impacts restoration, which is not expected to long-term survival of listed species, Based on our initial evaluation of the occur until additional funding is migratory birds, fish, and other aquatic proposed action and alternatives, the identified for project implementation. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28640 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Public Scoping Process action. The decision, which will be (ICR) to the Office of Management and This notice of intent initiates the 45- documented in the record of decision, Budget’s Desk Officer for the day scoping process, which guides the will also consider the consistency of the Department of the Interior by email at _ development of the draft environmental action with agency policies, regulations, OIRA [email protected]; or via impact statement/environmental impact and applicable laws, and the facsimile to (202) 395–5806. Please report. The scoping process is designed contribution the action will make provide a copy of your comments to to elicit comments from the public, towards achieving the purposes for U.S. Geological Survey, Information public agencies, Tribal governments, which the Tijuana Slough National Collections Officer, 12201 Sunrise and other interested parties on the scope Wildlife Refuge was established, while Valley Drive, MS 159, Reston, VA _ of the draft environmental impact also contributing to the mission and 20192; or by email to gs-info statement. All interested parties are goals of the National Wildlife Refuge [email protected]. Please reference encouraged to provide written System. OMB Control Number 1028–0053 in the subject line of your comments. comments and to participate in Public Availability of Comments upcoming public scoping meetings. The FOR FURTHER INFORMATION CONTACT: To details about upcoming public scoping Before including your address, phone request additional information about meetings will be posted on the Tijuana number, email address, or other this ICR, contact Elizabeth S. Sangine by Slough National Wildlife Refuge website personal identifying information in your email at [email protected], or by at www.fws.gov/refuge/Tijuana_Slough/ comment, you should be aware that telephone at 703–648–7720. You may what_we_do/resource_management your entire comment—including your also view the ICR at https:// .html (click on ‘‘TETRP II Phase I’’). personal identifying information—may www.reginfo.gov/public/do/PRAMain. be made publicly available at any time. Requests to be contacted about SUPPLEMENTARY INFORMATION: In While you can ask us in your comment scheduled scoping opportunities should accordance with the Paperwork to withhold your personal identifying be submitted via any of the contact Reduction Act of 1995, we provide the information from public review, we methods provided under ADDRESSES or general public and other Federal cannot guarantee that we will be able to FOR FURTHER INFORMATION CONTACT, agencies with an opportunity to do so. above. comment on new, proposed, revised, Request for Identification of Potential Authority and continuing collections of Alternatives, Information, and This document is published under the information. This helps us assess the Analyses Relevant to the Proposed authority of the National Environmental impact of our information collection Action Policy Act regulations pertaining to the requirements and minimize the public’s reporting burden. It also helps the The Service requests comments publication of a notice of intent to issue public understand our information concerning the scope of the analysis and an environmental impact statement (40 collection requirements and provide the identification of relevant information CFR 1501.9(d)). requested data in the desired format. and studies. All interested parties are Martha Maciel, A Federal Register notice with a 60- invited to provide input related to the day public comment period soliciting identification of potential alternatives, Acting Regional Director, Sacramento, California. comments on this collection of information, and analyses relevant to information was published on October the Proposed Action in writing or [FR Doc. 2021–11251 Filed 5–26–21; 8:45 am] 29, 2020, 85 FR 68592. We did not during the public scoping meeting. All BILLING CODE 4333–15–P receive any public comments in written comments should be submitted response to that notice. via any of the methods provided under DEPARTMENT OF THE INTERIOR We are again soliciting comments on ADDRESSES. the proposed ICR that is described Lead and Cooperating Agencies Geological Survey below. We are especially interested in The Service is the lead agency for the [GX21LR000F60100; OMB Control Number public comments addressing the environmental impact statement, and 1028–0053] following issues: (1) Is the collection the U.S. Army Corps of Engineers will necessary to the proper functions of the participate as a cooperating agency. The Agency Information Collection USGS; (2) will this information be California Department of Parks and Activities; Submission to the Office of processed and used in a timely manner; Recreation will serve as the lead State Management and Budget for Review (3) is the estimate of burden accurate; agency for those components of the and Approval; Nonferrous Metals (4) how might the USGS enhance the project that are under the jurisdiction of Surveys quality, utility, and clarity of the information to be collected; and (5) how the State of California. AGENCY: U.S. Geological Survey (USGS), might the USGS minimize the burden of Interior. Decision Maker this collection on the respondents, ACTION: The Decision Maker is the Service’s Notice of information collection; including through the use of Regional Director for the Department of request for comment. information technology. Comments that you submit in the Interior Region 8. SUMMARY: In accordance with the response to this notice are a matter of Paperwork Reduction Act of 1995, we, Nature of Decision To Be Made public record. Before including your the U.S. Geological Survey (USGS) are The Regional Director, after address, phone number, email address, proposing to renew an Information considering the analysis and or other personal identifying Collection. information provided in the final information in your comment, you environmental impact statement, as well DATES: Interested persons are invited to should be aware that your entire as the comments received throughout submit comments on or before June 28, comment—including your personal the review process, will select the 2021. identifying information—may be made alternative that best achieves the ADDRESSES: Send your comments on publicly available at any time. While purpose and need for the intended this Information Collection Request you can ask us in your comment to VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28641 withhold your personal identifying INTERNATIONAL TRADE Automobili Lamborghini America, LLC information from public review, we COMMISSION of Herndon, VA; Automobili cannot guarantee that we will be able to Lamborghini S.p.A. of Italy; Porsche AG do so. Notice of Receipt of Complaint; of Germany; Porsche Cars North Abstract: Respondents to these forms Solicitation of Comments Relating to America, Inc. of Atlanta, GA; Daimler supply the USGS with domestic the Public Interest AG of Germany; Mercedes-Benz USA, LLC of Sandy Springs, GA; Bayerische production and consumption data for 22 AGENCY: U.S. International Trade ores, concentrates, and metals, some of Commission. Motoren Werke AG of Germany; BMW which are considered strategic and of North America, LLC of Woodcliff, NJ; ACTION: Notice. critical to assist in determining National General Motors Company of Detroit, MI; Defense Stockpile goals. These data and SUMMARY: Notice is hereby given that and General Motors LLC of Detroit, MI. derived information will be published the U.S. International Trade The complainant requests that the as chapters in Minerals Yearbooks, Commission has received a complaint Commission issue a limited exclusion monthly Mineral Industry Surveys, entitled Certain Power Inverters and order, cease and desist orders, and annual Mineral Commodity Summaries, Converters, Vehicles Containing the impose a bond upon respondent alleged and special publications, for use by Same, and Components Thereof, DN infringing articles during the 60-day Government agencies, industry 3548; the Commission is soliciting Presidential review period pursuant to education programs, and the general comments on any public interest issues 19 U.S.C. 1337(j). public. raised by the complaint or Proposed respondents, other Title of Collection: Nonferrous Metals complainant’s filing pursuant to the interested parties, and members of the Surveys. Commission’s Rules of Practice and public are invited to file comments on OMB Control Number: 1028–0053. Procedure. any public interest issues raised by the complaint or § 210.8(b) filing. Form Number: Various, 27 forms. FOR FURTHER INFORMATION CONTACT: Lisa Type of Review: Extension of a Comments should address whether R. Barton, Secretary to the Commission, issuance of the relief specifically currently approved collection. U.S. International Trade Commission, requested by the complainant in this Respondents/Affected Public: 500 E Street SW, Washington, DC investigation would affect the public Business or Other-For-Profit 20436, telephone (202) 205–2000. The health and welfare in the United States, Institutions: U.S. nonfuel minerals public version of the complaint can be competitive conditions in the United producers and consumers of nonferrous accessed on the Commission’s States economy, the production of like metals and related materials. Electronic Document Information or directly competitive articles in the Total Estimated Number of Annual System (EDIS) at https://edis.usitc.gov. United States, or United States Respondents: 1,488. For help accessing EDIS, please email consumers. [email protected]. Total Estimated Number of Annual In particular, the Commission is General information concerning the Responses: 4,934. interested in comments that: Commission may also be obtained by Estimated Completion Time per (i) Explain how the articles accessing its internet server at United Response: For each form, we will potentially subject to the requested States International Trade Commission include an average burden time ranging remedial orders are used in the United (USITC) at https://www.usitc.gov. The from 20 minutes to 90 minutes. States; Total Estimated Number of Annual public record for this investigation may (ii) identify any public health, safety, Burden Hours: 3,575. be viewed on the Commission’s or welfare concerns in the United States Respondent’s Obligation: Voluntary. Electronic Document Information relating to the requested remedial Frequency of Collection: Monthly, System (EDIS) at https://edis.usitc.gov. orders; Quarterly, or Annually. Hearing-impaired persons are advised (iii) identify like or directly Total Estimated Annual Nonhour that information on this matter can be competitive articles that complainant, Burden Cost: There are no ‘‘nonhour obtained by contacting the its licensees, or third parties make in the cost’’ burdens associated with this IC. Commission’s TDD terminal on (202) United States which could replace the An agency may not conduct or 205–1810. subject articles if they were to be sponsor and a person is not required to SUPPLEMENTARY INFORMATION: The excluded; respond to a collection of information Commission has received a complaint (iv) indicate whether complainant, unless it displays a currently valid OMB and a submission pursuant to § 210.8(b) complainant’s licensees, and/or third control number. of the Commission’s Rules of Practice party suppliers have the capacity to The authorities for this action are the and Procedure filed on behalf of Arigna replace the volume of articles Paperwork Reduction Act of 1995 (44 Technology Limited on May 21, 2021. potentially subject to the requested U.S.C. 3501 et seq.), the National The complaint alleges violations of exclusion order and/or a cease and Materials and Minerals Policy, Research section 337 of the Tariff Act of 1930 (19 desist order within a commercially and Development Act of 1980 (30 U.S.C. U.S.C. 1337) in the importation into the reasonable time; and 1601 et seq.), the National Mining and United States, the sale for importation, (v) explain how the requested Minerals Policy Act of 1970 (30 U.S.C. and the sale within the United States remedial orders would impact United 21(a)), the Strategic and Critical after importation of certain power States consumers. Materials Stock Piling Act (50 U.S.C. 98 inverters and converters, vehicles Written submissions on the public et seq.), and the Defense Production Act containing the same, and components interest must be filed no later than by (50 U.S.C. 2061 et seq.). thereof. The complainant names as close of business, eight calendar days respondents: Volkswagen AG, Germany; after the date of publication of this Michael Magyar, Volkswagen Group of America, Inc. of notice in the Federal Register. There Associate Director, National Minerals Herndon, VA; Audi AG of Germany; will be further opportunities for Information Center, U.S. Geological Survey. Audi of America, LLC of Herndon, VA; comment on the public interest after the [FR Doc. 2021–11268 Filed 5–26–21; 8:45 am] Bentley Motors Limited of England; issuance of any final initial BILLING CODE 4338–11–P Bentley Motors, Inc. of Reston, VA; determination in this investigation. Any VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28642 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices written submissions on other issues personnel,2 solely for cybersecurity OMB is particular interested in must also be filed by no later than the purposes. All nonconfidential written comments that help the agency to: close of business, eight calendar days submissions will be available for public • Evaluate whether the proposed after publication of this notice in the inspection at the Office of the Secretary collection of information is necessary Federal Register. Complainant may file and on EDIS.3 for the proper performance of the replies to any written submissions no This action is taken under the functions of the agency, including later than three calendar days after the authority of section 337 of the Tariff Act whether the information will have date on which any initial submissions of 1930, as amended (19 U.S.C. 1337), practical utility; • were due. No other submissions will be and of §§ 201.10 and 210.8(c) of the Evaluate the accuracy of the accepted, unless requested by the Commission’s Rules of Practice and agency’s estimate of the burden of the Commission. Any submissions and Procedure (19 CFR 201.10, 210.8(c)). proposed collection of information, replies filed in response to this Notice By order of the Commission. including the validity of the methodology and assumptions used; are limited to five (5) pages in length, Issued: May 24, 2021. • inclusive of attachments. Enhance the quality, utility, and Lisa Barton, clarity of the information to be Persons filing written submissions Secretary to the Commission. collected; and must file the original document [FR Doc. 2021–11254 Filed 5–26–21; 8:45 am] • Minimize the burden of the electronically on or before the deadlines BILLING CODE 7020–02–P collection of information on those who stated above. Submissions should refer are to respond, including through the to the docket number (‘‘Docket No. use of appropriate automated, 3548’’) in a prominent place on the electronic, mechanical, or other NATIONAL FOUNDATION ON THE cover page and/or the first page. (See technological collection techniques or ARTS AND THE HUMANITIES Handbook for Electronic Filing other forms of information technology Procedures, Electronic Filing Institute of Museum and Library (e.g., permitting electronic submission Procedures 1). Please note the Services of responses). Secretary’s Office will accept only ADDRESSES: Written comments and electronic filings during this time. Submission for OMB Review, recommendations for proposed Filings must be made through the Comment Request, Proposed information collection requests should Commission’s Electronic Document Collection: 2022–2024 IMLS Museums be sent within 30 days of publication of Information System (EDIS, https:// Empowered Notice of Funding this Notice to www.reginfo.gov/public/ edis.usitc.gov.) No in-person paper- Opportunity do/PRAMain. Find this particular based filings or paper copies of any information collection request by AGENCY: electronic filings will be accepted until Institute of Museum and selecting ‘‘Institute of Museum and further notice. Persons with questions Library Services, National Foundation Library Services’’ under ‘‘Currently regarding filing should contact the for the Arts and the Humanities. Under Review;’’ then check ‘‘Only Show Secretary at [email protected]. ACTION: Submission for OMB Review, ICR for Public Comment’’ checkbox. comment request. Any person desiring to submit a Once you have found this information collection request, select ‘‘Comment,’’ document to the Commission in SUMMARY: The Institute of Museum and and enter or upload your comment and confidence must request confidential Library Services announces the information. Alternatively, please mail treatment. All such requests should be following information collection has your written comments to Office of directed to the Secretary to the been submitted to the Office of Information and Regulatory Affairs, Commission and must include a full Management and Budget (OMB) for Attn.: OMB Desk Officer for Education, statement of the reasons why the review and approval in accordance with Office of Management and Budget, Commission should grant such the Paperwork Reduction Act. This Room 10235, Washington, DC 20503, or treatment. See 19 CFR 201.6. Documents program helps to ensure that requested call (202) 395–7316. for which confidential treatment by the data can be provided in the desired Commission is properly sought will be format, reporting burden (time and FOR FURTHER INFORMATION CONTACT: treated accordingly. All information, financial resources) is minimized, Mark Isaksen, Supervisory Grants including confidential business collection instruments are clearly Management Specialist, Office of information and documents for which understood, and the impact of collection Museum Services, Institute of Museum confidential treatment is properly requirements on respondents can be and Library Services, 955 L’Enfant Plaza sought, submitted to the Commission for properly assessed. The purpose of this North SW, Suite 4000, Washington, DC purposes of this Investigation may be Notice is to solicit comments about this 20024–2135. Mr. Isaksen can be reached disclosed to and used: (i) By the assessment process, instructions, and by telephone at 202–653–4667, or by Commission, its employees and Offices, data collections. email at [email protected]. Office and contract personnel (a) for A copy of the proposed information hours are from 8:30 a.m. to 5 p.m., E.T., developing or maintaining the records collection request can be obtained by Monday through Friday, except Federal of this or a related proceeding, or (b) in contacting the individual listed below holidays. Persons who are deaf or hard internal investigations, audits, reviews, in the ADDRESSES section of this notice. of hearing (TTY users) can contact IMLS via Federal Relay at 800–877–8339. and evaluations relating to the DATES: Written comments must be programs, personnel, and operations of submitted to the office listed in the SUPPLEMENTARY INFORMATION: The the Commission including under 5 ADDRESSES section below on or before Institute of Museum and Library U.S.C. Appendix 3; or (ii) by U.S. June 26, 2021. Services (IMLS) is the primary source of government employees and contract federal support for the nation’s libraries and museums. We advance, support, 2 All contract personnel will sign appropriate 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. and empower America’s museums, https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System libraries, and related organizations filing_procedures.pdf. (EDIS): https://edis.usitc.gov. through grant making, research, and VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28643 policy development. To learn more, understood, and the impact of collection or by email at [email protected]. visit www.imls.gov. requirements on respondents can be Office hours are from 8:30 a.m. to 5 Current Actions: This action is to properly assessed. The purpose of this p.m., E.T., Monday through Friday, renew the forms and instructions for the Notice is to solicit comments about this except Federal holidays. Persons who Notice of Funding Opportunities for the assessment process, instructions, and are deaf or hard of hearing (TTY users) next three years. The 60-Day Notice was data collections. can contact IMLS via Federal Relay at published in the Federal Register on A copy of the proposed information 800–877–8339. January 8, 2021 (86 FR 1538). No collection request can be obtained by comments were received. contacting the individual listed below SUPPLEMENTARY INFORMATION: The Agency: Institute of Museum and in the ADDRESSES section of this notice. Institute of Museum and Library Library Services. DATES: Written comments must be Services (IMLS) is the primary source of Title of Collection: 2022–2024 IMLS submitted to the office listed in the federal support for the nation’s libraries Museums Empowered Notice of ADDRESSES section below on or before and museums. We advance, support, Funding Opportunity. June 26, 2021. and empower America’s museums, OMB Control Number: 3137–0107. OMB is particular interested in libraries, and related organizations Agency Number: 3137. comments that help the agency to: through grant making, research, and Affected Public: Museums that meet • Evaluate whether the proposed policy development. To learn more, the IMLS Museums for America collection of information is necessary visit www.imls.gov. institutional eligibility criteria. for the proper performance of the Current Actions: This action is to Total Estimated Number of Annual functions of the agency, including renew the forms and instructions for the Responses: 75. whether the information will have Notice of Funding Opportunities for the Frequency of Response: Once per practical utility; year. • Evaluate the accuracy of the next three years. The 60-Day Notice was Average Hours per Response: 40. agency’s estimate of the burden of the published in the Federal Register on Total Estimated Number of Annual proposed collection of information, January 8, 2021 (86 FR 1534). No Burden Hours: 3,000. including the validity of the comments were received. Total Annual Cost Burden: methodology and assumptions used; Agency: Institute of Museum and $88,920.00. • Enhance the quality, utility, and Library Services. Total Annual Federal Costs: clarity of the information to be Title of Collection: 2022–2024 IMLS $9,785.96. collected; and National Leadership Grants for • Minimize the burden of the Dated: May 24, 2021. Museums and IMLS Museums for Kim Miller, collection of information on those who are to respond, including through the America Program Notices of Funding Senior Grants Management Specialist, Opportunity. Institute of Museum and Library Services. use of appropriate automated, [FR Doc. 2021–11220 Filed 5–26–21; 8:45 am] electronic, mechanical, or other OMB Control Number: 3137–0094. technological collection techniques or BILLING CODE 7036–01–P Agency Number: 3137. other forms of information technology (e.g., permitting electronic submission Affected Public: Museum organization applicants. NATIONAL FOUNDATION ON THE of responses). ARTS AND THE HUMANITIES ADDRESSES: Written comments and Total Estimated Number of Annual recommendations for proposed Responses: 455. Institute of Museum and Library information collection requests should Frequency of Response: Once per Services be sent within 30 days of publication of year. this Notice to www.reginfo.gov/public/ Average Hours per Response: 45. Submission for OMB Review, do/PRAMain. Find this particular Comment Request, Proposed information collection request by Total Estimated Number of Annual Collection: 2022–2024 IMLS National selecting ‘‘Institute of Museum and Burden Hours: 20,475. Leadership Grants for Museums and Library Services’’ under ‘‘Currently IMLS Museums for America Program Total Annual Cost Burden: Under Review;’’ then check ‘‘Only Show $606,879.00. Notices of Funding Opportunity ICR for Public Comment’’ checkbox. Once you have found this information Total Annual Federal Costs: AGENCY: Institute of Museum and $59,295.48. Library Services, National Foundation collection request, select ‘‘Comment,’’ for the Arts and the Humanities. and enter or upload your comment and Dated: May 24, 2021. information. Alternatively, please mail ACTION: Submission for OMB review, Kim Miller, your written comments to Office of comment request. Senior Grants Management Specialist, Information and Regulatory Affairs, Institute of Museum and Library Services. SUMMARY: The Institute of Museum and Attn.: OMB Desk Officer for Education, [FR Doc. 2021–11221 Filed 5–26–21; 8:45 am] Office of Management and Budget, Library Services announces the BILLING CODE 7036–01–P following information collection has Room 10235, Washington, DC 20503, or been submitted to the Office of call (202) 395–7316. Management and Budget (OMB) for FOR FURTHER INFORMATION CONTACT: review and approval in accordance with Helen Wechsler, Supervisory Grants the Paperwork Reduction Act. This Management Specialist, Office of program helps to ensure that requested Museum Services, Institute of Museum data can be provided in the desired and Library Services, 955 L’Enfant Plaza format, reporting burden (time and North SW, Suite 4000, Washington, DC financial resources) is minimized, 20024–2135. Ms. Wechsler can be collection instruments are clearly reached by telephone at 202–653–4779, VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00119 Fmt 4703 Sfmt 9990 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28644 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices NATIONAL FOUNDATION ON THE other forms of information technology Agency: Institute of Museum and ARTS AND THE HUMANITIES (e.g., permitting electronic submission Library Services. of responses). Title of Collection: 2022–2024 IMLS Institute of Museum and Library ADDRESSES: Written comments and Museum Grants for African American Services recommendations for proposed History and Culture Program and IMLS information collection requests should Native American/Native Hawaiian Submission for OMB Review, Museum Services Program Notices of Comment Request, Proposed be sent within 30 days of publication of this Notice to www.reginfo.gov/public/ Funding Opportunity. Collection: 2022–2024 IMLS Museum OMB Control Number: 3137–0095. Grants for African American History do/PRAMain. Find this particular information collection request by Agency Number: 3137. and Culture Program and IMLS Native Affected Public: Eligible museum selecting ‘‘Institute of Museum and American/Native Hawaiian Museum organizations; Historically Black Library Services’’ under ‘‘Currently Services Program Notices of Funding Colleges and Universities; Federally Under Review;’’ then check ‘‘Only Show Opportunity recognized Native American tribes; non- ICR for Public Comment’’ checkbox. profits that primarily serve Native AGENCY: Institute of Museum and Once you have found this information Hawaiians. Library Services, National Foundation collection request, select ‘‘Comment,’’ Total Estimated Number of Annual for the Arts and the Humanities. and enter or upload your comment and Responses: 95. information. Alternatively, please mail ACTION: Submission for OMB review, Frequency of Response: Annually. comment request. your written comments to Office of Average Hours per Response: 35. Information and Regulatory Affairs, SUMMARY: The Institute of Museum and Total Estimated Number of Annual Attn.: OMB Desk Officer for Education, Burden Hours: 3,325. Library Services announces the Office of Management and Budget, following information collection has Total Annual Cost Burden: $98,553. Room 10235, Washington, DC 20503, or Total Annual Federal Costs: been submitted to the Office of call (202) 395–7316. Management and Budget (OMB) for $14,763.74. FOR FURTHER INFORMATION CONTACT: review and approval in accordance with For Dated: May 24, 2021. IMLS Museum Grants for African the Paperwork Reduction Act. This Kim Miller, American History and Culture Program, program helps to ensure that requested Senior Grants Management Specialist, contact Mark Isaksen, Supervisory data can be provided in the desired Institute of Museum and Library Services. format, reporting burden (time and Grants Management Specialist, Office of Museum Services, Institute of Museum [FR Doc. 2021–11218 Filed 5–26–21; 8:45 am] financial resources) is minimized, BILLING CODE 7036–01–P collection instruments are clearly and Library Services, 955 L’Enfant Plaza understood, and the impact of collection North SW, Suite 4000, Washington, DC requirements on respondents can be 20024–2135. Mr. Isaksen can be reached NATIONAL FOUNDATION ON THE properly assessed. The purpose of this by telephone at 202–653–4667, or by ARTS AND THE HUMANITIES Notice is to solicit comments about this email at [email protected]. For IMLS assessment process, instructions, and Native American/Native Hawaiian Institute of Museum and Library data collections. Museum Services Program, contact Services A copy of the proposed information Mark Feitl, Senior Program Officer, collection request can be obtained by Office of Museum Services, Institute of Submission for OMB Review, contacting the individual listed below Museum and Library Services, 955 Comment Request, Proposed L’Enfant Plaza North SW, Suite 4000, Collection: 2022–2024 IMLS Inspire! in the ADDRESSES section of this notice. Washington, DC 20024–2135. Mr. Feitl Grants for Small Museums Notice of DATES: Written comments must be can be reached by telephone at 202– Funding Opportunity submitted to the office listed in the 653–4635, or by email at mfeitl@ ADDRESSES section below on or before imls.gov. Office hours are from 8:30 a.m. AGENCY: Institute of Museum and June 26, 2021. to 5 p.m., E.T., Monday through Friday, Library Services, National Foundation OMB is particular interested in except Federal holidays. Persons who for the Arts and the Humanities. comments that help the agency to: ACTION: Submission for OMB review, • are deaf or hard of hearing (TTY users) Evaluate whether the proposed can contact IMLS via Federal Relay at comment request. collection of information is necessary 800–877–8339. for the proper performance of the SUMMARY: The Institute of Museum and functions of the agency, including SUPPLEMENTARY INFORMATION: The Library Services announces the whether the information will have Institute of Museum and Library following information collection has practical utility; Services (IMLS) is the primary source of been submitted to the Office of • Evaluate the accuracy of the federal support for the nation’s libraries Management and Budget (OMB) for agency’s estimate of the burden of the and museums. We advance, support, review and approval in accordance with proposed collection of information, and empower America’s museums, the Paperwork Reduction Act. This including the validity of the libraries, and related organizations program helps to ensure that requested methodology and assumptions used; through grant making, research, and data can be provided in the desired • Enhance the quality, utility, and policy development. To learn more, format, reporting burden (time and clarity of the information to be visit www.imls.gov. financial resources) is minimized, collected; and Current Actions: This action is to collection instruments are clearly • Minimize the burden of the renew the forms and instructions for the understood, and the impact of collection collection of information on those who Notice of Funding Opportunities for the requirements on respondents can be are to respond, including through the next three years. The 60-Day Notice was properly assessed. The purpose of this use of appropriate automated, published in the Federal Register on Notice is to solicit comments about this electronic, mechanical, or other January 8, 2021 (86 FR 1541). No assessment process, instructions, and technological collection techniques or comments were received. data collections. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28645 A copy of the proposed information SUPPLEMENTARY INFORMATION: The Assessment Surveys, and custom collection request can be obtained by Institute of Museum and Library Program Evaluation surveys as a part of contacting the individual listed below Services (IMLS) is the primary source of this collection. Approval of the in the ADDRESSES section of this notice. federal support for the nation’s libraries organizational surveys is necessary to DATES: Written comments must be and museums. We advance, support, collect information on Federal agency submitted to the office listed in the and empower America’s museums, and program performance, climate, ADDRESSES section below on or before libraries, and related organizations engagement, and leadership June 26, 2021. through grant making, research, and effectiveness. OMB is particular interested in policy development. To learn more, DATES: Comments are encouraged and comments that help the agency to: visit www.imls.gov. will be accepted until June 28, 2021. • Current Actions: This action is to Evaluate whether the proposed ADDRESSES: Interested persons are collection of information is necessary renew the forms and instructions for the invited to submit written comments on for the proper performance of the Notice of Funding Opportunities for the the proposed information collection to functions of the agency, including next three years. The 60-Day Notice was the Office of Information and Regulatory whether the information will have published in the Federal Register on Affairs, Office of Management and practical utility; January 8, 2021 (86 FR 1537). One Budget, 725 17th Street NW, • Evaluate the accuracy of the comment was received. Washington, DC 20503, Attention: Desk agency’s estimate of the burden of the Agency: Institute of Museum and Officer for the Office of Personnel proposed collection of information, Library Services. Management or sent via electronic mail Title of Collection: 2022–2024 IMLS including the validity of the to [email protected] or Inspire! Grants for Small Museums methodology and assumptions used; faxed to (202) 395–6974. • Enhance the quality, utility, and Notice of Funding Opportunity. FOR FURTHER INFORMATION CONTACT: A clarity of the information to be OMB Control Number: 3137–0111. Agency Number: 3137. copy of this ICR, with applicable collected; and supporting documentation, may be • Minimize the burden of the Affected Public: Eligible museum obtained by contacting the Office of collection of information on those who organizations. Information and Regulatory Affairs, are to respond, including through the Total Estimated Number of Annual Office of Management and Budget, 725 use of appropriate automated, Responses: 230. 17th Street NW, Washington, DC 20503, electronic, mechanical, or other Frequency of Response: Once per Attention: Desk Officer for the Office of technological collection techniques or year. Personnel Management or sent via other forms of information technology Average Hours per Response: 35. Total Estimated Number of Annual electronic mail to oira_submission@ (e.g., permitting electronic submission Burden Hours: 8,050. omb.eop.gov or faxed to (202) 395–6974. of responses). Total Annual Cost Burden: SUPPLEMENTARY INFORMATION: As ADDRESSES: Written comments and $238,602.00. required by the Paperwork Reduction recommendations for proposed Total Annual Federal Costs: Act of 1995, (Pub. L. 104–13, 44 U.S.C. information collection requests should $29,501.71. chapter 35) as amended by the Clinger- be sent within 30 days of publication of Cohen Act (Pub. L. 104–106), OPM is this Notice to www.reginfo.gov/public/ Dated: May 24, 2021. soliciting comments for this collection. do/PRAMain. Find this particular Kim Miller, The information collection was information collection request by Senior Grants Management Specialist, previously published in the Federal selecting ‘‘Institute of Museum and Institute of Museum and Library Services. Register on April 26, 2021 at 86 FRN Library Services’’ under ‘‘Currently [FR Doc. 2021–11219 Filed 5–26–21; 8:45 am] 11803 allowing for a 60-day public Under Review;’’ then check ‘‘Only Show BILLING CODE 7036–01–P comment period. No comments were ICR for Public Comment’’ checkbox. received for this information collection Once you have found this information (OMB No. 3206–0252). The purpose of collection request, select ‘‘Comment,’’ OFFICE OF PERSONNEL this notice is to allow an additional and enter or upload your comment and MANAGEMENT 30-days for public comments. information. Alternatively, please mail Comment Request for Review of a Comments are particularly invited on: your written comments to Office of 1. Whether the proposed collection of Information and Regulatory Affairs, Revised Information Collection: Organizational Surveys information is necessary for the proper Attn.: OMB Desk Officer for Education, performance of the functions of the Office of Management and Budget, AGENCY: Office of Personnel agency, including whether the Room 10235, Washington, DC 20503, or Management. information will have practical utility; call (202) 395–7316. ACTION: 30-Day notice and request for 2. Whether our estimate of the public FOR FURTHER INFORMATION CONTACT: comments. burden of this collection is accurate, Reagan Moore, Senior Program Officer, and based on valid assumptions and Office of Museum Services, Institute of SUMMARY: The Office of Personnel methodology; and Museum and Library Services, 955 Management (OPM) intends to submit to 3. Ways in which we can minimize L’Enfant Plaza North SW, Suite 4000, the Office of Management and Budget the burden of the collection of Washington, DC 20024–2135. Ms. (OMB) a request for review of a information on those who are to Moore can be reached by telephone at currently approved collection, respond, through the use of the 202–653–4637, or by email at rmoore@ Organizational Surveys. OPM is appropriate technological collection imls.gov. Office hours are from 8:30 a.m. requesting approval of Organizational techniques or other forms of information to 5 p.m., E.T., Monday through Friday, Assessment Surveys, Supplemental technology. except Federal holidays. Persons who OPM Federal Employee Viewpoint OPM’s Human Resources Strategy and are deaf or hard of hearing (TTY users) Surveys, Exit Surveys, New Leaders Evaluation Solutions performs can contact IMLS via Federal Relay at Onboarding Assessments, New assessment and related consultation 800–877–8339. Employee Surveys, Training Needs activities for Federal agencies on a VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28646 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices reimbursable basis. The assessments are 3206–0252 are almost always the Exchange, and at the Commission’s authorized by various statutes and administered electronically. Public Reference Room. regulations: Section 4702 of Title 5, Analysis II. Self-Regulatory Organization’s U.S.C; E.O. 12862; E.O. 13715; Section Statement of the Purpose of, and 1128 of the National Defense Agency: Human Resources Strategy and Evaluation Solutions, Office of Statutory Basis for, the Proposed Rule Authorization Act for Fiscal Year 2004, Change Public Law 108–136; 5 U.S.C. 1101 note, Personnel Management. 1103(a)(5), 1104, 1302, 3301, 3302, Title: Organizational Surveys. In its filing with the Commission, the 4702, 7701 note; E.O. 13197, 66 FR OMB: 3206–0252. self-regulatory organization included 7853, 3 CFR 748 (2002); E.O. 10577, 12 Frequency: On occasion. statements concerning the purpose of, FR 1259, 3 CFR, 1954–1958 Comp., p. Affected Public: Government and basis for, the proposed rule change 218; and Section 4703 of Title 5, United contractors and individuals. and discussed any comments it received States Code. Number of Respondents: on the proposed rule change. The text of those statements may be examined at This collection request includes approximately 78,780. the places specified in Item IV below. surveys we currently use and plan to Estimated Time per Respondent: The Exchange has prepared summaries, use during the next three years to 10.62 minutes. set forth in sections A, B, and C below, measure agency performance, climate, Total Burden Hours: 13,944 hours. of the most significant parts of such engagement, and leadership Office of Personnel Management. statements. effectiveness. OMB No. 3206–0252 Alexys Stanley, covers a broad range of surveys all Director, Office of Privacy and Information A. Self-Regulatory Organization’s focused on improving organizational Management. Statement of the Purpose of, and the performance. Non-Federal respondents [FR Doc. 2021–11177 Filed 5–26–21; 8:45 am] Statutory Basis for, the Proposed Rule will almost never receive more than one BILLING CODE 6325–43–P Change of these surveys. All of these surveys 1. Purpose consist of Likert-type, mark-one, and mark-all-that-apply items, and may Under NYSE Arca Rule 8.201–E, the SECURITIES AND EXCHANGE Exchange may propose to list and/or include a small number of open-ended COMMISSION comment items. Organizational trade pursuant to unlisted trading Assessment Surveys (OAS) typically [Release No. 34–91962; File No. SR– privileges ‘‘Commodity-Based Trust 4 include a customized set of 50–150 NYSEArca–2021–37] Shares.’’ The Exchange proposes to list standard items pulled from an item and trade shares of the Trust (the bank of nearly 500 items and a small set Self-Regulatory Organizations; NYSE ‘‘Shares’’) pursuant to NYSE Arca Rule 5 of 5–10 custom items developed to meet Arca, Inc.; Notice of Filing of Proposed 8.201–E. the agency’s specific needs. OPM’s Rule Change To List and Trade Shares The sponsor of the Trust is First Trust Advisors L.P. (the ‘‘Sponsor’’ or Human Resources Strategy and of the First Trust SkyBridge Bitcoin ‘‘Advisor’’). The sub-adviser for the trust Evaluation Solutions administers a ETF Trust Under NYSE Arca Rule is SkyBridge Capital II, LLC (the ‘‘Sub- supplemental OPM Federal Employee 8.201–E Advisor’’). The trustee for the Trust is Viewpoint Survey (Supplemental OPM May 21, 2021. Delaware Trust Company (the FEVS), a type of organizational Pursuant to Section 19(b)(1) 1 of the ‘‘Trustee’’). The Bank of New York assessment survey, to employee groups Securities Exchange Act of 1934 (the Mellon is the transfer agent of the Trust not covered by the official OPM FEVS ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 (in such capacity, the ‘‘Transfer Agent’’) administration. Exit Surveys consist of notice is hereby given that, on May 6, and the administrator of the Trust (in approximately 100 items that assess 2021, NYSE Arca, Inc. (‘‘NYSE Arca’’ or such capacity, the ‘‘Administrator’’). reasons why employees decided to leave the ‘‘Exchange’’) filed with the The bitcoin custodian for the Trust is their organization. Customization is Securities and Exchange Commission NYDIG Trust Company LLC (the possible. The New Leaders Onboarding (the ‘‘Commission’’) the proposed rule ‘‘Bitcoin Custodian’’). Assessment (NLOA) is a combined change as described in Items I, II, and The Trust is a Delaware statutory assessment consisting of approximately III below, which Items have been trust, organized on March 12, 2021, that 100 items, including items measuring prepared by the self-regulatory operates pursuant to a trust agreement organizational climate, employee organization. The Commission is between the Advisor and the Trustee engagement, and leadership. New publishing this notice to solicit (the ‘‘Trust Agreement’’). The Trust has Employee Surveys consist of comments on the proposed rule change no fixed termination date. approximately 100 items that assess from interested persons. satisfaction with the hiring, orientation, Background and socialization of new employees. I. Self-Regulatory Organization’s As discussed in further detail below,6 Training Needs Assessment Surveys Statement of the Terms of Substance of bitcoin is a digital asset based on the consist of approximately 100 items that the Proposed Rule Change decentralized, open source protocol of assess an agency’s climate for training The Exchange proposes to list and and employees’ training preferences. trade shares of the following under 4 Commodity-Based Trust Shares are securities Program Evaluation surveys evaluate the issued by a trust that represent investors’ discrete NYSE Arca Rule 8.201–E: First Trust identifiable and undivided beneficial ownership effectiveness of government initiatives, SkyBridge Bitcoin ETF Trust (the interest in the commodities deposited into the programs, and offices. Program ‘‘Trust’’). The proposed change is Trust. Evaluation surveys are always available on the Exchange’s website at 5 On March 19, 2021, the Trust filed a registration customized to assess specific program www.nyse.com, at the principal office of statement on Form S–1 under the Securities Act of elements. Program Evaluation surveys 1933 (15 U.S.C. 77a) (the ‘‘Securities Act’’) (File No. 333–254529) and amended such registration may contain from 20 to 200 items, with 1 15 U.S.C. 78s(b)(1). statement on May 6, 2021 (the ‘‘Registration an average of approximately 100 items. 2 15 U.S.C. 78a. Statement’’). The surveys included under OMB No. 3 17 CFR 240.19b–4. 6 See ‘‘The Bitcoin Industry and Market,’’ infra. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28647 the peer-to-peer computer network significant enforcement actions in the emerged to provide fund custodial launched in 2009 that governs the space. The New York Department of services for digital assets, among other creation, movement, and ownership of Financial Services (‘‘NYDFS’’) adopted services. For example, in December bitcoin and hosts the public ledger, or its final BitLicense regulatory 2020, the Commission adopted a ‘‘blockchain,’’ on which all bitcoin framework in 2015, but had only conditional no-action position transactions are recorded (the ‘‘Bitcoin approved four entities to engage in permitting certain special purpose Network’’ or ‘‘Bitcoin’’). The activities relating to virtual currencies broker-dealers to custody digital asset decentralized nature of the Bitcoin (whether through granting a BitLicense securities under Rule 15c3–3 under the Network allows parties to transact or a limited-purpose trust charter) as of Exchange Act; 16 in September 2020, the directly with one another based on June 30, 2016.11 While the first over-the- Staff of the Commission released a no- cryptographic proof instead of relying counter bitcoin fund launched in 2013, action letter permitting certain broker- on a trusted third party. The protocol public trading was limited and the fund dealers to operate a non-custodial also lays out the rate of issuance of new had only $60 million in assets.12 There Alternative Trading System (‘‘ATS’’) for bitcoin within the Bitcoin Network, a were very few, if any, traditional digital asset securities, subject to rate that is reduced by half financial institutions engaged in the specified conditions; 17 in October 2019, approximately every four years with an space, whether through investment or the Staff of the Commission granted eventual hard cap of 21 million. It is providing services to digital asset temporary relief from the clearing generally understood that the companies. In January 2018, the Staff of agency registration requirement to an combination of these two features—a the Commission noted in a letter to the entity seeking to establish a securities systemic hard cap of 21 million bitcoin Investment Company Institute and clearance and settlement system based and the ability to transact trustlessly SIFMA that it was not aware, at that on distributed ledger technology; 18 and with anyone connected to the Bitcoin time, of a single custodian providing multiple transfer agents who provide Network—gives bitcoin its value.7 fund custodial services for digital services for digital asset securities have The first rule filing proposing to list assets.13 registered with the Commission.19 an exchange-traded product to provide As of the first quarter of 2021, the Beyond the Commission’s purview, exposure to bitcoin in the U.S. was digital assets financial ecosystem, the regulatory landscape has also submitted by the Cboe BZX Exchange, including bitcoin, has progressed changed significantly since 2016, and Inc. on June 30, 2016.8 At that time, significantly. The development of a cryptocurrency markets have grown and blockchain technology, and digital regulated market for digital asset evolved as well. The market for bitcoin assets that utilized it, were relatively securities has significantly evolved, is approximately 100 times larger, new to the broader public. The market with market participants having having recently reached a market cap of cap of all bitcoin in existence at that conducted registered public offerings of over $1 trillion. As of February 27, 2021, 14 time was approximately $10 billion. No both digital asset securities and shares bitcoin’s market cap is greater than in investment vehicles holding bitcoin companies such as Facebook, Inc., registered offering of digital asset 15 securities or shares in an investment futures. Additionally, licensed and Berkshire Hathaway Inc., and JP Morgan vehicle with exposure to bitcoin or any regulated service providers have Chase & Co. The number of verified other cryptocurrency had yet been users at Coinbase, the largest U.S.-based ‘commodity’ to include, among other things, ‘all bitcoin exchange, has grown to over 56 conducted, and the regulated services, rights, and interests in which contracts for 20 infrastructure for conducting a digital million. CFTC-regulated bitcoin future delivery are presently or in the future dealt futures (‘‘Bitcoin Futures’’) represented asset securities offering had not begun in.’ 7 U.S.C. 1a(9). The definition of a ‘commodity’ approximately $28 billion in notional to develop.9 Similarly, regulated U.S. is broad. See, e.g., Board of Trade of City of Chicago v. SEC, 677 F.2d 1137, 1142 (7th Cir. 1982). Bitcoin trading volume on the Chicago bitcoin futures contracts did not exist. and other virtual currencies are encompassed in the The Commodity Futures Trading definition and properly defined as commodities.’’ 16 See Securities Exchange Act Release No. 90788, 11 Commission (the ‘‘CFTC’’) had A list of virtual currency businesses that are 86 FR 11627 (February 26, 2021) (File Number entities regulated by the NYDFS is available on the determined that bitcoin is a _ S7–25–20) (Custody of Digital Asset Securities by 10 NYDFS website. See https://www.dfs.ny.gov/apps Special Purpose Broker-Dealers). commodity, but had not engaged in and_licensing/virtual_currency_businesses/ 17 See Letter from Elizabeth Baird, Deputy regulated_entities. Director, Division of Trading and Markets, U.S. 7 12 For additional information about bitcoin and the See Bitcoin Investment Trust Form S–1, dated Securities and Exchange Commission to Kris Bitcoin Network, see https://bitcoin.org/en/getting May 27, 2016, available at: https://www.sec.gov/ Dailey, Vice President, Risk Oversight & started. Archives/edgar/data/1588489/ Operational Regulation, Financial Industry 8 See Order Setting Aside Action by Delegated 000095012316017801/filename1.htm (data as of Regulatory Authority (September 25, 2020), Authority and Disapproving a Proposed Rule March 31, 2016 according to publicly available available at: https://www.sec.gov/divisions/ Change, as Modified by Amendments No. 1 and 2, filings). marketreg/mr-noaction/2020/finra-ats-role-in- to List and Trade Shares of the Winklevoss Bitcoin 13 See Letter from Dalia Blass, Director, Division settlement-of-digital-asset-security-trades- Trust, Securities Exchange Act Release No. 83723 of Investment Management, U.S. Securities and 09252020.pdf. (July 26, 2018), 83 FR 37579 (August 1, 2018) (the Exchange Commission to Paul Schott Stevens, 18 See Letter from Jeffrey S. Mooney, Associate ‘‘Winklevoss II Order’’). This proposal was President & CEO, Investment Company Institute Director, Division of Trading and Markets, U.S. subsequently disapproved by the Commission. See and Timothy W. Cameron, Asset Management Securities and Exchange Commission to Charles G. id. Group—Head, Securities Industry and Financial Cascarilla & Daniel M. Burstein, Paxos Trust 9 Digital assets that are securities under U.S. law Markets Association (January 18, 2018), available Company, LLC (October 28, 2019), available at: are referred to throughout this proposal as ‘‘digital at: https://www.sec.gov/divisions/investment/ https://www.sec.gov/divisions/marketreg/mr- asset securities.’’ All other digital assets, including noaction/2018/cryptocurrency-011818.htm. noaction/2019/paxos-trust-company-102819- bitcoin, are referred to interchangeably as 14 See Prospectus Supplement filed pursuant to 17a.pdf. ‘‘cryptocurrencies’’ or ‘‘virtual currencies.’’ The Rule 424(b)(1) for INX Tokens (Registration No. 19 See, e.g., Form TA–1/A filed by Tokensoft term ‘‘digital assets’’ refers to all digital assets, 333–233363), available at: https://www.sec.gov/ Transfer Agent LLC (CIK: 0001794142) on January including both digital asset securities and Archives/edgar/data/1725882/ 8, 2021, available at: https://www.sec.gov/Archives/ cryptocurrencies, together. 000121390020023202/ea125858-424b1_ edgar/data/1794142/000179414219000001/ 10 See ‘‘In the Matter of Coinflip, Inc.’’ inxlimited.htm. xslFTA1X01/primary_doc.xml. (‘‘Coinflip’’) (CFTC Docket 15–29 (September 17, 15 See Prospectus filed by Stone Ridge Trust VI 20 See, e.g., ‘‘Riding Bitcoin Surge, Coinbase 2015)) (order instituting proceedings pursuant to on behalf of NYDIG Bitcoin Strategy Fund Active Users Grew by 117% in Q1 2021; Revenue Sections 6(c) and 6(d) of the CEA, making findings Registration, available at: https://www.sec.gov/ Tops $1.8B’’ (April 6, 2021), available at: https:// and imposing remedial sanctions), in which the Archives/edgar/data/1764894/ www.coindesk.com/coinbase-q1-earnings-report- CFTC stated: ‘‘Section 1a(9) of the CEA defines 000119312519309942/d693146d497.htm. monthly-active-users. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28648 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Mercantile Exchange (the ‘‘CME’’) in imposing requirements on entities even historically bitcoin skeptical fund December 2020 compared to $737 subject to the BSA that are specific to managers 34 are allocating to bitcoin. million, $1.4 billion, and $3.9 billion in the technological context of virtual The largest over-the-counter bitcoin total trading in December 2017, currencies.26 In addition, the Treasury’s fund previously filed a Form 10 December 2018, and December 2019, Office of Foreign Assets Control registration statement, which the Staff of respectively. Bitcoin Futures traded (‘‘OFAC’’) has brought enforcement the Commission reviewed and which over $1.2 billion per day in December actions over apparent violations of the took effect automatically, and is now a 2020 and represented $1.6 billion in sanctions laws in connection with the reporting company.35 Established open interest compared to $115 million provision of wallet management companies like Tesla, Inc.,36 in December 2019.21 The CFTC has services for digital assets.27 MicroStrategy Incorporated,37 and exercised its regulatory jurisdiction in In addition to the regulatory Square, Inc.,38 among others, have bringing a number of enforcement developments laid out above, more recently announced substantial actions related to bitcoin and against traditional financial market participants investments in bitcoin in amounts as trading platforms that offer appear to be embracing cryptocurrency: large as $1.5 billion (Tesla) and $425 cryptocurrency trading.22 The U.S. Large insurance companies,28 million (MicroStrategy). Office of the Comptroller of the investment banks,29 asset managers,30 Despite these developments, access Currency (the ‘‘OCC’’) has made clear credit card companies,31 university for U.S. retail investors to gain exposure that federally-chartered banks are able endowments,32 pension funds,33 and to bitcoin via a transparent and to provide custody services for regulated exchange-traded vehicle cryptocurrencies and other digital Certain Business Models Involving Convertible remains limited. As investors and assets.23 The OCC recently granted Virtual Currencies), available at: https:// advisors increasingly utilize exchange- www.fincen.gov/sites/default/files/2019-05/FinCEN conditional approval of two charter %20Guidance%20CVC%20FINAL%20508.pdf. traded product (‘‘ETP’’) to manage conversions by state-chartered trust 26 See U.S. Department of the Treasury Press diversified portfolios (including companies to national banks, both of Release: ‘‘The Financial Crimes Enforcement equities, fixed income securities, which provide cryptocurrency custody Network Proposes Rule Aimed at Closing Anti- commodities, and currencies) quickly, 24 Money Laundering Regulatory Gaps for Certain services. NYDFS has granted no fewer Convertible Virtual Currency and Digital Asset easily, relatively inexpensively, tax- than twenty-five BitLicenses, including Transactions’’ (December 18, 2020), available at: efficiently, and without having to hold to established public payment https://home.treasury.gov/news/press-releases/ directly any of the underlying assets, companies like PayPal Holdings, Inc. sm1216. options for bitcoin exposure for U.S. 27 See U.S. Department of the Treasury and Square, Inc., and limited purpose Enforcement Release: ‘‘OFAC Enters Into $98,830 investors remain limited to: (i) Investing trust charters to entities providing Settlement with BitGo, Inc. for Apparent Violations in over-the-counter bitcoin funds (‘‘OTC cryptocurrency custody services. The of Multiple Sanctions Programs Related to Digital Bitcoin Funds’’) that are subject to high U.S. Treasury Financial Crimes Currency Transactions’’ (December 30, 2020), premium/discount volatility (and high available at: https://home.treasury.gov/system/files/ Enforcement Network (‘‘FinCEN’’) has 126/20201230_bitgo.pdf. management fees) to the advantage of released extensive guidance regarding 28 On December 10, 2020, Massachusetts Mutual more sophisticated investors that are the applicability of the Bank Secrecy Life Insurance Company (MassMutual) announced able to purchase shares at net asset Act (‘‘BSA’’) and implementing that it had purchased $100 million in bitcoin for its value (‘‘NAV’’) directly with the issuing general investment account. See MassMutual Press regulations to virtual currency Release ‘‘Institutional Bitcoin provider NYDIG trust; (ii) facing the technical risk, businesses,25 and has proposed rules announces minority stake purchase by complexity, and generally high fees MassMutual’’ (December 10, 2020), available at: associated with buying and storing 21 All statistics and charts included in this https://www.massmutual.com/about-us/news-and- bitcoin directly; or (iii) purchasing proposal with respect to the CME are sourced from press-releases/press-releases/2020/12/institutional- bitcoin-provider-nydig-announces- minority-stake- shares of operating companies that they https://www.cmegroup.com/trading/bitcoin- purchase-by-massmutual. futures.html. In addition, as further discussed believe will provide proxy exposure to 29 below, the Sponsor believes the CME represents a See, e.g., ‘‘Morgan Stanley to Offer Rich Clients regulated market of significant size for purposes of Access to Bitcoin Funds’’ (March 17, 2021) 34 See, e.g., ‘‘Bridgewater: Our Thoughts on addressing the Commission’s concerns about available at: https://www.bloomberg.com/news/ Bitcoin’’ (January 28, 2021) available at: https:// articles/2021-03-17/morgan-stanley-to-offer-rich- potential manipulation of the bitcoin market. www.bridgewater.com/research-and-insights/our- clients-access-to-bitcoin-funds. 22 The CFTC’s annual report for Fiscal Year 2020 thoughts-on-bitcoin and ‘‘Paul Tudor Jones says he 30 See, e.g., ‘‘BlackRock’s Rick Rieder says the (which ended on September 30, 2020) noted that likes bitcoin even more now, rally still in the ‘first world’s largest asset manager has ‘started to dabble’ the CFTC ‘‘continued to aggressively prosecute inning’’’ (October 22, 2020), available at: https:// in bitcoin’’ (February 17, 2021), available at: www.cnbc.com/2020/10/22/-paul-tudor-jones-says- misconduct involving digital assets that fit within https://www.cnbc.com/2021/02/17/blackrock-has- he-likes-bitcoin-even-more-now-rally-still-in-the- the CEA’s definition of commodity’’ and ‘‘brought started-to-dabble-in-bitcoin-says-rick-rieder.html first-inning.html. a record setting seven cases involving digital and ‘‘Guggenheim’s Scott Minerd Says Bitcoin 35 assets.’’ See CFTC FY2020 Division of Enforcement Should Be Worth $400,000’’ (December 16, 2020), See Letter from Division of Corporation Annual Report, available at: https://www.cftc.gov/ available at: https://www.bloomberg.com/news/ Finance, Office of Real Estate & Construction to _ _ _ media/5321/DOE FY2020 AnnualReport 120120/ articles/2020-12-16/guggenheim-s-scott- minerd- Barry E. Silbert, Chief Executive Officer, Grayscale download. Additionally, the CFTC filed on October says-bitcoin-should-be-worth-400-000. Bitcoin Trust (January 31, 2020), available at: 1, 2020, a civil enforcement action against the 31 See, e.g., ‘‘Visa Moves to Allow Payment https://www.sec.gov/Archives/edgar/data/1588489/ owner/operators of the BitMEX trading platform, Settlements Using Cryptocurrency’’ (March 29, 000000000020000953/filename1.pdf. which was one of the largest bitcoin derivative 2021), available at: https://www.reuters.com/ 36 See Form 10–K submitted by Tesla, Inc. for the exchanges. See CFTC Release No. 8270–20 (October business/autos-transportation/exclusive-visa- fiscal year ended December 31, 2020 at 23: https:// 1, 2020), available at: https://www.cftc.gov/ moves-allow-payment-settlements-using- www.sec.gov/ix?doc=/Archives/edgar/data/ PressRoom/PressReleases/8270-20. cryptocurrency-2021-03-29/. 1318605/000156459021004599/tsla-10k_ 23 See OCC News Release 2021–2 (January 4, 32 See, e.g., ‘‘Harvard and Yale Endowments 20201231.htm. 2021), available at: https://www.occ.gov/news- Among Those Reportedly Buying Crypto’’ (January 37 See Form 10–Q submitted by MicroStrategy issuances/news-releases/2021/nr-occ-2021-2.html. 25, 2021), available at: https:// Incorporated for the quarterly period ended 24 See OCC News Release 2021–6 (January 13, www.bloomberg.com/news/articles/2021-01-26/ September 30, 2020 at 8: https://www.sec.gov/ 2021), available at: https://www.occ.gov/news- harvard-and-yale- endowments-among-those- ix?doc=/Archives/edgar/data/1050446/ issuances/news-releases/2021/nr-occ-2021-6.html reportedly-buying-crypto. 000156459020047995/mstr-10q_20200930.htm. and OCC News Release 2021–19 (February 5, 2021), 33 See, e.g., ‘‘Virginia Police Department Reveals 38 See Form 10–Q submitted by Square, Inc. for available at: https://www.occ.gov/news-issuances/ Why its Pension Fund is Betting on Bitcoin’’ the quarterly period ended September 30, 2020 at news-releases/2021/nr-occ-2021-19.html. (February 14, 2019), available at: https:// 51: https://www.sec.gov/ix?doc=/Archives/edgar/ 25 See FinCEN Guidance FIN–2019–G001 (May 9, finance.yahoo.com/news/virginia-police- data/1512673/000151267320000012/sq- 2019) (Application of FinCEN’s Regulations to department-reveals-why-194558505.html. 20200930.htm. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00124 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28649 bitcoin with limited disclosure about through OTC Bitcoin Funds.41 As of the imperfect proxies for bitcoin exposure; the associated risks. Meanwhile, date of this filing, it is anticipated that and (iv) providing an alternative to investors in many other countries, other 1940 Act funds will soon begin to custodying spot bitcoin. pursue bitcoin through other means, including Canada, are able to use more OTC Bitcoin Funds and Premium/ including through put options on traditional exchange listed and traded Discount Volatility products to gain exposure to bitcoin, bitcoin futures contracts and disadvantaging U.S. investors and investments in privately offered pooled OTC Bitcoin Funds are generally leaving them with riskier, more investment vehicles that invest in designed to provide exposure to bitcoin 42 expensive, and less regulated means of bitcoin. In previous statements, the in a manner similar to the Shares. Staff of the Commission has However, unlike the Shares, OTC getting bitcoin exposure.39 acknowledged how such funds can Bitcoin Funds are unable to freely offer For example, the Purpose Bitcoin satisfy their concerns regarding custody, creation and redemption in a way that ETF, a retail physical bitcoin ETP valuation, and manipulation.43 The incentivizes market participants to keep recently launched in Canada, reportedly funds that have already invested in their shares trading in line with their reached $421.8 million in assets under bitcoin instruments have no reported NAV 44 and, as a result, shares of OTC management (‘‘AUM’’) in two days, and issues regarding custody, valuation, or Bitcoin Funds frequently trade at a price has achieved $993 million in assets as manipulation of the instruments held by that is out of line with the value of their of April 14, 2021, demonstrating the these funds. While these funds do offer assets held. Historically, OTC Bitcoin demand for a North American market investors some means of exposure to Funds have traded at a significant listed bitcoin ETP. The Sponsor believes bitcoin, the current offerings fall short of premium to NAV.45 that the demand for the Purpose Bitcoin giving investors an accessible, regulated Trading at a premium or a discount is ETF is driven primarily by investors’ product that provides concentrated not unique to OTC Bitcoin Funds and is desire to have a regulated and accessible exposure to bitcoin. not in itself problematic, but the size of means of exposure to bitcoin. The OTC Bitcoin Funds and Investor such premiums/discounts and volatility Purpose Bitcoin ETF also offers a class Protection thereof highlight the key differences in operations and market structure of OTC of units that is U.S. dollar denominated, Recently, U.S. investor exposure to which could appeal to U.S. investors. Bitcoin Funds as compared to ETPs. bitcoin through OTC Bitcoin Funds has Combined with the significant increase Without an approved bitcoin ETP in the grown into the tens of billions of U.S. as a viable alternative, the Sponsor in AUM for OTC Bitcoin Funds over the dollars. With that growth, so too has past year, the size and volatility of believes U.S. investors will seek to grown the potential risk to U.S. purchase these shares in order to get premiums and discounts for OTC investors. As described below, premium Bitcoin Funds have given rise to access to bitcoin exposure, leaving them and discount volatility, high fees, without the protections of U.S. significant and quantifiable investor insufficient disclosures, and technical protection issues, as further described securities laws. Given the separate hurdles are exposing U.S. investors to below. In fact, the largest OTC Bitcoin regulatory regime and the potential risks that could potentially be Fund has grown to $35.0 billion in difficulties associated with any eliminated through access to a bitcoin AUM as of February 19, 2021 46 and has international litigation, such an ETP. The Sponsor understands the historically traded at a premium of arrangement would create more risk Commission’s previous focus on between roughly five and forty percent, exposure for U.S. investors than they potential manipulation of a bitcoin ETP would otherwise have with a U.S. in prior disapproval orders, but believes 44 Because OTC Bitcoin Funds are not listed on exchange listed ETP. With the addition that such concerns have been an exchange, they are also not subject to the same of more bitcoin ETPs in non-U.S. sufficiently mitigated and may be transparency and regulatory oversight by a listing outweighed by the growing and exchange as the Shares would be. In the case of the jurisdictions expected to grow, the Trust, the existence of a surveillance-sharing Sponsor anticipates that such risks will quantifiable investor protection agreement between the Exchange and the Bitcoin only continue to grow. concerns related to OTC Bitcoin Funds. Futures market results in increased investor Accordingly, the Sponsor believes that protections as compared to OTC Bitcoin Funds. In addition, several funds registered this proposal (and other comparable 45 The inability to trade in line with NAV may at under the Investment Company Act of proposals) represents an opportunity for some point result in OTC Bitcoin Funds trading at 1940 (the ‘‘1940 Act’’) have effective a discount to their NAV, which has occurred more U.S. investors to gain exposure to recently with respect to one prominent OTC Bitcoin registration statements that contemplate bitcoin in a regulated and transparent Fund. While that has not historically been the case, bitcoin exposure through a variety of exchange-traded vehicle that limits risks and it is not clear whether such discounts will means, including through investments by: (i) Reducing premium and discount continue, such a prolonged, significant discount in bitcoin futures contacts 40 and scenario would give rise to nearly identical volatility; (ii) reducing management fees potential issues related to trading at a premium. through meaningful competition; (iii) 46 Compare to an AUM of approximately $2.6 39 Securities regulators in a number of other reducing risks associated with investing billion on February 26, 2020, the date on which the countries have either approved or otherwise in operating companies that are Commission issued the most recent disapproval allowed the listing and trading of bitcoin ETPs. order for a bitcoin ETP. See Order Disapproving a Specifically, these funds (with their respective Proposed Rule Change, as Modified by Amendment approximate AUMs as of April 14, 2021) include 41 See, e.g., Amplify Transformational Data No. 1, to Amend NYSE Arca Rule 8.201–E the Purpose Bitcoin ETF ($993,000,000), VanEck Sharing ETF (File No. 333–207937); and ARK (Commodity-Based Trust Shares) and to List and Vectors Bitcoin ETN ($209,000,000), WisdomTree Innovation ETF (File No. 333–191019). Trade Shares of the United States Bitcoin and Bitcoin ETP ($407,000,000), Bitcoin Tracker One 42 See Stone Ridge Trust, Post-Effective Treasury Investment Trust Under NYSE Arca Rule ($1,380,000,000), BTCetc bitcoin ETP Amendment No. 74 to Registration Statement on 8.201–E, Securities Exchange Act Release No. 88284 ($1,410,000,000), 21Shares Bitcoin ETP Form N–1A (File No. 333–184477), available at: (February 26, 2020), 85 FR 12595 (March 3, 2020) ($362,000,000), 21Shares Bitcoin Suisse ETP https://www.sec.gov/Archives/edgar/data/1559992/ (SR–NYSEArca–2019–39) (the ‘‘Wilshire Phoenix ($30,000,000), CoinShares Physical Bitcoin ETP 000119312521072856/d129263d485apos.htm. Order’’). While the price of one bitcoin has ($396,000,000). 43 See Dalia Blass, ‘‘Keynote Address—2019 ICI increased approximately 400% in the intervening 40 See, e.g., Stone Ridge Trust VI (File No. 333– Securities Law Developments Conference’’ period, the total AUM has increased by 234055); BlackRock Global Allocation Fund, Inc. (December 3, 2019), available at: https:// approximately 1240%, indicating that the increase (File No. 33–22462); and BlackRock Funds V (File www.sec.gov/news/speech/blass-keynote-address- in AUM is attributable to more than just price No. 333–224371). 2019-ici-securities-law-developments-conference. appreciation in bitcoin. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00125 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28650 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices though it has seen premiums at times fund, which means that they are able to present in and potentially magnified by above one hundred percent.47 Recently, purchase shares directly with the fund OTC Bitcoin Funds. however, it has traded at a discount. As at NAV (in exchange for either cash or Spot and Proxy Exposure of March 24, 2021, the discount was bitcoin) without having to pay the approximately 14%,48 representing premium or sell into the discount. Exposure to bitcoin through an ETP around $4.9 billion less in market value While there are often minimum holding also presents certain advantages for than the bitcoin actually held by the periods for shares required by law, an retail investors compared to buying spot fund. If premium/discount numbers investor that is allowed to purchase bitcoin directly. The most notable move back to the middle of its historical directly from the fund is able to hedge advantage is the use of the Bitcoin range to a 20% premium (which their bitcoin exposure as needed to Custodian to custody the Trust’s bitcoin historically could occur at any time and satisfy the holding requirements and assets. The Sponsor has carefully overnight), it would represent a swing of collect on the premium or discount selected the Bitcoin Custodian, a third- approximately $11.9 billion in value opportunity. party custodian that carries insurance unrelated to the value of bitcoin held by covering both hot and cold storage and As noted above, the existence of a the fund and if the premium returns to is chartered as a limited purpose trust premium or discount and the premium/ the upper end of its typical range, that company under the New York Banking discount collection opportunity is not number increases to $18.9 billion. These Law,52 due to its manner of holding the numbers are only associated with a unique to OTC Bitcoin Funds and does Trust’s bitcoin. Among other things, the single OTC Bitcoin Fund—as more and not in itself warrant the approval of an Bitcoin Custodian will use ‘‘cold’’ 49 more OTC Bitcoin Funds come to exchange traded product. What makes (offline) storage to hold private keys and market and more investor assets flood this situation unique is that such meet a certain degree of cybersecurity into them to get access to bitcoin significant and persistent premiums and measures and operational best exposure, the potential dollars at risk discounts can exist in a product with practices.53 By contrast, an individual will only increase. over $35 billion in assets under retail investor holding bitcoin through a The risks associated with volatile management,50 that billions of retail cryptocurrency exchange lacks these premiums/discounts for OTC Bitcoin investor dollars are constantly under protections. Typically, retail exchanges Funds raise significant investor threat of premium/discount volatility,51 hold most, if not all, retail investors’ protection issues in several ways. First, and that premium/discount volatility is bitcoin in ‘‘hot’’ (internet-connected) investors may be buying shares of a generally captured by more storage and do not make any fund for a price that is not reflective of sophisticated investors on a riskless commitments to indemnify retail the per share value of the fund’s basis. While the Sponsor appreciates the investors or to observe any particular underlying assets. Even operating Commission’s focus on potential cybersecurity standard. Meanwhile, a within the normal premium range, it is manipulation of a bitcoin ETP in prior retail investor holding spot bitcoin possible for an investor to buy shares of disapproval orders and believes those directly in a self-hosted wallet may an OTC Bitcoin Fund only to have those concerns are adequately addressed in suffer from inexperience in private key shares quickly lose 10% or more in this filing, the Sponsor submits that management (e.g., insufficient password dollar value without any movement of current circumstances warrant that the protection, lost key, etc.), which could the price of bitcoin. That is to say—the Commission also consider the direct, cause them to lose some or all of their price of bitcoin could have stayed bitcoin holdings. In the Bitcoin exactly the same from market close on quantifiable investor protection issue in determining whether to approve this Custodian, the Trust has engaged a one day to market open the next, yet the regulated and licensed entity highly value of the shares held by the investor proposal, particularly when the Trust, as a bitcoin ETP, is designed to reduce experienced in bitcoin custody, with decreased only because of the dedicated, trained employees and fluctuation of the premium/discount. As the likelihood of significant and prolonged premiums and discounts procedures to manage the private keys more investment vehicles, including to the Trust’s bitcoin, and which is mutual funds and ETFs, seek to gain with its open-ended nature as well as exposure to bitcoin, the easiest option the ability of market participants (i.e., market makers and authorized 52 New York state trust companies are subject to for a buy and hold strategy is often an rigorous oversight similar to other types of entities, OTC Bitcoin Fund, meaning that even participants) to create and redeem on a such as nationally chartered banking entities, that investors that do not directly buy OTC daily basis. Furthermore, the risk of hold customer assets. Like national banks, they Bitcoin Funds can be disadvantaged by manipulation of a bitcoin ETP is also must obtain specific approval of their primary regulator for the exercise of their fiduciary powers. extreme premiums (or discounts) and Moreover, limited purpose trust companies engaged premium volatility. 49 For example, similar premiums/discounts and in the custody of digital assets are subject to even The second issue is related to the first premium/discount volatility exist for other non- more stringent requirements than national banks and explains how the premium in OTC bitcoin cryptocurrency related over-the-counter which, following initial approval of trust powers, funds, but the size and investor interest in those generally can exercise those powers broadly Bitcoin Funds essentially creates a funds does not give rise to the same investor without further approval of the OCC. In contrast, transfer of value from retail investors to protection concerns that exist for OTC Bitcoin NYDFS requires in their approval orders that more sophisticated investors. Generally Funds. limited purpose trust companies obtain separate speaking, only accredited investors are 50 At $35 billion in AUM, the largest OTC Bitcoin approval for all material changes in business. able to purchase shares from the issuing Fund would be among the top 40 largest out of 53 In addition to enforcing specific regulatory roughly 2,400 U.S. listed ETPs. reporting requirements, NYDFS consistently 51 In two recent incidents, the premium dropped exercises its broad authority to examine trust 47 See ‘‘Traders Piling Into Overvalued Crypto from 28.28% to 12.29% from the close on 3/19/20 companies for compliance with law, risk Funds Risk a Painful Exit’’ (February 4, 2021), to the close on 3/20/20 and from 38.40% to 21.05% management and general safety and soundness available at: https://www.bloomberg.com/news/ from the close on 5/13/19 to the close on 5/14/19. considerations, including to assess items such as articles/2021-02-04/bitcoin-one-big-risk-when- Similarly, over the period of 12/21/20 to 1/21/20, the internal controls, client records and segregation investing-in-crypto-funds. the premium went from 40.18% to 2.79%. While of assets topics that are typically important to the 48 This discount is compared to another OTC the price of bitcoin appreciated significantly during ability of an entity to act as a qualified custodian. Bitcoin Product which had a premium of over 60% this period and NAV per share increased by In this regard, the Bitcoin Custodian is subject to on the same day, with a premium of over 200% a 41.25%, the price per share increased by only annual examination, with specific attention to its few days earlier. 3.58%. internal controls and risk management systems. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00126 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28651 accountable for failures.54 In addition, companies in order to gain the exposure seeking bitcoin exposure through retail investors will be able to hold the to bitcoin that they seek.56 In fact, publicly traded companies are gaining Shares in traditional brokerage accounts mainstream financial news networks only partial exposure to bitcoin, without which provide SIPC protection if a have written a number of articles the full benefit of the risk disclosures brokerage firm fails. Thus, with respect providing investors with guidance for and associated investor protections that to custody of the Trust’s bitcoin assets, obtaining bitcoin exposure through come from the securities registration the Trust presents advantages from an publicly traded companies (such as process. investment protection standpoint for MicroStrategy, Tesla, and bitcoin Bitcoin Futures retail investors compared to owning mining companies, among others) spot bitcoin directly. instead of dealing with the CME began offering trading in Bitcoin Finally, as described in the complications associated with buying Futures in 2017. Each contract Background section above, a number of spot bitcoin in the absence of a bitcoin represents five bitcoin and is based on operating companies engaged in ETP.57 Such operating companies, the CME CF Bitcoin Reference Rate (the unrelated businesses—such as Tesla (a however, are imperfect bitcoin proxies ‘‘CME CF BRR’’).59 The contracts trade car manufacturer) and MicroStrategy (an and provide investors with partial and settle like other cash-settled enterprise software company)—have bitcoin exposure paired with a host of commodity futures contracts. Nearly recently announced investments as large additional risks associated with every measurable metric related to as $1.5 billion in bitcoin.55 Without whichever operating company they Bitcoin Futures has trended consistently access to bitcoin exchange-traded decide to purchase. Additionally, the up since launch and/or accelerated products, retail investors seeking disclosures provided by the upward in the past year. For example, investment exposure to bitcoin may end aforementioned operating companies there was approximately $28 billion in up purchasing shares in these with respect to risks relating to their trading in Bitcoin Futures in December bitcoin holdings are generally 2020 compared to $737 million, $1.4 52 New York state trust companies are subject to substantially smaller than the billion, and $3.9 billion in total trading rigorous oversight similar to other types of entities, registration statement of a bitcoin ETP, in December 2017, December 2018, and such as nationally chartered banking entities, that including the Registration Statement, hold customer assets. Like national banks, they December 2019, respectively. Bitcoin must obtain specific approval of their primary typically amounting to a few sentences Futures traded over $1.2 billion per day regulator for the exercise of their fiduciary powers. of narrative description and a handful of on the CME in December 2020 and 58 Moreover, limited purpose trust companies engaged risk factors. In other words, investors represented $1.6 billion in open interest in the custody of digital assets are subject to even compared to $115 million in December more stringent requirements than national banks 54 The Sponsor notes that the Sub-Advisor of the which, following initial approval of trust powers, Trust advises a 1940 Act-registered fund that 2019. This general upward trend in generally can exercise those powers broadly invests substantially in a private bitcoin fund to trading volume and open interest is without further approval of the OCC. In contrast, which NYDIG Trust Company LLC serves as bitcoin captured in the following chart. NYDFS requires in their approval orders that custodian. Pursuant to that investment, the Sub- limited purpose trust companies obtain separate Advisor has previously conducted substantial due approval for all material changes in business. diligence on the capabilities of the Bitcoin tokens in an effort to affect the price of the 53 In addition to enforcing specific regulatory Custodian. See SkyBridge Multi-Adviser Hedge company’s publicly traded common stock. See reporting requirements, NYDFS consistently Fund Portfolios LLC (File No. 333–232584). https://www.sec.gov/oiea/investor-alerts-and- _ exercises its broad authority to examine trust 55 See notes 35–37 [sic], supra. MicroStrategy bulletins/ia icorelatedclaims companies for compliance with law, risk recently completed a $900 million convertible note 57 See, e.g., ‘‘7 public companies with exposure to management and general safety and soundness offering for the purpose of acquiring bitcoin. See bitcoin’’ (February 8, 2021) available at: https:// considerations, including to assess items such as https://www.microstrategy.com/en/investor- finance.yahoo.com/news/7-public-companies-with- the internal controls, client records and segregation relations/press/microstrategy-announces-pricing-of- exposure-to-bitcoin-154201525.html; and ‘‘Want to of assets topics that are typically important to the offering-of-convertible-senior-notes_02-17-2021. get in the crypto trade without holding bitcoin ability of an entity to act as a qualified custodian. 56 In August 2017, the Commission’s Office of yourself? Here are some investing ideas’’ (February In this regard, the Bitcoin Custodian is subject to Investor Education and Advocacy warned investors 19, 2021) available at: https://www.cnbc.com/2021/ annual examination, with specific attention to its about situations where companies were publicly 02/19/ways-to-invest-in-bitcoin-without-holding- internal controls and risk management systems. announcing events relating to digital coins or the-cryptocurrency-yourself-.html. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00127 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28652 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Similarly, the number of large open The Trust will not be actively platforms or in individual end-user-to- interest holders 60 has continued to managed. It will not engage in any end-user transactions under a barter increase even as the price of bitcoin has activities designed to obtain a profit system. Although nascent in use, bitcoin risen, as have the number of unique from, or to ameliorate losses caused by, may be used as a medium of exchange, accounts trading Bitcoin Futures. changes in the market prices of bitcoins. unit of account or store of value. The Bitcoin Network is decentralized Operation of the Trust Investment Objective and does not require governmental According to the Registration According to the Registration authorities or financial institution Statement, the Trust will hold only Statement, the investment objective of intermediaries to create, transmit, or bitcoins and is expected from time to the Trust is for the Shares to reflect the determine the value of bitcoin. In time to issue Creation Units (as defined performance of the value of bitcoin less addition, no party may easily censor below) in exchange for deposits of the Trust’s liabilities and expenses. The transactions on the Bitcoin Network. As bitcoins and to distribute bitcoins in Trust will not seek to reflect the a result, the Bitcoin Network is often connection with redemptions of performance of any benchmark or index. referred to as decentralized and Creation Units. The Shares represent In order to pursue its investment censorship resistant. units of fractional undivided beneficial objective, the Trust will seek to The value of bitcoin is determined by interest in, and ownership of, the Trust. purchase and sell such number of the supply of and demand for bitcoin. The activities of the Trust will be bitcoin so that the total value of the New bitcoin are created and rewarded to limited to (1) issuing Creation Units in bitcoin held by the Trust is as close to the parties providing the Bitcoin exchange for bitcoins deposited by the 100% of the net assets of the Trust, as Network’s infrastructure (‘‘miners’’) in Authorized Participants (as defined is reasonably practicable to achieve. exchange for their expending below) with the Bitcoin Custodian as The Bitcoin Industry and Market computational power to verify consideration, (2) transferring actual transactions and add them to the bitcoins as necessary to cover the Bitcoin Blockchain. The Blockchain is Advisor’s investment management fee Bitcoin is the digital asset that is effectively a decentralized database that and selling bitcoins as necessary to pay native to, and created and transmitted includes all blocks that have been Trust expenses, (3) transferring actual through the operations of, the peer-to- solved by miners, and it is updated to bitcoins in exchange for Creation Units peer Bitcoin Network, a decentralized include new blocks as they are solved. surrendered for redemption by the network of computers that operates on Each bitcoin transaction is broadcast to Authorized Participants, (4) causing the cryptographic protocols. No single the Bitcoin Network and, when Advisor to sell bitcoins on the entity owns or operates the Bitcoin included in a block, recorded in the termination of the Trust, and (5) Network, the infrastructure of which is Blockchain. As each new block records engaging in all administrative and collectively maintained by a outstanding bitcoin transactions, and custodial procedures necessary to decentralized user base. The Bitcoin outstanding transactions are settled and accomplish such activities in Network allows people to exchange validated through such recording, the accordance with the provisions of the tokens of value, called bitcoin, which Blockchain represents a complete, Trust Agreement. are recorded on a public transaction transparent, and unbroken history of all ledger known as the Blockchain. Bitcoin transactions of the Bitcoin Network. 58 See, e.g., Tesla 10–K for the year ended can be used to pay for goods and December 31, 2020, which mentions bitcoin just Bitcoin Network nine times: https://www.sec.gov/ix?doc=/Archives/ services, or it can be converted to fiat edgar/data/1318605/000156459021004599/tsla- currencies, such as the U.S. dollar, at The first step in directly using the 10k_20201231.htm. rates determined on bitcoin trading Bitcoin Network for transactions is to VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00128 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES EN27MY21.000 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28653 download specialized software referred bitcoin addresses and digital signature confirmed Blockchain on the Bitcoin to as a ‘‘bitcoin wallet.’’ A user’s bitcoin in a transaction’s data file. Each Bitcoin Network. For a transaction, inclusion in wallet can run on a computer or Network address, or wallet, is associated a block on the Blockchain constitutes a smartphone and can be used both to with a unique ‘‘public key’’ and ‘‘private ‘‘confirmation’’ of a Bitcoin transaction. send and to receive bitcoin. Within a key’’ pair, both of which are lengthy As each block contains a reference to bitcoin wallet, a user can generate one alphanumeric codes, derived together the immediately preceding block, or more unique ‘‘bitcoin addresses,’’ and possessing a unique relationship. additional blocks appended to and which are conceptually similar to bank The public key is visible to the public incorporated into the Blockchain account numbers. After establishing a and analogous to the Bitcoin Network constitute additional confirmations of bitcoin address, a user can send or address. The private key is a secret and the transactions in such prior blocks, receive bitcoin from his or her bitcoin may be used to digitally sign a and a transaction included in a block for address to another user’s address. transaction in a way that proves the the first time is confirmed once against Sending bitcoin from one bitcoin transaction has been signed by the double-spending. The layered address to another is similar in concept holder of the public-private key pair, confirmation process makes changing to sending a bank wire from one without having to reveal the private key. historical blocks (and reversing person’s bank account to another A user’s private key must be kept in transactions) exponentially more person’s bank account, provided, accordance with appropriate controls difficult the further back one goes in the however, that such transactions are not and procedures to ensure it is used only Blockchain. managed by an intermediary and for legitimate and intended transactions. To undo past transactions in a block erroneous transactions generally may If an unauthorized third person learns of recorded on the Blockchain, a malicious not be reversed or remedied once sent. a user’s private key, that third person actor would have to exert tremendous The amount of bitcoin associated with could forge the user’s digital signature computer power in re-solving each each bitcoin address, as well as each and send the user’s bitcoin to any block in the Blockchain starting with bitcoin transaction to or from such arbitrary bitcoin address, thereby and after the target block and address, is transparently reflected in the stealing the user’s bitcoin. Similarly, if broadcasting all such blocks to the Blockchain and can be viewed by a user loses his private key and cannot Bitcoin Network. The Bitcoin Network websites that operate as ‘‘blockchain restore such access (e.g., through a is generally programmed to consider the explorers.’’ Copies of the Blockchain backup), the user may permanently lose longest Blockchain containing solved exist on thousands of computers on the access to the bitcoin contained in the and valid blocks to be the most accurate Bitcoin Network. A user’s bitcoin wallet associated address. Blockchain. In order to undo multiple will either contain a copy of the The Bitcoin Network incorporates a layers of confirmation and alter the blockchain or be able to connect with system to prevent double-spending of a Blockchain, a malicious actor must re- another computer that holds a copy of single bitcoin. To prevent the possibility solve all of the old blocks sought to be the blockchain. The innovative design of double-spending a single bitcoin, regenerated and be able to continuously of the Bitcoin Network protocol allows each validated transaction is recorded, add new blocks to the Blockchain at a each Bitcoin user to trust that their copy time stamped and publicly displayed in speed that would have to outpace that of the Blockchain will generally be a ‘‘block’’ in the Blockchain, which is of all of the other miners on the Bitcoin updated consistent with each other publicly available. Thus, the Bitcoin Network, who would be continuously user’s copy. Network provides confirmation against solving for and adding new blocks to the When a Bitcoin user wishes to double-spending by memorializing Blockchain. transfer bitcoin to another user, the every transaction in the Blockchain, sender must first have the recipient’s which is publicly accessible and Custody of the Trust’s Bitcoins Bitcoin address. The sender then uses downloaded in part or in whole by all According to the Registration his or her Bitcoin wallet software to users of the Bitcoin Network software Statement, all bitcoins exist and are create a proposed transaction to be program. Any user may validate, stored on the Blockchain, the added to the Blockchain. The proposal through their Bitcoin wallet or a decentralized transaction ledger of the would reduce the amount of bitcoin blockchain explorer, that each Bitcoin Network. The Blockchain allocated to the sender’s address and transaction in the Bitcoin Network was records most transactions (including increase the amount allocated authorized by the holder of the mining of new bitcoins) for all bitcoins recipient’s address, in each case by the applicable private key, and Bitcoin in existence, and in doing so verifies the amount of bitcoin desired to be Network mining software consistent location of each bitcoin (or fraction transferred. The proposal is completely with reference software requirements thereof) in a particular digital wallet. digital in nature, similar to a file on a typically validates each such transaction The Trust’s Bitcoin Account 61 will be computer, and it can be sent to other before including it in the Blockchain. maintained by the Bitcoin Custodian, computers participating in the Bitcoin This cryptographic security ensures that and cold storage mechanisms are used Network; however, the use of ‘‘unspent bitcoin transactions may not generally for the Vault Account by the Bitcoin transaction outputs’’ that are verified be counterfeited, although it does not Custodian. Each digital wallet of the cryptographically prevents the ability to protect against the ‘‘real world’’ theft or Trust may be accessed using its duplicate or counterfeit bitcoin. coercion of use of a Bitcoin user’s corresponding private key. The Bitcoin private key, including the hacking of a Custodian’s custodial operations will Bitcoin Transactions Bitcoin user’s computer or a service A bitcoin transaction contains the provider’s systems. 61 According to the Registration Statement, the sender’s bitcoin address, the recipient’s A Bitcoin transaction between two ‘‘Bitcoin Account’’ is defined as the Vault Account and Wallet Account and any associated bitcoin address, the amount of bitcoin to parties is settled when recorded in a subaccounts of either. The ‘‘Vault Account’’ is be sent, a transaction fee, and the block added to the Blockchain. defined as one or more cold storage accounts in the sender’s digital signature. Bitcoin Validation of a block is achieved by name of the Advisor and of the Trust held for the transactions are secured by confirming the cryptographic hash value safekeeping of the Trust’s bitcoins. The ‘‘Wallet Account’’ is defined as one or more wallets in the cryptography known as public-private included in the block’s solution and by name of the Advisor and of the Trust held for key cryptography, represented by the the block’s addition to the longest deposit and withdrawal of bitcoins. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00129 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28654 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices maintain custody of the private keys multifactor security system generates depositing bitcoins with the Trust for a that have been deposited in cold storage private keys using a FIPS 140–2- creation of a Creation Unit, only in at its various vaulting premises. The certified random number generator to reverse. locations of the vaulting premises may ensure the keys’ uniqueness. The Trust generally will not hold cash change regularly and will be kept Before these keys are used, the Bitcoin or cash equivalents. However, the Trust confidential by the Bitcoin Custodian Custodian will validate that the public may hold cash and cash equivalents on for security purposes. addresses associated with these keys a temporary basis to pay extraordinary The term ‘‘cold storage’’ refers to a have no associated digital asset expenses. The Trust has entered into a safeguarding method by which the balances. The software used for key cash custody agreement with the Bank private keys corresponding to bitcoins generation and verification will be of New York Mellon under which the stored on a digital wallet are removed tested by the Bitcoin Custodian and Bank of New York Mellon acts as from any computers actively connected reviewed by third-party advisors from custodian of the Trust’s cash and cash to the internet. Cold storage of private the security community with specific equivalents. keys may involve keeping such wallet expertise in computer security and Calculation of the Trust’s NAV on a non-networked computer or applied cryptography. The private keys electronic device or storing the public will be stored in an encrypted manner According to the Registration key and private keys relating to the using a FIPS 140–2-certified security Statement, the net asset value (‘‘NAV’’) digital wallet on a storage device (for module held in redundant secure, of the Trust will be determined in example, a USB thumb drive) or printed geographically dispersed locations with accordance with Generally Accepted medium (for example, papyrus or paper) high levels of physical security, Accounting Principles (‘‘GAAP’’) as the and deleting the digital wallet from all including robust physical barriers to total value of bitcoin held by the Trust, computers. A digital wallet may receive entry, electronic surveillance, and plus any cash or other assets, less any deposits of bitcoins but may not send continuously roving patrols. The liabilities including accrued but unpaid bitcoins without use of the bitcoins’ operational procedures of these facilities expenses. The NAV per Share will be corresponding private keys. In order to and of the Bitcoin Custodian will be determined by dividing the NAV of the send bitcoin from a digital wallet in reviewed by third-party advisors with Trust by the number of Shares which the private keys are kept in cold specific expertise in physical security. outstanding. storage, either the private keys must be The devices that store the keys will The NAV of the Trust will be retrieved from cold storage and entered never be connected to the internet or determined as of 4:00 p.m. Eastern time them into a bitcoin software program to any other public or private distributed (‘‘E.T.’’) on each Business Day.62 The sign the transaction, or the unsigned network (colloquially known as ‘‘cold Trust’s daily activities will generally not transaction must be sent to the ‘‘cold’’ storage’’). Only specific individuals will be reflected in the NAV determined for server in which the private keys are be authorized to participate in the the Business Day on which the held for signature by the private keys. custody process, and no individual transactions are effected (the trade date), At that point, the user of the digital acting alone will be able to access or use but rather on the following Business wallet can transfer its bitcoins. any of the private keys. In addition, no Day. The Trust’s Bitcoin Custodian will combination of the executive officers of According to the Registration custody of all of the Trust’s bitcoin. the Advisor, the Sub-Advisor, or the Statement, under normal circumstances, Custody of bitcoin typically involves the investment professionals managing the the Trust will use the CF Bitcoin US generation, storage, and utilization of Trust, acting alone or together, will be Settlement Price (the ‘‘Reference Rate’’) private keys. These private keys are able to access or use any of the private to calculate the Trust’s NAV. The used to effect transfer transactions, i.e., keys that hold the Trust’s bitcoin. Reference Rate is not affiliated with the transfers of bitcoin from an address The Trust may engage third-party Sponsor and was created and is associated with the private key to custodians or vendors besides the administered by CF Benchmarks Ltd. another address. While private keys Bitcoin Custodian to provide custody (the ‘‘BRR Administrator’’), an must be used to send bitcoin, private and security services for all or a portion independent entity, to facilitate keys do not need to be used or shared of its bitcoin and/or cash, and the financial products based on bitcoin. The in order to receive a bitcoin transfer; Advisor will pay the custody fees and Reference Rate is designed based on the every private key has an associated any other expenses associated with any IOSCO Principals for Financial public key, and an address derived from such third-party custodian or vendor. Benchmarks and serves as a once-a-day that public key that can be freely shared, The Bitcoin Custodian will be benchmark rate of the U.S. dollar price to which counterparties can transfer authorized to accept, on behalf of the of bitcoin (USD/BTC), calculated as of bitcoin. The Bitcoin Network has a Trust, deposits of bitcoins from 4:00 p.m. E.T. The Reference Rate is public ledger, meaning that anybody Authorized Participant Self- based on materially the same with access to the address can see the Administered Accounts (as defined methodology (except calculation time) balance of digital assets in that address. below) held with the Bitcoin Custodian as the CME CF BRR, which was first The Bitcoin Custodian will carefully and transfer such bitcoins into the introduced on November 14, 2016 and consider the design of the physical, Bitcoin Account. Deposits of bitcoins is the rate on which bitcoin futures operational, and cryptographic systems will be immediately available to the contracts are cash-settled in U.S. dollars for secure storage of the Trust’s private Trust to the extent such bitcoins have at the CME. The Reference Rate keys in an effort to lower the risk of loss not already been transferred to the Vault aggregates the trade flow of several or theft. Account. Generally, bitcoins transferred bitcoin exchanges, during an The Bitcoin Custodian will use a to the Bitcoin Account will be directly observation window between 3:00 p.m. multi-factor security system under deposited into digital wallets for which and 4:00 p.m. E.T. into the U.S. dollar which actions by multiple individuals the keys are already in cold storage. price of one bitcoin at 4:00 p.m. E.T. working together are required to access The process of accessing and The current constituent bitcoin the private keys necessary to transfer withdrawing bitcoins from the Trust for such digital assets and ensure the a redemption of a Creation Unit will 62 ‘‘Business Day’’ is defined as each day that the Trust’s exclusive ownership. The follow the same general procedure as Shares trade on the Exchange. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00130 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28655 exchanges of the Reference Rate are its assets other than bitcoin and prevent fraudulent and manipulative Bitstamp, Coinbase, Gemini, itBit, and liabilities. Under this policy, the acts and practices and to protect Kraken (the ‘‘Constituent Platforms’’). Advisor will use fair value standards investors and the public interest, The Reference Rate is calculated according to GAAP. Generally, the fair consistent with Section 6(b)(5) of the based on the ‘‘Relevant Transactions’’ value of an asset that is traded on a Act.65 The Commission does not apply (as defined below) of all Constituent market is measured by reference to the a ‘‘cannot be manipulated’’ standard, Platforms, as follows: 63 orderly transactions on an active but instead seeks to examine whether a 1. All Relevant Transactions are market. Among all active markets with proposal meets the requirements of the added to a joint list, recording the trade orderly transactions, the market that is Act.66 The Commission has explained price and size for each transaction. used to determine the fair value of an that a proposal could satisfy the 2. The list is partitioned into a asset is the principal market (with requirements of the Act in the first number of equally-sized time intervals. exceptions described in more detail instance by demonstrating that the 3. For each partition separately, the below), which is either the market on 64 listing exchange has entered into a volume-weighted median trade price which the Trust actually transacts, or if comprehensive surveillance-sharing is calculated from the trade prices and there is sufficient evidence, the market agreement (‘‘CSSA’’) with a regulated sizes of all Relevant Transactions, i.e., with the most trading volume and level market of significant size relating to the across all Constituent Platforms. of activity for the asset. Where there is underlying assets.67 The Commission 4. The Reference Rate is then no active market with orderly has also recognized that a listing determined by the equally-weighted transactions for an asset, the Advisor’s exchange would not necessarily need to average of the volume-weighted valuation committee will follow policies enter into a CSSA with a regulated medians of all partitions. and procedures described in more detail significant market if the underlying The Reference Rate does not include below to determine the fair value. any futures prices in its methodology. A commodity market inherently possessed While the Trust will publish its NAV a unique resistance to manipulation ‘‘Relevant Transaction’’ is any every day the Exchange is open, the cryptocurrency versus U.S. dollar spot beyond the protections that are utilized Trust’s operations will not rely to any by traditional commodity or securities trade that occurs during the observation significant extent on its valuation window between 3:00 p.m. and 4:00 markets or if the listing exchange could procedures. The Trust’s only regular demonstrate that there were sufficient p.m. E.T. on a Constituent Platform in recurring expense is the Investment the BTC/USD pair that is reported and ‘‘other means to prevent fraudulent and Management Fee, which is both 68 disseminated by a Constituent Platform manipulative acts and practices.’’ calculated by reference to and paid in As described below, the Sponsor through its publicly available API and bitcoin. Payment for Creation Units by observed by the Benchmark believes the structure and operation of Authorized Participants may only be the Trust are designed to prevent Administrator, CF Benchmarks Ltd. made in-kind in bitcoin, and If the Reference Rate is unavailable, fraudulent and manipulative acts and redemption proceeds are similarly only practices, to protect investors and the the Trust’s bitcoin will be valued as paid in bitcoin. While the Trust may determined in good faith pursuant to from time to time incur certain policies and procedures approved by 65 See, e.g., Order Disapproving a Proposed Rule extraordinary, non-recurring expenses Change, as Modified by Amendments No. 1 and 2, the Advisor’s valuation committee (‘‘fair that must be paid in U.S. Dollars or to BZX Rule 14.11(e)(4), Commodity-Based Trust value pricing’’). In these circumstances, other fiat currency, such events would Shares, To List and Trade Shares Issued by the the Trust will determine fair value in a only impact the amount of bitcoin Winklevoss Bitcoin Trust, Securities Exchange Act manner that seeks to reflect the market Release No. 80206 (March 10, 2017), 82 FR 14076 represented by a Share of the Trust. (March 16, 2017) (SR–BatsBZX–2016–30) (the value of the investment at the time of Accordingly, while other proposed ‘‘Winklevoss I Order’’); the Winklevoss II Order; valuation based on consideration of any bitcoin ETPs rely on a benchmark or Order Disapproving a Proposed Rule Change, as information or factors the Advisor’s other reference rate to value their assets Modified by Amendment No. 1, Relating to the valuation committee deems appropriate, Listing and Trading of Shares of the Bitwise Bitcoin and liabilities and determine the ETF Trust Under NYSE Arca Rule 8.201–E, as further described below. The amount of cash necessary to purchase or Securities Exchange Act Release No. 87267 (October Advisor’s valuation committee will be redeem Creation Units (or their 9, 2019), 84 FR 55382 (October 16, 2019) (SR– responsible for overseeing the equivalent), the Trust will not rely on NYSEArca–2019–01) (the ‘‘Bitwise Order’’); the implementation of the Trust’s valuation Wilshire Phoenix Order; Order Disapproving a any such conversion rate, as it is Proposed Rule Change to List and Trade the Shares procedures and fair value designed to transact only in bitcoin in of the ProShares Bitcoin ETF and the ProShares determinations. For purposes of nearly all circumstances. The Trust’s Short Bitcoin ETF, Securities Exchange Act Release determining the fair value of bitcoin, the calculation of its NAV is intended to No. 83904 (August 22, 2018), 83 FR 43934 (August valuation committee may consider, 28, 2018) (SR–NYSEArca–2017–139); Order assist investors in valuing their Shares, Disapproving a Proposed Rule Change Relating to without limitation: (i) Indications or and the Trust’s ability to transact only Listing and Trading of the Direxion Daily Bitcoin quotes from brokers; (ii) valuations in bitcoin further insulates the Trust Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull provided by a third-party pricing agent; from activities designed to manipulate Shares, Direxion Daily Bitcoin 1.5X Bull Shares, (iii) internal models that take into Direxion Daily Bitcoin 2X Bull Shares, and Direxion the price of the bitcoin held by the Daily Bitcoin 2X Bear Shares Under NYSE Arca consideration different factors Trust. Rule 8.200–E, Securities Exchange Act Release No. determined to be relevant by the 83912 (August 22, 2018), 83 FR 43912 (August 28, Advisor; or (iv) any combination of the The Structure and Operation of the 2018) (SR–NYSEArca–2018–02); Order above. Trust Satisfies Commission Disapproving a Proposed Rule Change to List and The Advisor has adopted a policy Requirements for Bitcoin-Based Trade the Shares of the GraniteShares Bitcoin ETF Exchange Traded Products and the GraniteShares Short Bitcoin ETF, Securities pursuant to which the Trust will value Exchange Act Release No. 83913 (August 22, 2018), In disapproving prior proposals to list 83 FR 43923 (August 28, 2018) (SR–CboeBZX– 63 See https://docs- and trade shares of various bitcoin trusts 2018–01) (the ‘‘GraniteShares Order’’). 66 cfbenchmarks.s3.amazonaws.com/ and bitcoin-based trust issued receipts, See Winklevoss II Order, 84 FR 37582. CME+CF+Reference+Rates+Methodology.pdf. 67 See Wilshire Phoenix Order, 85 FR 12596–97. 64 A volume-weighted median differs from a the Commission noted that such 68 See Winklevoss II Order, 84 FR 37580, 37582– standard median in that a weighting factor, in this proposals did not adequately 91; Bitwise Order, 84 FR 55383, 55385–406; case trade size, is factored into the calculation. demonstrate that they were designed to Wilshire Phoenix Order, 85 FR 12597. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00131 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28656 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices public interest, and to respond to the Commission noted that, for commodity- detecting and deterring misconduct and specific concerns that the Commission trust ETPs ‘‘there has been in every case (b) it is unlikely that trading in the ETP has identified with respect to potential at least one significant, regulated market would be the predominant influence on fraud and manipulation in the context for trading futures in the underlying prices in that market.’’ 78 of a bitcoin ETP. Further, as the commodity—whether gold, silver, For the following reasons, the Commission has previously platinum, palladium or copper—and the Sponsor maintains that the CME, either acknowledged, trading in a bitcoin- ETP listing exchange has entered into alone as the sole market for bitcoin based ETP on a national securities surveillance-sharing agreements with, or futures or as a group of markets together exchange, as compared to trading in an held Intermarket Surveillance Group with the Constituent Platforms, is a unregulated bitcoin spot market, may (the ‘‘ISG’’) membership in common ‘‘market of significant size’’ that satisfies provide additional protection to with, that market.’’ 73 both elements of the example provided investors.69 The Sponsor also believes The CME 74 is a member of the ISG, by the Commission. that listing of the Trust’s Shares on the the purpose of which is ‘‘to provide a Exchange will provide investors with framework for the sharing of (a) Reasonable Likelihood That a Person such an opportunity to obtain exposure information and the coordination of Manipulating the ETP Would Have To to bitcoin within a regulated regulatory efforts among exchanges Trade on the Market environment. trading securities and related products The first element of a ‘‘significant to address potential intermarket market’’ or ‘‘market of significant size’’ Surveillance Sharing Agreements With a manipulations and trading abuses.’’ 75 is a reasonable likelihood that a person Market of Significant Size Membership of a relevant futures attempting to manipulate the ETP 1. The Presence of Surveillance Sharing exchange in ISG is sufficient to meet the would also have to trade on that market Agreements surveillance-sharing requirement.76 (or group of markets) to successfully In previous orders rejecting the listing The Commission has previously noted manipulate the ETP, such that a of Bitcoin ETFs, the Commission noted that the existence of a surveillance- surveillance sharing agreement would its concerns that the bitcoin market sharing agreement by itself is not assist the ETP listing market in could be subject to manipulation.70 In sufficient for purposes of meeting the detecting and deterring misconduct. The these orders, the Commission cited requirements of Section 6(b)(5); the Commission has stated that establishing numerous precedents 71 in which listing surveillance-sharing agreement must be a lead-lag relationship between the 77 proposals were approved based on with a market of significant size. The bitcoin futures market and the spot findings that the particular market was Commission has also provided an market is central to understanding either inherently resistant to example of how it interprets the terms whether it is reasonably likely that a manipulation or that the listing ‘‘significant market’’ and ‘‘market of would-be manipulator of the ETP would exchange had entered into a significant size,’’ though that definition need to trade on the bitcoin futures surveillance sharing agreement with a is meant to be illustrative and not market to successfully manipulate market of significant size.72 The exclusive: ‘‘the terms ‘significant prices on those spot platforms that feed market’ and ‘market of significant size’ into the proposed ETP’s pricing 69 See GraniteShares Order, 83 FR 43931. See also . . . include a market (or group of mechanism.79 Hester M. Peirce, U.S. Sec. Exch. Comm’n, Dissent markets) as to which (a) there is a The Sponsor believes that the CME of Commissioner Hester M. Peirce to Release No. reasonable likelihood that a person meets the first element in several ways. 34–83723 (July 26, 2018), available at: https:// attempting to manipulate the ETP www.sec.gov/news/public-statement/peirce-dissent- First, it is the primary market for bitcoin 34-83723 (‘‘An ETP based on bitcoin would offer would also have to trade on that market futures, and compares favorably with investors indirect exposure to bitcoin through a to successfully manipulate the ETP so other markets that were deemed to be product that trades on a regulated securities market that a surveillance sharing agreement markets of significant size in and in a manner that eliminates some of the would assist the ETP listing market in frictions and worries of buying and holding bitcoin precedents. One particularly salient directly. If we were to approve the ETP at issue group of precedents are prior orders here, investors could choose whether to buy it or cryptocurrency platform. However, the CME, which approving the listing of ETPs that invest calculates the CME CF BRR, and which has offered avoid it.’’). in gold bullion, since the gold market 70 See Winklevoss I Order and Winklevoss II contracts for bitcoin futures products since 2017, is, Order. The Sponsor represents that some of the as noted below, a member of the ISG. In addition, exhibits a number of similarities with concerns raised are that a significant portion of each Constituent Platform has entered into a data the market for bitcoin. The Sponsor bitcoin trading occurs on unregulated platforms and sharing agreement with CME. See https://docs- maintains that, like bitcoin, the primary that there is a concentration of a significant number cfbenchmarks.s3.amazonaws.com/ CME+CF+Constituent+Exchanges+Criteria.pdf. markets for gold bullion are of bitcoin in the hands of a small number of 80 holders. However, these facts are not unique to 73 See Winklevoss II Order, 84 FR 37594. unstructured OTC markets and the bitcoin and are true of a number of commodity and 74 The CME is regulated by the CFTC, which has futures market. other markets. For instance, some gold bullion broad reaching anti-fraud and anti-manipulation Specifically, the Sponsor notes that trading takes place on unregulated OTC markets authority including with respect to the bitcoin the CME is similarly situated to the and a significant percentage of gold is held by a market since bitcoin has been designated as a relative few (according to estimates of the World commodity by the CFTC. See A CFTC Primer on COMEX division of NYMEX with Gold Council, approximately 22% of total above Virtual Currencies (October 17, 2017), available at: ground gold stocks are held by private investors and https://www.cftc.gov/sites/default/files/idc/groups/ 78 Id. at 37594; see also GraniteShares Order, 83 17% are held by foreign governments; by public/documents/file/labcftc_ FR 43930 n. 85 and accompanying text. comparison, 13.61% of bitcoin are held by the 86 primercurrencies100417.pdf (the ‘‘CFTC Primer on 79 See Wilshire Phoenix Order, 85 FR 12612. largest bitcoin addresses, some of which are known Virtual Currencies’’) (‘‘The CFTC’s jurisdiction is 80 ‘‘The OTC market has no formal structure and to be cold storage addresses of large centralized implicated when a virtual currency is used in a no open-outcry meeting place.’’ Order Granting cryptocurrency trading platforms). See https:// derivatives contract or if there is fraud or Approval of Proposed Rule Change and Notice of www.gold.org/goldhub/data/above-ground-stocks manipulation involving a virtual currency traded in Filing and Order Granting Accelerated Approval to for gold data cited in this note and https:// interstate commerce.’’). See also 7 U.S.C. 7(d)(3) Amendments No. 1 and No. 2 Thereto to the bitinfocharts.com/top-100-richest-bitcoin- (‘‘The board of trade shall list on the contract Proposed Rule Change by the New York Stock addresses.html for Bitcoin data. market only contracts that are not readily Exchange, Inc. Regarding Listing and Trading of 71 For an extensive listing of such precedents, see susceptible to manipulation.’’). streetTRACKS® Gold Shares, Securities Exchange Winklevoss I Order, 82 FR 14083 n. 96. 75 See https://isgportal.org/overview. Act Release No. 50603 (October 28, 2004), 69 FR 72 The Exchange to date has not entered into 76 See, e.g., Winklevoss II Order, 84 FR 37594. 64614 (November 5, 2004) (SR–NYSE–2004–22) surveillance sharing agreements with any 77 See, e.g., id. at 37589–90. (the ‘‘streetTRACKS Order’’). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00132 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28657 respect to gold ETPs.81 As with the OTC to its Know-Your-Customer multiple exchanges simultaneously in gold market, it is not possible to enter procedures.87 As a result, the CME and order to successful move the global into an information sharing agreement the Exchange would be able, in the case price of bitcoin due to the decentralized with the OTC bitcoin market.82 When of any suspicious trades, to discover all nature of the Bitcoin Network. The the Commission has approved the material trade information, including Sponsor thus believes that bitcoin listing of gold ETPs and other the identities of the customers placing manipulators would be much more commodity-trust ETPs, rather than the trades. likely to attempt to manipulate a limited requiring surveillance sharing The Sponsor also maintains that any number of futures markets rather than agreements with the relevant OTC would-be manipulator of bitcoin prices attempt simultaneous executions on markets, it has recognized surveillance would be reasonably likely to do so potentially dozens of different sharing agreements between the listing through the Bitcoin Futures market in exchanges. Even if a would-be exchange and ‘‘regulated markets for order to take advantage of the leverage manipulator does attempt to manipulate trading futures on the underlying inherent in trading futures contracts. bitcoin across platforms, such a scheme commodity,’’ 83 given the understanding The inherent leverage in Bitcoin Futures would also necessarily include some that the manipulation of the market for would allow a potential manipulator to attempt to manipulate the price of a commodity often involves the futures attempt a manipulation scheme with far bitcoin futures, including the CME. market for that commodity.84 less upfront capital than it would need (b) Predominant Influence on Prices in The Sponsor also believes that the to achieve the same results in the spot Spot and Bitcoin Futures CME meets the first element because its market. As the spot bitcoin market has Bitcoin Futures are cash settled by grown tremendously since the issuance The second feature of a ‘‘significant reference to a final settlement price of the Wilshire Phoenix Order, it would market’’ or ‘‘market of significant size’’ based on the CME CF BRR. Anyone be critical for a would-be manipulator to in the Commission’s example is that the attempting to manipulate the CME CF efficiently use its capital to have the market is one in which it is unlikely BRR would need to place numerous desired effect, and a would-be that trading in the ETP would be the large sized trades on any of the manipulator would certainly recognize predominant influence on prices in that Constituent Platforms that are used to that the chances of successfully market. The Sponsor believes that calculate the CME CF BRR,85 and the deploying its scheme are increased trading in the Shares would not be the resulting manipulative trading patterns exponentially if it can affect the Bitcoin predominant force on prices in the would be detectable by the BRR Futures market (and thus the bitcoin Bitcoin Futures market (or spot market) Administrator and the CME.86 In spot market) by posting only the for a number of reasons, including the addition, any platform that is accepted minimum margin required the Bitcoin significant volume in the Bitcoin by the CME to become part of the Futures exchange.88 Accordingly, Futures market, the size of bitcoin’s constituent trading platforms that are because the Bitcoin Futures market is in market cap (approximately $1 trillion), used to calculate the CME CF BRR, effect the ‘‘cheapest’’ route to and the significant liquidity available in including the Constituent Platforms, (1) manipulate bitcoin, it is highly likely the spot market. must enter into a data sharing agreement such manipulators would attempt to do Since the Wilshire Phoenix Order was with the CME, (2) must cooperate with so there rather than any spot market. issued, there has been significant inquiries and investigations of Finally, the Sponsor maintains that a growth in Bitcoin Futures across each of regulators and the BRR Administrator would-be manipulator of bitcoin would trading volumes and open interest as and (3) must submit each of its clients be required to execute trades on reflected in the chart below: CHICAGO MERCANTILE EXCHANGE BITCOIN FUTURES February 26, 2020 April 7, 2021 Trading Volume ...... $433,000,000 $4,321,000,000 Open Interest ...... 238,000,000 2,582,000,000 The growth of the Bitcoin Futures has interests, including interests in metals, futures markets, it can be reasonably coincided with similar growth in the agricultural and petroleum products. expected that the relationship between bitcoin spot market. The market for Accordingly, as the Bitcoin Futures the Bitcoin Futures market and bitcoin Bitcoin Futures is rapidly approaching market continues to develop and more spot market will behave similarly to the size of markets for other commodity closely resemble other commodity other future/spot market relationships, 81 Other applicants have made similar arguments Exchange Act Release No. 51058 (January 19, 2005), 85 Because the CME CF BRR is based solely on the in their respective filings. See Notice of Filing of 70 FR 3749 (January 26, 2005) (SR–Amex–2004–38); price data from the Constituent Platforms, Proposed Rule Change To List and Trade Shares of Notice of Filing of Proposed Rule Change Relating manipulating the CME CF BRR must necessarily SolidX Bitcoin Shares Issued by the VanEck SolidX to Listing and Trading of Shares of ETFS Palladium entail manipulating the price data at one or more Bitcoin Trust, Under BZX Rule 14.11(e)(4), Trust, Securities Exchange Act Release No. 60971 Constituent Platforms. (November 9, 2009), 74 FR 59283 (November 17, Commodity-Based Trust, Securities Exchange Act 86 The BRR Calculation Agent receives trading 2009) (SRNYSEArca–2009–94). Release No. 85119 (February 13, 2019), 84 FR 5140 data from the Constituent Platforms through its (February 20, 2019) (SRCboeBZX–2019–004), n. 11. 83 See Winklevoss II Order, 84 FR 37591. Automatic Programming Interface. See CME–CF 82 84 ‘‘It is not possible, however, to enter into an See, e.g., Frank Easterbrook, Monopoly, Practice Standards, available at: https:// information sharing agreement with the OTC gold Manipulation, and the Regulation of Futures www.cfbenchmarks.com/indices/BRR. market.’’ streetTRACKS Order, 69 FR 64619. See Markets, 59 J. of Bus. S103, S103–S127 (1986); 87 also Order Granting Approval of Proposed Rule William D. Harrington, The Manipulation of See https://docs- Change and Amendment Nos. 2, 3 and 4 and Notice Commodity Futures Prices, 55 St. Johns L. Rev. 240, cfbenchmarks.s3.amazonaws.com/ of Filing and Order Granting Accelerated Approval 240–275 (2012); Robert C. Lower, Disruptions of the CME+CF+Constituent+Exchanges+Criteria.pdf. to Amendment No. 5 by the American Stock Futures Market: A Comment on Dealing With 88 As of April 12, 2021, the initial margin required Exchange LLC Relating to the Listing and Trading Market Manipulation, 8 Yale J. on Reg. 391, 391– in connection with CME Bitcoin Futures for the of the iShares® COMEX Gold Trust, Securities 402 (1991). April 2021 contract ranges from 42% to 38%. 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According to prevent fraudulent and manipulative Share does not change and the Trust data from CoinRoutes from February acts and practices’’ are sufficient to will either accept (for creations) or 2021, the cost to buy or sell $5 million justify dispensing with the requisite distribute (for redemptions) the same number of bitcoin regardless of the worth of bitcoin averages roughly 10 surveillance-sharing agreement. The value. This structure not only mitigates basis points with a market impact of 30 Sponsor believes that the significant the risk associated with potential basis points.89 For a $10 million market liquidity in the spot market and the manipulation, but also discourages and order, the cost to buy or sell is roughly impact of market orders on the overall disincentivizes manipulation of the 20 basis points with a market impact of price of bitcoin have made attempts to move the price of bitcoin increasingly Reference Rate because there is little 50 basis points. Stated another way, a financial incentive to do so. market participant could enter a market expensive over the past year, curtailing buy or sell order for $10 million of potential fraud or manipulation in Creation and Redemption of Shares connection with bitcoin pricing. In bitcoin and only move the market 0.5%. According to the Registration January 2020, for example, the cost to More strategic purchases or sales (such Statement, the Trust will issue and buy or sell $5 million worth of bitcoin as using limit orders and executing redeem Shares on an ongoing basis in averaged roughly 30 basis points through OTC bitcoin trade desks) would one or more Creation Units. A Creation (compared to 10 basis points in likely have less obvious impact on the Unit will consist of a block of 50,000 February 2021) with a market impact of market—which is consistent with Shares. The creation and redemption of 50 basis points (compared to 30 basis MicroStrategy, Tesla, and Square being Creation Units will be effected in in- points in February 2021).91 For a $10 able to collectively purchase billions of kind transactions based on the quantity million market order, the cost to buy or dollars in bitcoin. The Sponsor believes of bitcoin attributable to each Share. that the combination of Bitcoin Futures’ sell was roughly 50 basis points The quantity of bitcoin required to important role in price discovery, the (compared to 20 basis points in create each Creation Unit (the ‘‘Creation overall size of the bitcoin market, and February 2021) with a market impact of Unit Deposit’’) may change from day to the ability of market participants, 80 basis points (compared to 50 basis day. On each day that the Exchange is including authorized participants points in February 2021). As the open for regular trading, the creating and redeeming in-kind with the liquidity in the bitcoin spot market Administrator will determine the increases, it follows that the impact of Trust, to buy or sell large amounts of quantity of bitcoin constituting the $5 million and $10 million orders will bitcoin without significant market Creation Unit Deposit and may make continue to decrease the overall impact impact will help prevent the Shares adjustments as appropriate to reflect in spot price. accrued expenses. Each Business Day, from becoming the predominant force Additionally, the Sponsor believes the Administrator will communicate the on pricing in either the bitcoin spot or that offering only in-kind creation and final Creation Unit Deposit for that same Bitcoin Futures markets. redemption will provide unique Business Day and an estimated Creation The results from a study conducted by protections against potential attempts to CF Benchmarks simulating to determine Unit Deposit for the next Business Day. manipulate the Shares. While the The number of outstanding Shares is the extent of ‘‘slippage’’ (i.e., the Sponsor believes that the Reference Rate expected to increase and decrease from difference between the expected price of used to value the Trust’s bitcoin is itself time to time as a result of the creation a trade and the price at which the trade resistant to manipulation based on the and redemption of Creation Units. The was actually executed) offer further methodology described above, the fact creation and redemption of Creation evidence that trading in the Shares is that creations and redemptions are only Units require the delivery to the Trust, unlikely to be the predominant available in-kind makes the or the distribution by the Trust, of the influence in the bitcoin spot market.90 manipulability of the Reference Rate number of bitcoins represented by the The CF Benchmarks Analysis simulated significantly less important. Creation Units being created or the purchase of 50 bitcoins a day for 686 Specifically, because the Trust will not redeemed. The creation and redemption days (an amount chosen specifically to accept cash to buy bitcoin in order to of a Creation Unit will be made only in replicate hypothetical trades by an ETP) create or redeem Shares, the price that exchange for the delivery to the Trust, and found that the maximum amount of the Sponsor uses to value the Trust’s or the distribution by the Trust, of the slippage on a particular day was 0.3%, bitcoin is not particularly important.92 number of whole and fractional bitcoins with the remainder of values between When authorized participants create represented by each Creation Unit being 0% and 0.15%. Thus, according to CF Shares with the Trust, they need to created or redeemed, the number of Benchmarks, the slippage in this study deliver a certain number of bitcoin per which is determined by dividing the could be described as having been Share (regardless of the valuation used) number of bitcoins owned by the Trust largely negligible or, at most, minor and when they redeem Shares, they can at 4:00 p.m. E.T on the trade date of a during the observation period. similarly expect to receive a certain number of bitcoin per Share. As a result, creation or redemption order, as adjusted for the number of whole and 89 even if the price used to value the These statistics are based on samples of bitcoin fractional bitcoins constituting accrued liquidity in USD (excluding stablecoins or Euro liquidity) based on executable quotes on Coinbase 91 These statistics are based on samples of bitcoin but unpaid fees and expenses of the Pro, Gemini, Bitstamp, Kraken, LMAX Exchange, liquidity in USD (excluding stablecoins or Euro Trust, by the number of Shares BinanceUS, and OKCoin during February 2021. liquidity) based on executable quotes on Coinbase outstanding at such time and 90 See CF Benchmarks, ‘‘An Analysis of the Pro, Gemini, Bitstamp, Kraken, LMAX Exchange, multiplying such quotient by 50,000. Suitability of the CME CF BRR for the Creation of BinanceUS, and OKCoin during February 2021. Authorized Participants are the only Regulated Financial Products,’’ December 2020 (the 92 The Investment Management Fee, which is the ‘‘CF Benchmarks Analysis’’), available at: https:// Trust’s only normal recurring expense is both paid persons that may place orders to create docsend.com/view/kizk7rarzaba6jxf. and calculated in bitcoin. and redeem Creation Units. An VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00134 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28659 Authorized Participant must (i) be a Redemption orders must be placed prior and a calculation of the premium or registered broker-dealer, (ii) enter into a to 4:00 p.m. E.T. or the close of regular discount of such price against such Participant Agreement with the Advisor trading on the Exchange, whichever is NAV; and (iii) data in chart format and the Bitcoin Custodian, and (iii) own earlier. A redemption order will be displaying the frequency distribution of a bitcoin wallet address that is effective on the date it is received by the discounts and premiums of the daily recognized by the Bitcoin Custodian as Transfer Agent (‘‘Redemption Order Bid-Ask Price against the NAV, within belonging to the Authorized Participant Date’’). appropriate ranges, for each of the four (an ‘‘Authorized Participant Self- The redemption distribution from the previous calendar quarters (or for the Administered Account’’). Authorized Trust consists of a transfer of bitcoin to life of the Trust, if shorter). In addition, Participants may act for their own the redeeming Authorized Participant on each business day the Trust’s website accounts or as agents for broker-dealers, corresponding to the number of Shares will provide pricing information for the custodians, and other securities market being redeemed. The redemption Shares. participants that wish to create or distribution due from the Trust will be The Trust’s website, as well as one or redeem Creation Units. Shareholders delivered once the Transfer Agent more major market data vendors, will who are not Authorized Participants notifies the Bitcoin Custodian and the provide an intra-day indicative value will only be able to redeem their Advisor that the Authorized Participant (‘‘IIV’’) per Share updated every 15 Common Shares through an Authorized has delivered the Shares represented by seconds, as calculated by the Exchange Participant. the Creation Units to be redeemed to the or a third party financial data provider Creation Procedures Transfer Agent’s DTC account. If the during the Exchange’s Core Trading Transfer Agent’s DTC account has not Session (9:30 a.m. to 4:00 p.m., E.T.).94 On any Business Day, an Authorized been credited with all of the Shares of The IIV will be calculated by using the Participant may place an order with the the Creation Units to be redeemed, the prior day’s closing NAV per Share as a Transfer Agent to create one or more redemption distribution will be delayed base and updating that value during the Creation Units. Purchase orders must be until such time as the Transfer Agent NYSE Arca Core Trading Session to placed prior to 4:00 p.m. E.T. or the confirms receipt of all such Shares. reflect changes in the value of the close of regular trading on the Exchange, Once the Transfer Agent notifies the Trust’s NAV during the trading day. whichever is earlier. The day on which Bitcoin Custodian and the Advisor that The IIV disseminated during the a valid order is received by the Transfer the Shares have been received in the NYSE Arca Core Trading Session should Agent is considered the purchase order Transfer Agent’s DTC account, the not be viewed as an actual real-time date. Advisor will instruct the Bitcoin update of the NAV, which will be By placing a purchase order, an Custodian to transfer the redemption calculated only once at the end of each Authorized Participant agrees to distribution from the Trust’s Bitcoin trading day. The IIV will be widely facilitate the deposit of bitcoin with the Account to the Authorized Participant. disseminated on a per Share basis every Trust. The total deposit of bitcoin The redemption distribution from the 15 seconds during the NYSE Arca Core required to create each Creation Unit is Trust will consist of a transfer to the Trading Session by one or more major an amount of bitcoin that is in the same redeeming Authorized Participant of an market data vendors. In addition, the IIV proportion to the total assets of the amount of bitcoin that is determined in will be available through on-line Trust (net of accrued but unpaid fees the same manner as the determination information services. and expenses) on the date the purchase of Creation Unit Deposits, as discussed The NAV for the Trust will be order is properly received as the number above. The redemption distribution due calculated by the Sponsor once a day of Shares to be created under the from the Trust will be delivered to the and will be disseminated daily to all purchase order is to the total number of Authorized Participant on the first market participants at the same time. Shares outstanding on the date the order Business Day following the Redemption Quotation and last-sale information is received. regarding the Shares will be Following an Authorized Participant’s Order Date if, by 9:00 a.m. E.T. on such disseminated through the facilities of purchase order, the Bitcoin Account Business Day, the Transfer Agent’s DTC the Consolidated Tape Association must be credited with the required account has been credited with the (‘‘CTA’’). bitcoin by the end of the Business Day Creation Units to be redeemed. If the Quotation and last sale information following the purchase order date. Upon Transfer Agent’s DTC account has not for bitcoin will be widely disseminated receipt of the bitcoin deposit amount in been credited with all of the Creation through a variety of major market data the Trust’s Bitcoin Account, the Bitcoin Units to be redeemed by such time, the vendors, including Bloomberg and Custodian will notify the Transfer redemption distribution will also be Reuters. In addition, the complete real- Agent, the Authorized Participant, and delayed. time price (and volume) data for bitcoin the Advisor that the bitcoin has been Availability of Information is available by subscription from deposited. The Transfer Agent will then The Trust’s website (https:// Reuters and Bloomberg. The spot price direct the Depository Trust Company www.ftportfolios.com) will include of bitcoin is available on a 24-hour basis (‘‘DTC’’) to credit the number of Shares quantitative information on a per Share from major market data vendors, created to the Authorized Participant’s basis updated on a daily basis, including Bloomberg and Reuters. DTC account. including (i) the current NAV per Share Information relating to trading, Redemption Procedures daily and the prior business day’s NAV including price and volume According to the Registration and the reported closing price; (ii) the information, in bitcoin will be available 93 Statement, on any Business Day, an mid-point of the bid-ask price in from major market data vendors and Authorized Participant may place an relation to the NAV as of the time the from the exchanges on which bitcoin are order with the Transfer Agent to redeem NAV is calculated (‘‘Bid-Ask Price’’) traded. The normal trading hours for one or more Creation Units. Authorized 93 The bid-ask price of the Trust is determined 94 The IIV on a per Share basis disseminated Participants may only redeem Creation using the highest bid and lowest offer on the during the Core Trading Session should not be Units and cannot redeem any Shares in Consolidated Tape as of the time of calculation of viewed as a real-time update of the NAV, which is an amount less than a Creation Unit. the closing day NAV. calculated once a day. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00135 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28660 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices bitcoin exchanges are 24-hours per day, the Trust.96 Trading in Shares of the regarding trading in the Shares from 365-days per year. Trust will be halted if the circuit breaker markets and other entities that are The Sponsor will publish the NAV parameters in NYSE Arca Rule 7.12–E members of ISG or with which the per Share on the Trust’s website as soon have been reached. Trading also may be Exchange has in place a CSSA.98 The as practicable after its determination. halted because of market conditions or Exchange is also able to obtain The Trust will provide website for reasons that, in the view of the information regarding trading in the disclosure of its NAV daily. The website Exchange, make trading in the Shares Shares in connection with such ETP disclosure of the Trust’s NAV will occur inadvisable. Holders’ proprietary or customer trades at the same time as the disclosure by the The Exchange may halt trading during which they effect through ETP Holders Sponsor of the NAV to Authorized the day in which an interruption to the on any relevant market. Participants so that all market dissemination of the IIV occurs. If the In addition, the Exchange also has a participants are provided such interruption to the dissemination of the general policy prohibiting the information at the same time. Therefore, IIV persists past the trading day in distribution of material, non-public the same information will be provided which it occurred, the Exchange will information by its employees. on the public website as well as in halt trading no later than the beginning All statements and representations electronic files provided to Authorized of the trading day following the made in this filing regarding (a) the Participants. Accordingly, each investor interruption. In addition, if the description of the portfolios of the will have access to the current NAV of Exchange becomes aware that the NAV Trust, (b) limitations on portfolio the Trust through the Trust’s website, as with respect to the Shares is not holdings or reference assets, or (c) the well as from one or more major market disseminated to all market participants applicability of Exchange listing rules data vendors. at the same time, it will halt trading in specified in this rule filing shall the Shares until such time as the NAV constitute continued listing Trading Rules is available to all market participants. requirements for listing the Shares on The Exchange deems the Shares to be the Exchange. equity securities, thus rendering trading Surveillance The Sponsor has represented to the in the Shares subject to the Exchange’s The Exchange represents that trading Exchange that it will advise the existing rules governing the trading of in the Shares of the Trust will be subject Exchange of any failure by the Trust to equity securities. Shares will trade on to the existing trading surveillances comply with the continued listing the NYSE Arca Marketplace from 4:00 administered by the Exchange, as well requirements, and, pursuant to its a.m. to 8:00 p.m., E.T. in accordance as cross-market surveillances obligations under Section 19(g)(1) of the with NYSE Arca Rule 7.34–E (Early, administered by FINRA on behalf of the Act, the Exchange will monitor for Core, and Late Trading Sessions). The Exchange, which are designed to detect compliance with the continued listing Exchange has appropriate rules to violations of Exchange rules and requirements. If the Trust is not in facilitate transactions in the Shares applicable federal securities laws.97 The compliance with the applicable listing during all trading sessions. As provided Exchange represents that these requirements, the Exchange will in NYSE Arca Rule 7.6–E, the minimum procedures are adequate to properly commence delisting procedures under price variation (‘‘MPV’’) for quoting and monitor Exchange trading of the Shares NYSE Arca Rule 5.5–E(m). in all trading sessions and to deter and entry of orders in equity securities 2. Statutory Basis traded on the NYSE Arca Marketplace is detect violations of Exchange rules and $0.01, with the exception of securities federal securities laws applicable to The basis under the Act for this that are priced less than $1.00, for trading on the Exchange. proposed rule change is the requirement which the MPV for order entry is The surveillances referred to above under Section 6(b)(5) that an exchange $0.0001. generally focus on detecting securities have rules that are designed to prevent The Shares will conform to the initial trading outside their normal patterns, fraudulent and manipulative acts and and continued listing criteria under which could be indicative of practices, to promote just and equitable NYSE Arca Rule 8.201–E. The trading of manipulative or other violative activity. principles of trade, to remove the Shares will be subject to NYSE Arca When such situations are detected, impediments to, and perfect the Rule 8.201–E(g), which sets forth certain surveillance analysis follows and mechanism of a free and open market restrictions on Equity Trading Permit investigations are opened, where and, in general, to protect investors and Holders (‘‘ETP Holders’’) acting as appropriate, to review the behavior of the public interest.99 registered Market Makers in all relevant parties for all relevant The Exchange believes that the Commodity-Based Trust Shares to trading violations. proposed rule change is designed to facilitate surveillance. The Exchange The Exchange or FINRA, on behalf of prevent fraudulent and manipulative represents that, for initial and continued the Exchange, or both, will acts and practices in that the Shares will listing, the Trust will be in compliance communicate as needed regarding be listed and traded on the Exchange with Rule 10A–3 95 under the Act, as trading in the Shares with other markets pursuant to the initial and continued provided by NYSE Arca Rule 5.3–E. A and other entities that are members of listing criteria in NYSE Arca Rule minimum of 100,000 Shares of the Trust the ISG, and the Exchange or FINRA, on 8.201–E. The Exchange has in place will be outstanding at the behalf of the Exchange, or both, may surveillance procedures that are commencement of trading on the obtain trading information regarding adequate to properly monitor trading in Exchange. trading in the Shares from such markets the Shares in all trading sessions and to and other entities. In addition, the deter and detect violations of Exchange Trading Halts Exchange may obtain information rules and applicable federal securities With respect to trading halts, the Exchange may consider all relevant 96 See NYSE Arca Rule 7.12–E. 98 For a list of the current members of ISG, see factors in exercising its discretion to 97 FINRA conducts cross-market surveillances on www.isgportal.org. The Exchange notes that not all behalf of the Exchange pursuant to a regulatory components of the Trust may trade on markets that halt or suspend trading in the Shares of services agreement. The Exchange is responsible for are members of ISG or with which the Exchange has FINRA’s performance under this regulatory services in place a CSSA. 95 17 CFR 240.10A–3. agreement. 99 15 U.S.C. 78f(b)(5). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00136 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28661 laws. The Exchange or FINRA, on behalf Commission’s guidance with respect to it will facilitate the listing and trading of the Exchange, or both, will surveillance sharing agreements. As of an additional type of exchange-traded communicate as needed regarding discussed above, the CME is the primary product that will enhance competition trading in the Shares with other markets market for bitcoin futures, is designed to among market participants, to the that are members of the ISG, and the detect and resist potentially benefit of investors and the marketplace. Exchange or FINRA, on behalf of the manipulative trading activity, and, as a As noted above, the Exchange has in Exchange, or both, may obtain trading member of ISG, can provide the place surveillance procedures relating to information regarding trading in the Exchange with information to assist in trading in the Shares and may obtain Shares from such markets. In addition, detecting and deterring potential fraud information via ISG from other the Exchange may obtain information or manipulation. exchanges that are members of ISG or regarding trading in the Shares from The proposed rule change is also with which the Exchange has entered markets that are members of ISG or with designed to promote just and equitable into a CSSA. In addition, as noted which the Exchange has in place a principles of trade and to protect above, investors will have ready access CSSA. Also, pursuant to NYSE Arca investors and the public interest in that to information regarding the Trust’s Rule 8.201–E(g), the Exchange is able to there is a considerable amount of NAV, IIV, and quotation and last sale obtain information regarding trading in bitcoin price and market information information for the Shares. the Shares and the underlying bitcoin or available on public websites and any bitcoin derivative through ETP through professional and subscription B. Self-Regulatory Organization’s Holders acting as registered Market services. Investors may obtain, on a 24- Statement on Burden on Competition Makers, in connection with such ETP hour basis, bitcoin pricing information The Exchange does not believe that Holders’ proprietary or customer trades based on the spot price for bitcoin from the proposed rule change will impose through ETP Holders which they effect various financial information service any burden on competition that is not on any relevant market. providers. The closing price and settlement prices of bitcoin are readily necessary or appropriate in furtherance The Exchange also believes that the available from the bitcoin exchanges of the purposes of the Act. The proposed rule change is designed to and other publicly available websites. In Exchange notes that the proposed rule prevent fraudulent and manipulative addition, such prices are published in change will facilitate the listing and acts and practices and to protect public sources, or on-line information trading of an additional type of investors and the public interest services such as Bloomberg and Reuters. exchange-traded product, which will because investing in the Trust will The NAV per Share will be calculated enhance competition among market provide investors with exposure to daily and made available to all market participants, to the benefit of investors bitcoin in a manner that is more participants at the same time. The Trust and the marketplace. efficient and convenient than the will provide website disclosure of its C. Self-Regulatory Organization’s purchase of stand-alone bitcoin, while NAV daily. One or more major market also mitigating some of the volatility data vendors will disseminate for the Statement on Comments on the risk typically associated with the Trust on a daily basis information with Proposed Rule Change Received From purchase of stand-alone bitcoin. As respect to the most recent NAV per Members, Participants, or Others discussed above, the Trust will use the Share and Shares outstanding. In No written comments were solicited Reference Rate to determine the value of addition, if the Exchange becomes its bitcoin assets and its NAV. While or received with respect to the proposed aware that the NAV with respect to the rule change. bitcoin is listed and traded on a number Shares is not disseminated to all market of markets and platforms, the Reference participants at the same time, it will halt III. Date of Effectiveness of the Rate is determined exclusively based on trading in the Shares until such time as Proposed Rule Change and Timing for its Constituent Platforms, and therefore, the NAV is available to all market Commission Action use of the Reference Rate would participants. Quotation and last-sale mitigate the effects of potential information regarding the Shares will be Within 45 days of the date of manipulation of the bitcoin market. disseminated through the facilities of publication of this notice in the Federal Additionally, the capital necessary to the CTA. The IIV will be widely Register or up to 90 days (i) as the maintain a significant presence on any disseminated on a per Share basis every Commission may designate if it finds Constituent Platform would make 15 seconds during the NYSE Arca Core such longer period to be appropriate manipulation of the Reference Rate Trading Session (normally 9:30 a.m., and publishes its reasons for so finding unlikely. Bitcoin trades in a well- E.T., to 4:00 p.m., E.T.) by one or more or (ii) as to which the self-regulatory arbitraged and distributed market. The major market data vendors. In addition, organization consents, the Commission linkage between the bitcoin markets and the IIV will be available on the Trust’s will: the presence of arbitrageurs in those website and through on-line information (A) By order approve or disapprove markets means that the manipulation of services. The Exchange represents that the proposed rule change, or the price of bitcoin on any Constituent the Exchange may halt trading during (B) institute proceedings to determine Platform would likely require the day in which an interruption to the whether the proposed rule change overcoming the liquidity supply of such dissemination of the IIV occurs. If the arbitrageurs who are potentially interruption to the dissemination of the should be disapproved. eliminating any cross-market pricing IIV persists past the trading day in IV. Solicitation of Comments differences. The proposed rule change is which it occurred, the Exchange will also designed to prevent fraudulent and halt trading no later than the beginning Interested persons are invited to manipulative acts and practices based of the trading day following the submit written data, views, and on the function of the CME, either alone interruption. arguments concerning the foregoing, as the sole market for bitcoin futures or The proposed rule change is designed including whether the proposed rule as a group of markets together with the to perfect the mechanism of a free and change is consistent with the Act. Constituent Platforms, as a ‘‘market of open market and, in general, to protect Comments may be submitted by any of significant size’’ consistent with the investors and the public interest in that the following methods: VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00137 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28662 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Electronic Comments SECURITIES AND EXCHANGE will be available to all Members and Non-Members.3 The proposed Open- • COMMISSION Use the Commission’s internet Close Report would be described in comment form (http://www.sec.gov/ [Release No. 34–91963; File No. SR– EMERALD–2021–18] Exchange Rule 531(b)(1) and is based on rules/sro.shtml); or market data products currently available • Send an email to rule-comments@ Self-Regulatory Organizations; MIAX on most other options exchanges.4 sec.gov. Please include File Number SR– Emerald, LLC; Notice of Filing and The Exchange proposes to offer the NYSEArca–2021–37 on the subject line. Immediate Effectiveness of a Proposed Open-Close Report, which will be a Rule Change To Adopt a New volume summary of trading activity on Paper Comments Historical Market Data Product To Be the Exchange at the option level by • Known as the Open-Close Report origin (Priority Customer, Non-Priority Send paper comments in triplicate Customer, Firm, Broker-Dealer, and to: Secretary, Securities and Exchange May 21, 2021. Market Maker 5), side of the market (buy Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the or sell), contract volume, and Washington, DC 20549–1090. Securities Exchange Act of 1934 transaction type (opening or closing). 1 2 All submissions should refer to File (‘‘Act’’), and Rule 19b–4 thereunder, The Priority Customer, Non-Priority notice is hereby given that on May 10, Number SR–NYSEArca–2021–37. This Customer, Firm, Broker-Dealer, and 2021, MIAX Emerald, LLC (‘‘MIAX Market Maker volume is further broken file number should be included on the Emerald’’ or the ‘‘Exchange’’) filed with down into trade size buckets (less than subject line if email is used. To help the the Securities and Exchange 100 contracts, 100–199 contracts, greater Commission process and review your Commission (‘‘Commission’’) a than 199 contracts). The Open-Close comments more efficiently, please use proposed rule change as described in Report is proprietary Exchange trade only one method. The Commission will Items I and II below, which Items have data and does not include trade data post all comments on the Commission’s been prepared by the Exchange. The from any other exchange. It is also a internet website (http://www.sec.gov/ Commission is publishing this notice to historical data product and not a real- rules/sro.shtml). Copies of the solicit comments on the proposed rule time data feed. The Open-Close Report submission, all subsequent change from interested persons. would be described under proposed amendments, all written statements 6 I. Self-Regulatory Organization’s Exchange Rule 531(b)(1). with respect to the proposed rule Specifically, the Open-Close Report Statement of the Terms of Substance of would include the following data: change that are filed with the the Proposed Rule Change Commission, and all written • Aggregate number of buy and sell The Exchange proposes to adopt a transactions in the affected series; communications relating to the • proposed rule change between the new historical market data product to be Aggregate volume traded known as the Open-Close Report. Commission and any person, other than electronically on the Exchange in the The text of the proposed rule change affected series; those that may be withheld from the is available on the Exchange’s website at • Aggregate number of trades effected public in accordance with the http://www.miaxoptions.com/rule- on the Exchange to open a position; 7 provisions of 5 U.S.C. 552, will be filings/emerald at MIAX Emerald’s available for website viewing and principal office, and at the 3 The term ‘‘Member’’ means an individual or printing in the Commission’s Public Commission’s Public Reference Room. organization approved to exercise the trading rights Reference Room, 100 F Street NE, associated with a Trading Permit. Members are deemed ‘‘members’’ under the Exchange Act. See Washington, DC 20549 on official II. Self-Regulatory Organization’s Statement of the Purpose of, and Exchange Rule 100. business days between the hours of 4 Statutory Basis for, the Proposed Rule See Securities Exchange Act Release Nos. 89497 10:00 a.m. and 3:00 p.m. Copies of the (August 6, 2020), 85 FR 48747 (August 12, 2020) Change filing also will be available for (SR–CboeBZX–2020–059); 89498 (August 6, 2020), In its filing with the Commission, the 85 FR 48735 (August 12, 2020) (SR–Cboe–EDGX– inspection and copying at the principal 2020–36); 85817 (May 9, 2019), 84 FR 21863 (May office of the Exchange. All comments Exchange included statements 15, 2019) (SR–CBOE–2019–026); 89496 (August 6, received will be posted without change. concerning the purpose of and basis for 2020), 85 FR 48743 (August 12, 2020) (SR–C2– 2020–010); 89596 (August 17, 2020), 85 FR 51833 Persons submitting comments are the proposed rule change and discussed any comments it received on the (August 21, 2020) (SR–C2–2020–012); 62887 cautioned that we do not redact or edit (September 10, 2010), 75 FR 57092 (September 17, personal identifying information from proposed rule change. The text of these 2010) (SR–Phlx–2010–121); 65587 (October 18, comment submissions. You should statements may be examined at the 2011), 76 FR 65765 (October 24, 2011) (SR– places specified in Item IV below. The NASDAQ–2011–144); 61317 (January 8, 2010), 75 submit only information that you wish Exchange has prepared summaries, set FR 2915 (January 19, 2010) (SR–ISE–2009–103); to make available publicly. All 62887 (September 10, 2010), 75 FR 57092 forth in sections A, B, and C below, of submissions should refer to File (September 17, 2010) (SR–Phlx–2010–121); 65587 the most significant aspects of such (October 18, 2011), 76 FR 65765 (October 24, 2011) Number SR–NYSEArca–2021–37 and statements. (SR–NASDAQ–2011–144); and 81632 (September should be submitted on or before June 15, 2017), 82 FR 44235 (September 21, 2017) (SR– 17, 2021. A. Self-Regulatory Organization’s GEMX–2017–42). Statement of the Purpose of, and 5 See Exchange Rule 100 for the definitions of the For the Commission, by the Division of Statutory Basis for, the Proposed Rule terms Priority Customer, Non-Priority Customer, Firm, Broker-Dealer, and Market Maker. Trading and Markets, pursuant to delegated Change authority.100 6 The Exchange also proposes to amend the title 1. Purpose of Exchange Rule 531 to include ‘‘Market Data J. Matthew DeLesDernier, Products.’’ Assistant Secretary. The Exchange proposes to adopt a 7 The Open-Close Report would provide [FR Doc. 2021–11172 Filed 5–26–21; 8:45 am] new historical market data product to be subscribers with the aggregate number of ‘‘opening known as the Open-Close Report, which purchase transactions’’ in the affected series. An BILLING CODE 8011–01–P opening purchase transaction is an Exchange options transaction in which the purchaser’s 1 15 U.S.C. 78s(b)(1). intention is to create or increase a long position in 100 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. the series of options involved in such transaction. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00138 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28663 • Aggregate number of trades effected End of Day Report Section 6(b) of the Act 9 in general, and on the Exchange to close a position; 8 furthers the objectives of Section 6(b)(5) The end of day product would 10 • Origin of the orders and quotes include the aggregate data described of the Act in particular, in that it is involved in trades on the Exchange in above representing the entire trading designed to prevent fraudulent and the affected series during a particular session. It would be calculated during manipulative acts and practices, to promote just and equitable principles of trading session, specifically aggregated an overnight process after the close of trade, to remove impediments to and in the following categories of trading on the Exchange and would be perfect the mechanism of a free and available to subscribers for download participants: Priority Customer, Non- open market and a national market the following morning at approximately Priority Customer, Firm, Broker-Dealer, system, and to protect investors and the 7:00 a.m., ET. and Market Maker. public interest, and that it is not The Exchange anticipates a wide Intra-Day Report designed to permit unfair variety of market participants to The Exchange also proposed to offer discrimination among customers, purchase the Open-Close Report, an intraday Open-Close Report that brokers, or dealers. In adopting Regulation NMS, the including, but not limited to, individual would also include aggregated data Commission granted self-regulatory customers, buy-side investors, and described above, but would be produced organizations (‘‘SROs’’) and broker- investment banks. The Open-Close and updated every 10 minutes during dealers increased authority and Report would provide subscribers data the trading day. Data would be captured flexibility to offer new and unique that should enhance their ability to in ‘‘snapshots’’ taken every 10 minutes analyze option trade and volume data, market data to the public. It was throughout the trading day and would believed that this authority would and to create and test trading models be available to subscribers within five and analytical strategies. The Exchange expand the amount of data available to minutes of the conclusion of each 10- consumers, and also spur innovation believes that Open-Close Report will be minute period. For example, subscribers and competition for the provision of a valuable tool that subscribers can use to the intraday product would receive market data. Particularly, the Open- to gain comprehensive insight into the the first calculation of intraday data no Close Report further broadens the trading activity in a particular option later than 9:45 a.m. ET, which availability of U.S. option market data to series. The proposed report is a represents data captured from 9:30 a.m. investors consistent with the principles completely voluntary product, in that to 9:40 a.m. Subscribers will receive the of Regulation NMS. The data product the Exchange is not required by any rule next update by 9:55 a.m., representing also promotes increased transparency or regulation to make this data available the data previously provided aggregated through the dissemination of the Open- and that potential subscribers may with data captured up to 9:50 a.m., and Close Report’s data. The proposed rule purchase it only if they voluntarily so forth. Each update will represent change would benefit investors by choose to do so. The Exchange will combined data captured from the providing access to the Open-Close establish a monthly subscriber fee for current ‘‘snapshot’’ and all previous Report, which may promote better the Open-Close Report by way of a ‘‘snapshots’’ and thus will provide informed trading throughout the trading separate proposed rule change, which open-close data on an aggregate basis. day. Particularly, information regarding the Exchange will submit prior to the The intraday Open-Close Report will opening and closing activity across launch of the Open-Close Report. provide a volume summary of trading different option series during the activity on the Exchange at the option The Exchange proposes to offer two trading day may indicate investor level by origin (Priority Customer, Non- versions of the Open-Close Report. One sentiment, which may allow market Priority Customer, Firm, Broker-Dealer, will contain historical data from the participants to make better informed and Market Maker), side of the market previous trading day and will be trading decisions throughout the day. (buy or sell), and transaction type Subscribers to the data may also be able available after the end of the trading (opening or closing). All volume will be day, generally on a T+1 basis. The other to enhance their ability to analyze further broken down into trade size option trade and volume data and create version will include ‘‘snapshots’’ taken buckets (less than 100 contracts, 100– every 10 minutes throughout the trading and test trading models and analytical 199 contracts, greater than 199 strategies. The Exchange believes the day and would be available within five contracts). minutes of the conclusion of each 10- Open-Close Report provides a valuable The Exchange believes the proposed tool that subscribers can use to gain minute period. intraday Open-Close Report may also comprehensive insight into the trading provide helpful trading information activity in a particular series, but also The Open-Close Report would also provide regarding investor sentiment that may emphasizes such data is not necessary subscribers with the aggregate number of ‘‘opening allow market participants to make better writing transactions.’’ An opening writing for trading. transaction is an Exchange options transaction in trading decisions throughout the day Moreover, other exchanges also off a which the seller’s (writer’s) intention is to create or and may be used to create and test substantially identical data product.11 increase a short position in the series of options trading models and analytical strategies Specifically, NASDAQ OMX PHLX involved in such transaction. and provides comprehensive insight 8 The Open-Close Report will provide subscribers (‘‘PHLX’’) and the NASDAQ Stock with the aggregate number of ‘‘closing purchase into trading on the Exchange. For Market LLC (‘‘NASDAQ’’) offer the transactions’’ in the affected series. A closing example, intraday open data may allow PHLX Options Trade Outline purchase transaction is an Exchange options a market participant to identify new (‘‘PHOTO’’) and NASDAQ Options transaction in which the purchaser’s intention is to interest or possible risks throughout the reduce or eliminate a short position in the series of Trade Outline (‘‘NOTO’’), respectively. options involved in such transaction. The Open- trading day, while intraday closing data The Cboe Exchange, Inc. (‘‘Cboe’’), Cboe Close Report would also provide subscribers with may allow a market participant to C2 Exchange, Inc. (‘‘C2’’), Cboe BZX the aggregate number of ‘‘closing sale transactions.’’ identify fading interests in a security. Exchange, Inc. (‘‘BZX’’), and Cboe EDGX A closing sale transaction is an Exchange options transaction an Exchange options transaction in 2. Statutory Basis which the seller’s intention is to reduce or 9 15 U.S.C. 78f(b). eliminate a long position in the series of options The Exchange believes that its 10 15 U.S.C. 78f(b)(5). involved in such transaction. proposed rule change is consistent with 11 See supra note 4. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00139 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28664 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Exchange, Inc. (‘‘EDGX’’) all offer the burden on competition; and (iii) become arguments concerning the foregoing, market data products called the End of operative for 30 days from the date on including whether the proposed rule Day and Intraday Open-Close Data. The which it was filed, or such shorter time change is consistent with the Act. Phlx, Nasdaq, Cboe, C2, BZX, and EDGX as the Commission may designate, it has Comments may be submitted by any of products provide substantially the same become effective pursuant to Section the following methods: information as that included in the 19(b)(3)(A) of the Act 16 and Rule 19b– proposed Open-Close Report. Like the 4(f)(6) 17 thereunder. Electronic Comments proposed product, the data is provided A proposed rule change filed under • Use the Commission’s internet to subscribers in the other exchange’s Rule 19b–4(f)(6) 18 normally does not comment form (http://www.sec.gov/ market data products after the end of the become operative prior to 30 days after rules/sro.shtml); or trading and cumulatively every 10 the date of the filing. However, pursuant minutes and provided within five to Rule 19b–4(f)(6)(iii),19 the • Send an email to rule-comments@ minutes of the conclusion of each 10- Commission may designate a shorter sec.gov. Please include File Number SR– minute period. time if such action is consistent with EMERALD–2021–18 on the subject line. protection of investors and the public B. Self-Regulatory Organization’s interest. The Exchange has asked the Paper Comments Statement on Burden on Competition Commission to waive the 30-day • Send paper comments in triplicate operative delay so that the proposed The Exchange does not believe that to Secretary, Securities and Exchange the proposed rule change will result in rule change may become operative on Commission, 100 F Street NE, any burden on competition that is not June 1, 2021, the anticipated date upon Washington, DC 20549–1090. necessary or appropriate in furtherance which the Exchange expects to start to of the purposes of the Act. Rather, the offer the Open-Close Report. In support All submissions should refer to File Exchange believes that the proposal will of its waiver request, the Exchange notes Number SR–EMERALD–2021–18. This promote competition by permitting the that other exchanges offer a file number should be included on the 20 Exchange to offer a data product similar substantially identical data product. subject line if email is used. To help the to those offered by other competitor The Commission believes that, as Commission process and review your options exchanges.12 The Exchange is described above, the Exchange’s comments more efficiently, please use proposal does not raise any new or proposing to introduce the Open-Close only one method. The Commission will novel issues. Therefore, the Commission Report in order to keep pace with post all comments on the Commission’s believes that waving the 30-day changes in the industry and evolving internet website (http://www.sec.gov/ customer needs, and believes this operative delay is consistent with the protection of investors and the public rules/sro.shtml). Copies of the proposed rule change would contribute submission, all subsequent to robust competition among national interest. Accordingly, the Commission amendments, all written statements securities exchanges. As noted, most designates the proposed rule change to 21 with respect to the proposed rule other options exchanges offer a market be operative on June 1, 2021. data product that is similar to the Open- At any time within 60 days of the change that are filed with the Close Report.13 As a result, the filing of the proposed rule change, the Commission, and all written Exchange believes this proposed rule Commission summarily may communications relating to the change permits fair competition among temporarily suspend such rule change if proposed rule change between the national securities exchanges. it appears to the Commission that such Commission and any person, other than Therefore, the Exchange does not action is necessary or appropriate in the those that may be withheld from the believe the proposed rule change will public interest, for the protection of public in accordance with the result in any burden on competition that investors, or otherwise in furtherance of provisions of 5 U.S.C. 552, will be is not necessary or appropriate in the purposes of the Act. If the available for website viewing and furtherance of the purposes of the Act. Commission takes such action, the printing in the Commission’s Public Commission will institute proceedings Reference Room, 100 F Street NE, C. Self-Regulatory Organization’s to determine whether the proposed rule Washington, DC 20549, on official Statement on Comments on the change should be approved or business days between the hours of Proposed Rule Change Received From disapproved. Members, Participants, or Others 10:00 a.m. and 3:00 p.m. Copies of the IV. Solicitation of Comments filing also will be available for Written comments were neither Interested persons are invited to inspection and copying at the principal solicited nor received. submit written data, views, and office of the Exchange. All comments III. Date of Effectiveness of the received will be posted without change. Proposed Rule Change and Timing for 16 15 U.S.C. 78s(b)(3)(A). Persons submitting comments are Commission Action 17 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– cautioned that we do not redact or edit 4(f)(6)(iii) requires the Exchange to give the The Exchange has filed the proposed Commission written notice of the Exchange’s intent personal identifying information from rule change pursuant to Section to file the proposed rule change, along with a brief comment submissions. You should 19(b)(3)(A) of the Act 14 and Rule 19b– description and text of the proposed rule change, submit only information that you wish at least five business days prior to the date of filing 15 to make available publicly. All 4(f)(6) thereunder. Because the of the proposed rule change, or such shorter time foregoing proposed rule change does as designated by the Commission. The Exchange submissions should refer to File not: (i) Significantly affect the has satisfied this requirement. Number SR–EMERALD–2021–18 and protection of investors or the public 18 17 CFR 240.19b–4(f)(6). should be submitted on or before June interest; (ii) impose any significant 19 17 CFR 240.19b–4(f)(6). 17, 2021. 20 See supra note 11 and accompanying text. 21 For purposes only of waiving the 30-day 12 Id. operative delay, the Commission also has 13 Id. considered the proposed rule’s impact on 14 15 U.S.C. 78(b)(3)(A). efficiency, competition, and capital formation. See 15 17 CFR 240.19b–4(f)(6). 15 U.S.C. 78c(f). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00140 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28665 For the Commission, by the Division of Exchange has prepared summaries, set • Aggregate volume traded Trading and Markets, pursuant to delegated forth in sections A, B, and C below, of electronically on the Exchange in the authority.22 the most significant aspects of such affected series; J. Matthew DeLesDernier, statements. • Aggregate number of trades effected Assistant Secretary. on the Exchange to open a position; 6 A. Self-Regulatory Organization’s • [FR Doc. 2021–11173 Filed 5–26–21; 8:45 am] Aggregate number of trades effected Statement of the Purpose of, and 7 BILLING CODE 8011–01–P on the Exchange to close a position; Statutory Basis for, the Proposed Rule • Origin of the orders and quotes Change involved in trades on the Exchange in SECURITIES AND EXCHANGE 1. Purpose the affected series during a particular trading session, specifically aggregated COMMISSION The Exchange proposes to adopt a in the following categories of new historical market data product to be [Release No. 34–91965; File No. SR–MIAX– participants: Priority Customer, Non- 2021–18] known as the Open-Close Report, which Priority Customer, Firm, Broker-Dealer, will be available to all Members and and Market Maker. Self-Regulatory Organizations; Miami Non-Members.3 The proposed Open- The Exchange anticipates a wide International Securities Exchange, Close Report would be described in variety of market participants to LLC; Notice of Filing and Immediate Exchange Rule 531(b)(1) and is based on purchase the Open-Close Report, Effectiveness of a Proposed Rule market data products currently available including, but not limited to, individual Change To Adopt a New Historical on most other options exchanges.4 Market Data Product To Be Known as The Exchange proposes to offer the customers, buy-side investors, and the Open-Close Report Open-Close Report, which will be a investment banks. The Open-Close volume summary of trading activity on Report would provide subscribers data May 21, 2021. the Exchange at the option level by that should enhance their ability to Pursuant to Section 19(b)(1) of the origin (Priority Customer, Non-Priority analyze option trade and volume data, Securities Exchange Act of 1934 Customer, Firm, Broker-Dealer, and and to create and test trading models (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Market Maker 5), side of the market (buy and analytical strategies. The Exchange notice is hereby given that on May 10, or sell), contract volume, and believes that Open-Close Report will be 2021, Miami International Securities transaction type (opening or closing). a valuable tool that subscribers can use Exchange, LLC (‘‘MIAX Options’’ or the The Priority Customer, Non-Priority to gain comprehensive insight into the ‘‘Exchange’’) filed with the Securities Customer, Firm, Broker-Dealer, and trading activity in a particular option and Exchange Commission Market Maker volume is further broken series. The proposed report is a (‘‘Commission’’) a proposed rule change down into trade size buckets (less than completely voluntary product, in that as described in Items I and II below, 100 contracts, 100–199 contracts, greater the Exchange is not required by any rule which Items have been prepared by the than 199 contracts). The Open-Close or regulation to make this data available Exchange. The Commission is Report is proprietary Exchange trade and that potential subscribers may publishing this notice to solicit data and does not include trade data purchase it only if they voluntarily comments on the proposed rule change from any other exchange. It is also a choose to do so. The Exchange will from interested persons. historical data product and not a real- establish a monthly subscriber fee for the Open-Close Report by way of a I. Self-Regulatory Organization’s time data feed. The Open-Close Report would be described under proposed separate proposed rule change, which Statement of the Terms of Substance of the Exchange will submit prior to the the Proposed Rule Change Exchange Rule 531(b)(1). Specifically, the Open-Close Report launch of the Open-Close Report. The Exchange is filing a proposal to would include the following data: The Exchange proposes to offer two adopt a new historical market data • Aggregate number of buy and sell versions of the Open-Close Report. One product to be known as the Open-Close transactions in the affected series; will contain historical data from the Report. The text of the proposed rule change 3 The term ‘‘Member’’ means an individual or 6 The Open-Close Report would provide is available on the Exchange’s website at organization approved to exercise the trading rights subscribers with the aggregate number of ‘‘opening http://www.miaxoptions.com/rule- associated with a Trading Permit. Members are purchase transactions’’ in the affected series. An deemed ‘‘members’’ under the Exchange Act. See opening purchase transaction is an Exchange filings/ at MIAX Options’ principal Exchange Rule 100. options transaction in which the purchaser’s office, and at the Commission’s Public 4 See Securities Exchange Act Release Nos. 89497 intention is to create or increase a long position in Reference Room. (August 6, 2020), 85 FR 48747 (August 12, 2020) the series of options involved in such transaction. (SR–CboeBZX–2020–059); 89498 (August 6, 2020), The Open-Close Report would also provide II. Self-Regulatory Organization’s 85 FR 48735 (August 12, 2020) (SR–Cboe–EDGX– subscribers with the aggregate number of ‘‘opening Statement of the Purpose of, and 2020–36); 85817 (May 9, 2019), 84 FR 21863 (May writing transactions.’’ An opening writing 15, 2019) (SR–CBOE–2019–026); 89496 (August 6, transaction is an Exchange options transaction in Statutory Basis for, the Proposed Rule 2020), 85 FR 48743 (August 12, 2020) (SR–C2– which the seller’s (writer’s) intention is to create or Change 2020–010); 89596 (August 17, 2020), 85 FR 51833 increase a short position in the series of options (August 21, 2020) (SR–C2–2020–012); 62887 involved in such transaction. In its filing with the Commission, the (September 10, 2010), 75 FR 57092 (September 17, 7 The Open-Close Report will provide subscribers Exchange included statements 2010) (SR–Phlx–2010–121); 65587 (October 18, with the aggregate number of ‘‘closing purchase concerning the purpose of and basis for 2011), 76 FR 65765 (October 24, 2011) (SR– transactions’’ in the affected series. A closing the proposed rule change and discussed NASDAQ–2011–144); 61317 (January 8, 2010), 75 purchase transaction is an Exchange options FR 2915 (January 19, 2010) (SR–ISE–2009–103); transaction in which the purchaser’s intention is to any comments it received on the 62887 (September 10, 2010), 75 FR 57092 reduce or eliminate a short position in the series of proposed rule change. The text of these (September 17, 2010) (SR–Phlx–2010–121); 65587 options involved in such transaction. The Open- statements may be examined at the (October 18, 2011), 76 FR 65765 (October 24, 2011) Close Report would also provide subscribers with places specified in Item IV below. The (SR–NASDAQ–2011–144); and 81632 (September the aggregate number of ‘‘closing sale transactions.’’ 15, 2017), 82 FR 44235 (September 21, 2017) (SR– A closing sale transaction is an Exchange options GEMX–2017–42). transaction an Exchange options transaction in 22 17 CFR 200.30–3(a)(12). 5 See Exchange Rule 100 for the definitions of the which the seller’s intention is to reduce or 1 15 U.S.C. 78s(b)(1). terms Priority Customer, Non-Priority Customer, eliminate a long position in the series of options 2 17 CFR 240.19b–4. Firm, Broker-Dealer, and Market Maker. involved in such transaction. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00141 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28666 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices previous trading day and will be interest or possible risks throughout the (‘‘PHLX’’) and the NASDAQ Stock available after the end of the trading trading day, while intraday closing data Market LLC (‘‘NASDAQ’’) offer the day, generally on a T+1 basis. The other may allow a market participant to PHLX Options Trade Outline version will include ‘‘snapshots’’ taken identify fading interests in a security. (‘‘PHOTO’’) and NASDAQ Options every 10 minutes throughout the trading Trade Outline (‘‘NOTO’’), respectively. 2. Statutory Basis day and would be available within five The Cboe Exchange, Inc. (‘‘Cboe’’), Cboe minutes of the conclusion of each 10 The Exchange believes that its C2 Exchange, Inc. (‘‘C2’’), Cboe BZX minute period. proposed rule change is consistent with Exchange, Inc. (‘‘BZX’’), and Cboe EDGX Section 6(b) of the Act 8 in general, and Exchange, Inc. (‘‘EDGX’’) all offer the End of Day Report furthers the objectives of Section 6(b)(5) market data products called the End of The end of day product would of the Act 9 in particular, in that it is Day and Intraday Open-Close Data. The include the aggregate data described designed to prevent fraudulent and Phlx, Nasdaq, Cboe, C2, BZX, and EDGX above representing the entire trading manipulative acts and practices, to products provide substantially the same session. It would be calculated during promote just and equitable principles of information as that included in the an overnight process after the close of trade, to remove impediments to and proposed Open-Close Report. Like the trading on the Exchange and would be perfect the mechanism of a free and proposed product, the data is provided available to subscribers for download open market and a national market to subscribers in the other exchange’s the following morning at approximately system, and to protect investors and the market data products after the end of the 7:00 a.m., ET. public interest, and that it is not trading and cumulatively every 10 designed to permit unfair Intra-Day Report minutes and provided within five discrimination among customers, minutes of the conclusion of each 10 The Exchange also proposed to offer brokers, or dealers. minute period. an intraday Open-Close Report that In adopting Regulation NMS, the would also include aggregated data Commission granted self-regulatory B. Self-Regulatory Organization’s described above, but would be produced organizations (‘‘SROs’’) and broker- Statement on Burden on Competition and updated every 10 minutes during dealers increased authority and The Exchange does not believe that the trading day. Data would be captured flexibility to offer new and unique the proposed rule change will result in in ‘‘snapshots’’ taken every 10 minutes market data to the public. It was any burden on competition that is not throughout the trading day and would believed that this authority would necessary or appropriate in furtherance be available to subscribers within five expand the amount of data available to of the purposes of the Act. Rather, the minutes of the conclusion of each 10 consumers, and also spur innovation Exchange believes that the proposal will minute period. For example, subscribers and competition for the provision of promote competition by permitting the to the intraday product would receive market data. Particularly, the Open- Exchange to offer a data product similar the first calculation of intraday data no Close Report further broadens the to those offered by other competitor later than 9:45 a.m. ET, which availability of U.S. option market data to options exchanges.11 The Exchange is represents data captured from 9:30 a.m. investors consistent with the principles proposing to introduce the Open-Close to 9:40 a.m. Subscribers will receive the of Regulation NMS. The data product Report in order to keep pace with next update by 9:55 a.m., representing also promotes increased transparency changes in the industry and evolving the data previously provided aggregated through the dissemination of the Open- customer needs, and believes this with data captured up to 9:50 a.m., and Close Report’s data. The proposed rule proposed rule change would contribute so forth. Each update will represent change would benefit investors by to robust competition among national combined data captured from the providing access to the Open-Close securities exchanges. As noted, most current ‘‘snapshot’’ and all previous Report, which may promote better other options exchanges offer a market ‘‘snapshots’’ and thus will provide informed trading throughout the trading data product that is similar to the Open- open-close data on an aggregate basis. day. Particularly, information regarding Close Report.12 As a result, the The intraday Open-Close Report will opening and closing activity across Exchange believes this proposed rule provide a volume summary of trading different option series during the change permits fair competition among activity on the Exchange at the option trading day may indicate investor national securities exchanges. level by origin (Priority Customer, Non- sentiment, which may allow market Therefore, the Exchange does not Priority Customer, Firm, Broker-Dealer, participants to make better informed believe the proposed rule change will and Market Maker), side of the market trading decisions throughout the day. result in any burden on competition that (buy or sell), and transaction type Subscribers to the data may also be able is not necessary or appropriate in (opening or closing). All volume will be to enhance their ability to analyze furtherance of the purposes of the Act. further broken down into trade size option trade and volume data and create buckets (less than 100 contracts, 100– and test trading models and analytical C. Self-Regulatory Organization’s 199 contracts, greater than 199 strategies. The Exchange believes the Statement on Comments on the contracts). Open-Close Report provides a valuable Proposed Rule Change Received From The Exchange believes the proposed tool that subscribers can use to gain Members, Participants, or Others intraday Open-Close Report may also comprehensive insight into the trading Written comments were neither provide helpful trading information activity in a particular series, but also solicited nor received. regarding investor sentiment that may emphasizes such data is not necessary III. Date of Effectiveness of the allow market participants to make better for trading. trading decisions throughout the day Moreover, other exchanges also off a Proposed Rule Change and Timing for and may be used to create and test substantially identical data product.10 Commission Action trading models and analytical strategies Specifically, NASDAQ OMX PHLX The Exchange has filed the proposed and provides comprehensive insight rule change pursuant to Section into trading on the Exchange. For 8 15 U.S.C. 78f(b). example, intraday open data may allow 9 15 U.S.C. 78f(b)(5). 11 Id. a market participant to identify new 10 See supra note 4. 12 Id. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00142 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28667 19(b)(3)(A) of the Act 13 and Rule 19b– Commission will institute proceedings For the Commission, by the Division of 4(f)(6) 14 thereunder. Because the to determine whether the proposed rule Trading and Markets, pursuant to delegated foregoing proposed rule change does change should be approved or authority.21 not: (i) Significantly affect the disapproved. J. Matthew DeLesDernier, protection of investors or the public Assistant Secretary. IV. Solicitation of Comments interest; (ii) impose any significant [FR Doc. 2021–11175 Filed 5–26–21; 8:45 am] burden on competition; and (iii) become Interested persons are invited to BILLING CODE 8011–01–P operative for 30 days from the date on submit written data, views, and which it was filed, or such shorter time arguments concerning the foregoing, as the Commission may designate, it has including whether the proposed rule SECURITIES AND EXCHANGE become effective pursuant to Section change is consistent with the Act. COMMISSION 19(b)(3)(A) of the Act 15 and Rule 19b– Comments may be submitted by any of 16 [Release No. 34–91964; File No. SR– 4(f)(6) thereunder. the following methods: PEARL–2021–24] A proposed rule change filed under Rule 19b–4(f)(6) 17 normally does not Electronic Comments Self-Regulatory Organizations; MIAX become operative prior to 30 days after • Use the Commission’s internet PEARL, LLC; Notice of Filing and the date of the filing. However, pursuant comment form (http://www.sec.gov/ Immediate Effectiveness of a Proposed to Rule 19b–4(f)(6)(iii),18 the rules/sro.shtml); or Rule Change To Adopt a New Commission may designate a shorter • Send an email to rule-comments@ Historical Market Data Product To Be time if such action is consistent with Known as the Open-Close Report protection of investors and the public sec.gov. Please include File Number SR– interest. The Exchange has asked the MIAX–2021–18 on the subject line. May 21, 2021. Commission to waive the 30-day Paper Comments Pursuant to Section 19(b)(1) of the operative delay so that the proposed Securities Exchange Act of 1934 rule change may become operative on • Send paper comments in triplicate (‘‘Act’’),1 and Rule 19b–4 thereunder,2 June 1, 2021, the anticipated date upon to Secretary, Securities and Exchange notice is hereby given that on May 10, which the Exchange expects to start to Commission, 100 F Street NE, 2021, MIAX PEARL, LLC (‘‘MIAX offer the Open-Close Report. In support Washington, DC 20549–1090. Pearl)’’ or the ‘‘Exchange’’) filed with of its waiver request, the Exchange notes All submissions should refer to File the Securities and Exchange that other exchanges offer a Number SR–MIAX–2021–18. This file Commission (‘‘Commission’’) a 19 substantially identical data product. number should be included on the proposed rule change as described in The Commission believes that, as subject line if email is used. To help the Items I and II below, which Items have described above, the Exchange’s Commission process and review your been prepared by the Exchange. The proposal does not raise any new or comments more efficiently, please use Commission is publishing this notice to novel issues. Therefore, the Commission only one method. The Commission will solicit comments on the proposed rule believes that waving the 30-day post all comments on the Commission’s change from interested persons. operative delay is consistent with the internet website (http://www.sec.gov/ protection of investors and the public I. Self-Regulatory Organization’s rules/sro.shtml). Copies of the Statement of the Terms of Substance of interest. Accordingly, the Commission submission, all subsequent designates the proposed rule change to the Proposed Rule Change amendments, all written statements be operative on June 1, 2021.20 with respect to the proposed rule The Exchange is filing a proposal to At any time within 60 days of the adopt a new historical market data filing of the proposed rule change, the change that are filed with the Commission, and all written product to be known as the Open-Close Commission summarily may Report. temporarily suspend such rule change if communications relating to the proposed rule change between the The text of the proposed rule change it appears to the Commission that such is available on the Exchange’s website at action is necessary or appropriate in the Commission and any person, other than those that may be withheld from the http://www.miaxoptions.com/rule- public interest, for the protection of filings/pearl at MIAX Pearl’s principal investors, or otherwise in furtherance of public in accordance with the provisions of 5 U.S.C. 552, will be office, and at the Commission’s Public the purposes of the Act. If the Reference Room. Commission takes such action, the available for website viewing and printing in the Commission’s Public II. Self-Regulatory Organization’s 13 15 U.S.C. 78(b)(3)(A). Reference Room, 100 F Street NE, Statement of the Purpose of, and 14 17 CFR 240.19b–4(f)(6). Washington, DC 20549, on official Statutory Basis for, the Proposed Rule 15 15 U.S.C. 78s(b)(3)(A). business days between the hours of Change 16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 10:00 a.m. and 3:00 p.m. Copies of the In its filing with the Commission, the 4(f)(6)(iii) requires the Exchange to give the filing also will be available for Exchange included statements Commission written notice of the Exchange’s intent inspection and copying at the principal to file the proposed rule change, along with a brief concerning the purpose of and basis for office of the Exchange. All comments description and text of the proposed rule change, the proposed rule change and discussed at least five business days prior to the date of filing received will be posted without change. any comments it received on the of the proposed rule change, or such shorter time Persons submitting comments are proposed rule change. The text of these as designated by the Commission. The Exchange cautioned that we do not redact or edit has satisfied this requirement. statements may be examined at the 17 personal identifying information from 17 CFR 240.19b–4(f)(6). places specified in Item IV below. The 18 comment submissions. You should 17 CFR 240.19b–4(f)(6). Exchange has prepared summaries, set 19 submit only information that you wish See supra note 10 and accompanying text. forth in sections A, B, and C below, of 20 For purposes only of waiving the 30-day to make available publicly. All operative delay, the Commission also has submissions should refer to File considered the proposed rule’s impact on 21 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See Number SR–MIAX–2021–18 and should 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). be submitted on or before June 17, 2021. 2 17 CFR 240.19b–4. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00143 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28668 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices the most significant aspects of such • Aggregate volume traded previous trading day and will be statements. electronically on the Exchange in the available after the end of the trading affected series; day, generally on a T+1 basis. The other A. Self-Regulatory Organization’s • Aggregate number of trades effected version will include ‘‘snapshots’’ taken Statement of the Purpose of, and on the Exchange to open a position; 6 every 10 minutes throughout the trading Statutory Basis for, the Proposed Rule • Aggregate number of trades effected day and would be available within five Change on the Exchange to close a position; 7 minutes of the conclusion of each 10 • 1. Purpose Origin of the orders and quotes minute period. involved in trades on the Exchange in The Exchange proposes to adopt a the affected series during a particular End of Day Report new historical market data product for trading session, specifically aggregated The end of day product would options to be known as the Open-Close in the following categories of include the aggregate data described Report, which will be available to all participants: Priority Customer, Non- above representing the entire trading 3 Members and Non-Members. The Priority Customer, Firm, Broker-Dealer, session. It would be calculated during proposed Open-Close Report would be and Market Maker. an overnight process after the close of described in new Exchange Rule The Exchange anticipates a wide trading on the Exchange and would be 531(b)(1) and is based on market data variety of market participants to available to subscribers for download products currently available on most purchase the Open-Close Report, the following morning at approximately other options exchanges.4 including, but not limited to, individual 7:00 a.m., ET. The Exchange proposes to offer the customers, buy-side investors, and Intra-Day Report Open-Close Report, which will be a investment banks. The Open-Close volume summary of trading activity on Report would provide subscribers data The Exchange also proposed to offer the Exchange at the option level by that should enhance their ability to an intraday Open-Close Report that origin (Priority Customer, Non-Priority analyze option trade and volume data, would also include aggregated data Customer, Firm, Broker-Dealer, and and to create and test trading models described above, but would be produced Market Maker 5), side of the market (buy and analytical strategies. The Exchange and updated every 10 minutes during or sell), contract volume, and believes that Open-Close Report will be the trading day. Data would be captured transaction type (opening or closing). a valuable tool that subscribers can use in ‘‘snapshots’’ taken every 10 minutes The Priority Customer, Non-Priority to gain comprehensive insight into the throughout the trading day and would Customer, Firm, Broker-Dealer, and trading activity in a particular option be available to subscribers within five Market Maker volume is further broken series. The proposed report is a minutes of the conclusion of each 10 down into trade size buckets (less than completely voluntary product, in that minute period. For example, subscribers 100 contracts, 100–199 contracts, greater the Exchange is not required by any rule to the intraday product would receive than 199 contracts). The Open-Close or regulation to make this data available the first calculation of intraday data no Report is proprietary Exchange trade and that potential subscribers may later than 9:45 a.m. ET, which data and does not include trade data purchase it only if they voluntarily represents data captured from 9:30 a.m. from any other exchange. It is also a choose to do so. The Exchange will to 9:40 a.m. Subscribers will receive the historical data product and not a real- establish a monthly subscriber fee for next update by 9:55 a.m., representing time data feed. The Open-Close Report the Open-Close Report by way of a the data previously provided aggregated would be described under proposed separate proposed rule change, which with data captured up to 9:50 a.m., and Exchange Rule 531(b)(1). the Exchange will submit prior to the so forth. Each update will represent Specifically, the Open-Close Report launch of the Open-Close Report. combined data captured from the would include the following data: The Exchange proposes to offer two current ‘‘snapshot’’ and all previous • Aggregate number of buy and sell versions of the Open-Close Report. One ‘‘snapshots’’ and thus will provide transactions in the affected series; will contain historical data from the open-close data on an aggregate basis. The intraday Open-Close Report will 3 The term ‘‘Member’’ means an individual or 6 The Open-Close Report would provide provide a volume summary of trading organization approved to exercise the trading rights subscribers with the aggregate number of ‘‘opening activity on the Exchange at the option associated with a Trading Permit. Members are purchase transactions’’ in the affected series. An level by origin (Priority Customer, Non- deemed ‘‘members’’ under the Exchange Act. See opening purchase transaction is an Exchange Priority Customer, Firm, Broker-Dealer, Exchange Rule 100. options transaction in which the purchaser’s 4 See Securities Exchange Act Release Nos. 89497 intention is to create or increase a long position in and Market Maker), side of the market (August 6, 2020), 85 FR 48747 (August 12, 2020) the series of options involved in such transaction. (buy or sell), and transaction type (SR–CboeBZX–2020–059); 89498 (August 6, 2020), The Open-Close Report would also provide (opening or closing). All volume will be 85 FR 48735 (August 12, 2020) (SR–Cboe–EDGX– subscribers with the aggregate number of ‘‘opening further broken down into trade size 2020–36); 85817 (May 9, 2019), 84 FR 21863 (May writing transactions.’’ An opening writing 15, 2019) (SR–CBOE–2019–026); 89496 (August 6, transaction is an Exchange options transaction in buckets (less than 100 contracts, 100– 2020), 85 FR 48743 (August 12, 2020) (SR–C2– which the seller’s (writer’s) intention is to create or 199 contracts, greater than 199 2020–010); 89596 (August 17, 2020), 85 FR 51833 increase a short position in the series of options contracts). (August 21, 2020) (SR–C2–2020–012); 62887 involved in such transaction. The Exchange believes the proposed (September 10, 2010), 75 FR 57092 (September 17, 7 The Open-Close Report will provide subscribers 2010) (SR–Phlx–2010–121); 65587 (October 18, with the aggregate number of ‘‘closing purchase intraday Open-Close Report may also 2011), 76 FR 65765 (October 24, 2011) (SR– transactions’’ in the affected series. A closing provide helpful trading information NASDAQ–2011–144); 61317 (January 8, 2010), 75 purchase transaction is an Exchange options regarding investor sentiment that may FR 2915 (January 19, 2010) (SR–ISE–2009–103); transaction in which the purchaser’s intention is to allow market participants to make better 62887 (September 10, 2010), 75 FR 57092 reduce or eliminate a short position in the series of (September 17, 2010) (SR–Phlx–2010– 121); 65587 options involved in such transaction. The Open- trading decisions throughout the day (October 18, 2011), 76 FR 65765 (October 24, 2011) Close Report would also provide subscribers with and may be used to create and test (SR–NASDAQ–2011–144); and 81632 (September the aggregate number of ‘‘closing sale transactions.’’ trading models and analytical strategies 15, 2017), 82 FR 44235 (September 21, 2017) (SR– A closing sale transaction is an Exchange options and provides comprehensive insight GEMX–2017–42). transaction an Exchange options transaction in 5 See Exchange Rule 100 for the definitions of the which the seller’s intention is to reduce or into trading on the Exchange. For terms Priority Customer, Non-Priority Customer, eliminate a long position in the series of options example, intraday open data may allow Firm, Broker-Dealer, and Market Maker. involved in such transaction. a market participant to identify new VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00144 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28669 interest or possible risks throughout the (‘‘PHLX’’) and the NASDAQ Stock 19(b)(3)(A) of the Act 13 and Rule 19b– trading day, while intraday closing data Market LLC (‘‘NASDAQ’’) offer the 4(f)(6) 14 thereunder. Because the may allow a market participant to PHLX Options Trade Outline foregoing proposed rule change does identify fading interests in a security. (‘‘PHOTO’’) and NASDAQ Options not: (i) Significantly affect the Trade Outline (‘‘NOTO’’), respectively. protection of investors or the public 2. Statutory Basis The Cboe Exchange, Inc. (‘‘Cboe’’), Cboe interest; (ii) impose any significant The Exchange believes that its C2 Exchange, Inc. (‘‘C2’’), Cboe BZX burden on competition; and (iii) become proposed rule change is consistent with Exchange, Inc. (‘‘BZX’’), and Cboe EDGX operative for 30 days from the date on Section 6(b) of the Act 8 in general, and Exchange, Inc. (‘‘EDGX’’) all offer the which it was filed, or such shorter time furthers the objectives of Section 6(b)(5) market data products called the End of as the Commission may designate, it has of the Act 9 in particular, in that it is Day and Intraday Open-Close Data. The become effective pursuant to Section designed to prevent fraudulent and Phlx, Nasdaq, Cboe, C2, BZX, and EDGX 19(b)(3)(A) of the Act 15 and Rule 19b– manipulative acts and practices, to products provide substantially the same 4(f)(6) 16 thereunder. promote just and equitable principles of information as that included in the A proposed rule change filed under trade, to remove impediments to and proposed Open-Close Report. Like the Rule 19b–4(f)(6) 17 normally does not perfect the mechanism of a free and proposed product, the data is provided become operative prior to 30 days after open market and a national market to subscribers in the other exchange’s the date of the filing. However, pursuant system, and to protect investors and the market data products after the end of the to Rule 19b–4(f)(6)(iii),18 the public interest, and that it is not trading and cumulatively every 10 Commission may designate a shorter designed to permit unfair minutes and provided within five time if such action is consistent with discrimination among customers, minutes of the conclusion of each 10 protection of investors and the public brokers, or dealers. minute period. interest. The Exchange has asked the In adopting Regulation NMS, the Commission to waive the 30-day Commission granted self-regulatory B. Self-Regulatory Organization’s operative delay so that the proposed organizations (‘‘SROs’’) and broker- Statement on Burden on Competition rule change may become operative on dealers increased authority and The Exchange does not believe that June 1, 2021, the anticipated date upon flexibility to offer new and unique the proposed rule change will result in which the Exchange expects to start to market data to the public. It was any burden on competition that is not offer the Open-Close Report. In support believed that this authority would necessary or appropriate in furtherance of its waiver request, the Exchange notes expand the amount of data available to of the purposes of the Act. Rather, the that other exchanges offer a consumers, and also spur innovation Exchange believes that the proposal will substantially identical data product.19 and competition for the provision of promote competition by permitting the The Commission believes that, as market data. Particularly, the Open- Exchange to offer a data product similar described above, the Exchange’s Close Report further broadens the to those offered by other competitor proposal does not raise any new or availability of U.S. option market data to options exchanges.11 The Exchange is novel issues. Therefore, the Commission investors consistent with the principles proposing to introduce the Open-Close believes that waving the 30-day of Regulation NMS. The data product Report in order to keep pace with operative delay is consistent with the also promotes increased transparency changes in the industry and evolving protection of investors and the public through the dissemination of the Open- customer needs, and believes this interest. Accordingly, the Commission Close Report’s data. The proposed rule proposed rule change would contribute designates the proposed rule change to change would benefit investors by to robust competition among national be operative on June 1, 2021.20 providing access to the Open-Close securities exchanges. As noted, most At any time within 60 days of the Report, which may promote better other options exchanges offer a market filing of the proposed rule change, the informed trading throughout the trading data product that is similar to the Open- Commission summarily may day. Particularly, information regarding Close Report.12 As a result, the temporarily suspend such rule change if opening and closing activity across Exchange believes this proposed rule it appears to the Commission that such different option series during the change permits fair competition among action is necessary or appropriate in the trading day may indicate investor national securities exchanges. public interest, for the protection of sentiment, which may allow market Therefore, the Exchange does not investors, or otherwise in furtherance of participants to make better informed believe the proposed rule change will the purposes of the Act. If the trading decisions throughout the day. result in any burden on competition that Commission takes such action, the Subscribers to the data may also be able is not necessary or appropriate in 13 to enhance their ability to analyze furtherance of the purposes of the Act. 15 U.S.C. 78(b)(3)(A). option trade and volume data and create 14 17 CFR 240.19b–4(f)(6). 15 and test trading models and analytical C. Self-Regulatory Organization’s 15 U.S.C. 78s(b)(3)(A). Statement on Comments on the 16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– strategies. The Exchange believes the 4(f)(6)(iii) requires the Exchange to give the Open-Close Report provides a valuable Proposed Rule Change Received From Commission written notice of the Exchange’s intent tool that subscribers can use to gain Members, Participants, or Others to file the proposed rule change, along with a brief comprehensive insight into the trading Written comments were neither description and text of the proposed rule change, at least five business days prior to the date of filing activity in a particular series, but also solicited nor received. of the proposed rule change, or such shorter time emphasizes such data is not necessary III. Date of Effectiveness of the as designated by the Commission. The Exchange for trading. has satisfied this requirement. Moreover, other exchanges also off a Proposed Rule Change and Timing for 17 17 CFR 240.19b–4(f)(6). substantially identical data product.10 Commission Action 18 17 CFR 240.19b–4(f)(6). Specifically, NASDAQ OMX PHLX The Exchange has filed the proposed 19 See supra note 10 and accompanying text. rule change pursuant to Section 20 For purposes only of waiving the 30-day operative delay, the Commission also has 8 15 U.S.C. 78f(b). considered the proposed rule’s impact on 9 15 U.S.C. 78f(b)(5). 11 Id. efficiency, competition, and capital formation. See 10 See supra note 4. 12 Id. 15 U.S.C. 78c(f). VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00145 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28670 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Commission will institute proceedings For the Commission, by the Division of Percent to determine whether the proposed rule Trading and Markets, pursuant to delegated change should be approved or authority.21 For Economic Injury: disapproved. J. Matthew DeLesDernier, Non-Profit Organizations with- Assistant Secretary. out Credit Available Else- IV. Solicitation of Comments where ...... 2.000 [FR Doc. 2021–11174 Filed 5–26–21; 8:45 am] Interested persons are invited to BILLING CODE 8011–01–P submit written data, views, and The number assigned to this disaster arguments concerning the foregoing, for physical damage is 16991 6 and for economic injury is 16992 0. including whether the proposed rule SMALL BUSINESS ADMINISTRATION change is consistent with the Act. (Catalog of Federal Domestic Assistance Comments may be submitted by any of [Disaster Declaration #16991 and #16992; Number 59008) West Virginia Disaster Number WV–00055] the following methods: James Rivera, Electronic Comments Presidential Declaration of a Major Associate Administrator for Disaster Disaster for Public Assistance Only for Assistance. • Use the Commission’s internet the State of West Virginia [FR Doc. 2021–11225 Filed 5–26–21; 8:45 am] comment form (http://www.sec.gov/ BILLING CODE 8026–03–P rules/sro.shtml); or AGENCY: Small Business Administration. • Send an email to rule-comments@ ACTION: Notice. sec.gov. Please include File Number SR– SMALL BUSINESS ADMINISTRATION PEARL–2021–24 on the subject line. SUMMARY: This is a Notice of the Presidential declaration of a major [Disaster Declaration #16989 and #16990; Paper Comments disaster for Public Assistance Only for West Virginia Disaster Number WV–00053] • Send paper comments in triplicate the State of West Virginia (FEMA–4605– to Secretary, Securities and Exchange DR), dated 05/20/2021. Presidential Declaration of a Major Commission, 100 F Street NE, Incident: Severe Storms and Flooding. Disaster for the State of West Virginia Incident Period: 02/27/2021 through Washington, DC 20549–1090. AGENCY: Small Business Administration. 03/04/2021. All submissions should refer to File ACTION: Notice. Number SR–PEARL–2021–24. This file DATES: Issued on 05/20/2021. number should be included on the Physical Loan Application Deadline SUMMARY: This is a Notice of the subject line if email is used. To help the Date: 07/19/2021. Presidential declaration of a major Economic Injury (EIDL) Loan Commission process and review your disaster for the State of West Virginia Application Deadline Date: 02/22/2022. comments more efficiently, please use (FEMA–4605–DR), dated 05/20/2021. only one method. The Commission will ADDRESSES: Submit completed loan Incident: Severe Storms and Flooding. post all comments on the Commission’s applications to: U.S. Small Business Incident Period: 02/27/2021 through internet website (http://www.sec.gov/ Administration, Processing and 03/04/2021. rules/sro.shtml). Copies of the Disbursement Center, 14925 Kingsport DATES: Issued on 05/20/2021. submission, all subsequent Road, Fort Worth, TX 76155. Physical Loan Application Deadline amendments, all written statements FOR FURTHER INFORMATION CONTACT: A. Date: 07/19/2021. with respect to the proposed rule Escobar, Office of Disaster Assistance, Economic Injury (EIDL) Loan change that are filed with the U.S. Small Business Administration, Application Deadline Date: 02/22/2022. Commission, and all written 409 3rd Street SW, Suite 6050, ADDRESSES: Submit completed loan communications relating to the Washington, DC 20416, (202) 205–6734. applications to: U.S. Small Business proposed rule change between the SUPPLEMENTARY INFORMATION: Notice is Administration, Processing and Commission and any person, other than hereby given that as a result of the Disbursement Center, 14925 Kingsport those that may be withheld from the President’s major disaster declaration on Road, Fort Worth, TX 76155. public in accordance with the 05/20/2021, Private Non-Profit FOR FURTHER INFORMATION CONTACT: A. provisions of 5 U.S.C. 552, will be organizations that provide essential Escobar, Office of Disaster Assistance, available for website viewing and services of a governmental nature may U.S. Small Business Administration, printing in the Commission’s Public file disaster loan applications at the 409 3rd Street SW, Suite 6050, Reference Room, 100 F Street NE, address listed above or other locally Washington, DC 20416, (202) 205–6734. Washington, DC 20549, on official announced locations. SUPPLEMENTARY INFORMATION: Notice is business days between the hours of The following areas have been hereby given that as a result of the 10:00 a.m. and 3:00 p.m. Copies of the determined to be adversely affected by President’s major disaster declaration on filing also will be available for the disaster: 05/20/2021, applications for disaster inspection and copying at the principal Primary Counties: Boone, Kanawha, loans may be filed at the address listed office of the Exchange. All comments Lincoln, Logan, Mingo, Wayne above or other locally announced received will be posted without change. The Interest Rates are: locations. Persons submitting comments are The following areas have been cautioned that we do not redact or edit Percent determined to be adversely affected by personal identifying information from the disaster: For Physical Damage: comment submissions. You should Primary Counties (Physical Damage and submit only information that you wish Non-Profit Organizations with Credit Available Elsewhere ... 2.000 Economic Injury Loans): Cabell, to make available publicly. All Non-Profit Organizations with- Kanawha, Mingo, Wayne. submissions should refer to File out Credit Available Else- Contiguous Counties (Economic Injury Number SR–PEARL–2021–24 and where ...... 2.000 Loans Only): should be submitted on or before June West Virginia: Boone, Clay, Fayette, 17, 2021. 21 17 CFR 200.30–3(a)(12). Jackson, Lincoln, Logan, Mason, VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00146 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28671 McDowell, Nicholas, Putnam, influence-strategies-tickets- Transportation, LLC—Operation Raleigh, Roane, Wyoming. 153520669455. To request reasonable Exemption—in Effingham County, Ga., Kentucky: Boyd, Lawrence, Martin, accommodation, please email ACPD Docket No. FD 36489. In that Pike. Program Assistant Kristy Zamary at proceeding, SIT seeks an exemption Ohio: Gallia, Lawrence. [email protected]. Please send any under 49 U.S.C. 10502(a) to commence Virginia: Buchanan. request for reasonable accommodation common carrier operations on certain The Interest Rates are: no later than June 8, 2021. Requests trackage that it leased from the track received after that date will be owner, Savannah Industrial Logistics, Percent considered, but might not be possible to LLC, another noncarrier holding of fulfill. Attendees should plan to enter OmniTRAX.1 If that petition is For Physical Damage: the web conference waiting room by approved, SIT will operate as a common Homeowners with Credit Avail- 11:50 a.m. to allow for a prompt start. carrier over certain trackage in Rincon, able Elsewhere ...... 2.500 Since 1948, the ACPD has been Effingham County, Ga., extending from Homeowners without Credit Available Elsewhere ...... 1.250 charged with appraising activities a connection with Norfolk Southern Businesses with Credit Avail- intended to understand, inform, and Railway Company (NSR) near NSR able Elsewhere ...... 6.000 influence foreign publics and to milepost 16.6 to a connection with CSX Businesses without Credit increase the understanding of, and Transportation, Inc. (CSXT), near CSXT Available Elsewhere ...... 3.000 support for, these same activities. The milepost S484.0, a distance of Non-Profit Organizations with ACPD conducts research that provides approximately 11,404 feet. Credit Available Elsewhere ... 2.000 honest assessments of public diplomacy Applicants state that they will control Non-Profit Organizations with- efforts, and disseminates findings SIT upon SIT’s becoming a Class III rail out Credit Available Else- through reports, white papers, and other carrier. According to Applicants, where ...... 2.000 publications. It also holds public OmniTRAX and HGS are under joint For Economic Injury: 2 Businesses & Small Agricultural symposiums that generate informed managerial and operational control. Cooperatives without Credit discussions on public diplomacy issues Applicants state that OmniTRAX Available Elsewhere ...... 3.000 and events. The Commission reports to currently controls 20 Class III railroads Non-Profit Organizations with- the President, Secretary of State, and and HGS currently controls two Class III out Credit Available Else- Congress and is supported by the Office railroads.3 The properties of the rail where ...... 2.000 of the Under Secretary of State for carriers controlled by OmniTRAX and Public Diplomacy and Public Affairs. HGS are located in the following states: The number assigned to this disaster For more information on the U.S. Alabama, California, Colorado, Florida, for physical damage is 16989 6 and for Advisory Commission on Public Georgia, Illinois, Kansas, Maryland, economic injury is 16990 0. Diplomacy, please visit https:// Nebraska, New Jersey, Ohio, Oklahoma, (Catalog of Federal Domestic Assistance www.state.gov/bureaus-offices/under- Texas, Virginia, Washington, and West Number 59008) secretary-for-public-diplomacy-and- Virginia. Applicants certify that the proposed transaction does not involve James Rivera, public-affairs/united-states-advisory- commission-on-public-diplomacy/, or an interchange commitment. Associate Administrator for Disaster Applicants state that: (1) The line Assistance. contact Executive Director Vivian S. Walker at [email protected] or Senior over which SIT seeks authority to [FR Doc. 2021–11224 Filed 5–26–21; 8:45 am] Advisor Shawn Baxter at BaxterGS@ operate does not connect with the lines BILLING CODE 8026–03–P state.gov. of any of the existing rail carriers controlled by OmniTRAX or by HGS, (2) Kristina K. Zamary, the proposed transaction is not part of DEPARTMENT OF STATE Department of State. a series of anticipated transactions that [Public Notice: 11430] [FR Doc. 2021–11246 Filed 5–26–21; 8:45 am] would connect the line with any other BILLING CODE 4710–45–P railroads in the OmniTRAX or HGS U.S. Advisory Commission on Public Diplomacy Notice of Meeting 1 According to the verified notice, while SIT is SURFACE TRANSPORTATION BOARD currently controlled solely by OmniTRAX, if SIT’s The U.S. Advisory Commission on petition to commence common carrier operations in [Docket No. FD 36490] Docket No. FD 36489 is granted, OmniTRAX and Public Diplomacy (ACPD) will hold a HGS seek to control SIT jointly. (Notice 4.) virtual public meeting from 12:00 p.m. 2 OmniTRAX Holdings Combined, Inc., See OmniTRAX Holdings Combined, Inc.— until 1:30 p.m., Thursday, June 17, Control Exemption—The Winchester & W. R.R., FD and HGS Railway Holdings, Inc.— 2021. The meeting will focus on public 36338 (STB served Aug. 22, 2019). Control Exemption—Savannah 3 diplomacy responses to China’s Specifically, OmniTRAX currently controls: Industrial Transportation, LLC Alabama & Tennessee River Railway, LLC; influence strategies. A panel of experts Brownsville & Rio Grande International Railway, on China’s information and public OmniTRAX Holdings Combined, Inc. LLC; Central Texas & Colorado River Railway, LLC; diplomacy initiatives will discuss (OmniTRAX), and HGS Railway Chicago Rail Link, L.L.C.; Cleveland & Cuyahoga challenges and opportunities for PD Railway, LLC; Fulton County Railway, LLC; Georgia Holdings, Inc. (HGS) (collectively, & Florida Railway, LLC; Georgia Woodlands practitioners in responding to China’s Applicants), both noncarriers, filed a Railroad, L.L.C.; Great Western Railway of state-sponsored influence operations. verified notice of exemption under 49 Colorado, L.L.C.; Illinois Railway, LLC; Kettle Falls This meeting is open to the public, CFR 1180.2(d)(2) to control Savannah International Railway, LLC; Manufacturers’ including the media and members and Junction Railway, L.L.C.; Nebraska, Kansas & Industrial Transportation, LLC (SIT), a Colorado Railway, LLC; Newburgh & South Shore staff of governmental and non- noncarrier currently controlled by Railroad, LLC; Northern Ohio & Western Railway, governmental organizations. To obtain OmniTRAX, once SIT is authorized to L.L.C.; Panhandle Northern Railroad, L.L.C.; Peru the web conference link and password commence common carrier operations. Industrial Railroad, LLC; Sand Springs Railway please register here: https:// Company; Stockton Terminal and Eastern Railroad; This notice of exemption is related to and Winchester & Western Railroad Company. HGS www.eventbrite.com/e/public- a concurrently filed petition for currently controls HGS–ATN, LLC and HGS–FCR, diplomacy-responses-to-chinas- exemption in Savannah Industrial LLC. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00147 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28672 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices corporate families; and (3) the DEPARTMENT OF TRANSPORTATION II. Agenda transaction does not involve a Class I At the meeting, the agenda will cover Federal Aviation Administration rail carrier. Therefore, the proposed the following topics: transaction is exempt from the prior • NAC Chairman’s Report approval requirements of 49 U.S.C. [FAA–2021–0481] • FAA Report 11323. See 49 CFR 1180.2(d)(2). • NAC Subcommittee Chairman’s NextGen Advisory Committee; Notice Report The earliest this transaction may be of Public Meeting Æ consummated is June 10, 2021, the Risk and Mitigations update for the effective date of the exemption (30 days AGENCY: Federal Aviation following focus areas: Multiple after the verified notice was filed). The Administration (FAA), Department of Runway Operations, Data Communications, Performance verified notice states that the parties do Transportation. Based Navigation, Surface and Data not intend to consummate the ACTION: Notice of public meeting. Sharing, and Northeast Corridor transaction until such time as SIT • SUMMARY: This notice announces a NAC Chairman Closing Comments consummates the transaction that is the meeting of the NextGen Advisory The detailed agenda will be posted on subject of its petition for exemption in Committee (NAC). the NAC internet website at least one Docket No. FD 36489. DATES: The meeting will be held week in advance of the meeting. Under 49 U.S.C. 10502(g), the Board virtually only, on June 21, 2021, from III. Public Participation may not use its exemption authority to 1:00 p.m.–5:00 p.m. EDT. Requests to relieve a rail carrier of its statutory attend the meeting virtually and request This virtual meeting will be open to obligation to protect the interests of its for accommodations for a disability the public on a first-come, first served employees. However, 49 U.S.C. 11326(c) must be received by June 7, 2021. If you basis. Members of the public who wish does not provide for labor protection for wish to make a public statement during to attend are asked to register via email transactions under 49 U.S.C. 11324 and the meeting, you must submit a written by submitting their full legal name, 11325 that involve only Class III rail copy of your remarks by June 7, 2021. country of citizenship, contact information (telephone number and carriers. Accordingly, the Board may not Requests to submit written materials, to email address), and name of your impose labor protective conditions here be reviewed by NAC Members before industry association, or applicable because all the carriers involved are the meeting, must be received no later than June 7, 2021. affiliation. Please email this information Class III carriers. to the email address listed in the If the verified notice contains false or ADDRESSES: The meeting will be a ADDRESSES section. When registration is misleading information, the exemption virtual meeting only. Virtual meeting confirmed, registrants will be provided is void ab initio. Petitions to revoke the information will be provided upon the virtual meeting information/ exemption under 49 U.S.C. 10502(d) registration. Information on the NAC, teleconference call-in number and may be filed at any time. The filing of including copies of previous meeting passcode. Callers are responsible for minutes, is available on the NAC a petition to revoke will not paying associated long-distance charges internet website at https://www.faa.gov/ automatically stay the effectiveness of (if any). about/office_org/headquarters_offices/ the exemption. Petitions to stay must be ang/nac/. Members of the public Note: Only NAC Members, members of the filed no later than June 3, 2021 (at least interested in attending must send the public who have registered to make a public statement, and briefers will have the ability seven days before the exemption required information listed in the becomes effective). to speak. All other attendees will be able to SUPPLEMENTAL INFORMATION to 9-AWA- listen only. All pleadings, referring to Docket No [email protected]. FD 36490, should be filed with the The U.S. Department of FOR FURTHER INFORMATION CONTACT: Greg Transportation is committed to Surface Transportation Board via e- Schwab, NAC Coordinator, U.S. providing equal access to this meeting filing on the Board’s website. In Department of Transportation, at for all participants. If you need addition, a copy of each pleading must [email protected] or 202–267– alternative formats or services because be served on Applicants’ representative, 1201. Any requests or questions not of a disability, please contact the person Robert A. Wimbish, Fletcher & Sippel regarding attendance registration should listed in the FOR FURTHER INFORMATION LLC, 29 North Wacker Drive, Suite 920, be sent to the person listed in this CONTACT section. Chicago, IL 60606–2832. section. Five minutes will be allotted for oral According to Applicants, this action SUPPLEMENTARY INFORMATION: comments from members of the public joining the meeting. This time may be is categorically excluded from I. Background environmental review under 49 CFR extended if there is a significant number 1105.6(c) and from historic preservation The Secretary of Transportation of members of the public wishing to reporting requirements under 49 CFR established the NAC under agency provide an oral comment. To 1105.8(b). authority in accordance with the accommodate as many speakers as provisions of the Federal Advisory possible, the time for each commenter Board decisions and notices are Committee Act (FACA), as amended, may be limited. Individuals wishing to available at www.stb.gov. Public Law 92–463, 5 U.S.C. App. 2, to reserve speaking time during the Decided: May 24, 2021. provide independent advice and meeting must submit a request at the By the Board, Scott M. Zimmerman, Acting recommendations to the FAA, and to time of registration, as well as the name, Director, Office of Proceedings. respond to specific taskings received address, and organizational affiliation of Kenyatta Clay, directly from the FAA. The NAC the proposed speaker. If the number of recommends consensus-driven advice registrants requesting to make Clearance Clerk. for FAA consideration relating to Air statements is greater than can be [FR Doc. 2021–11235 Filed 5–26–21; 8:45 am] Traffic Management System reasonably accommodated during the BILLING CODE 4915–01–P modernization. meeting, FAA may conduct a lottery to VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00148 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28673 determine the speakers. Speakers are DATES: Written comments on FRA’s to the coronavirus disease 2019 required to submit a copy of their determination to grant a Buy America (COVID–19) pandemic (e.g., travel prepared remarks for inclusion in the waiver to Caltrans and IDOT should be restrictions and restrictions on operating meeting records and for circulation to provided to FRA on or before June 1, non-essential businesses), Baker NAC members to the person listed 2021. Bellfield has been unable to open its under the heading FOR FURTHER ADDRESSES: Please submit your Sacramento manufacturing facility on INFORMATION CONTACT. All prepared comments to the U.S. Government schedule. To meet contractual delivery remarks submitted on time will be electronic docket site at http:// schedules, Siemens proposes accepted and considered as part of the www.regulations.gov, in docket number: purchasing up to 615 tables made by meeting’s record. FRA–2012–0033. Baker Bellfield in its UK-based facility, Members of the public may submit Note: All submissions received, which do not comply with FRA’s Buy written statements for inclusion in the including any personal information America requirements. Once COVID–19 meeting records and circulation to the therein, will be posted without change restrictions are lifted, Baker Bellfield NAC members. Written statements need or alteration to http:// intends to complete localization. to be submitted to the person listed www.regulations.gov. For more On July 23, 2020, Caltrans and IDOT under the heading FOR FURTHER information, you may review DOT’s requested a waiver 1 from FRA’s Buy INFORMATION CONTACT. Comments complete Privacy Act Statement America requirement for up to 238 received after the due date listed in the published in the Federal Register on workstation tables. Due to delays related DATES section, will be distributed to the April 11, 2000 (65 FR 19477). to the continuing pandemic, Caltrans members but may not be reviewed prior FOR FURTHER INFORMATION CONTACT: and IDOT increased the request to 615. to the meeting. Any member of the Faris Mohammed, Attorney-Advisor, For the reasons stated below, FRA public may present a written statement Office of Chief Counsel, telephone: (202) grants a non-availability waiver to to the committee at any time. 493–7064, email: Faris.Mohammed@ Caltrans and IDOT. Issued in Washington, DC, this 24 day of dot.gov. Buy America Requirement May 2021. SUPPLEMENTARY INFORMATION: The With certain exceptions, FRA’s Buy Gregory E. Schwab, purpose of this notice is to provide the Division Manager, NextGen Stakeholder America Act requires that ‘‘the steel, public with information related to iron, and manufactured goods used in Collaboration Division, ANG–M1, Office of FRA’s intent to grant a waiver to the Assistant Administrator for NextGen, the project are produced in the United Caltrans and IDOT from FRA’s Buy States.’’ 49 U.S.C. 22905(a)(1). FRA’s Federal Aviation Administration. America requirement, pursuant to 49 [FR Doc. 2021–11229 Filed 5–26–21; 8:45 am] requirements apply without regard to U.S.C. 22905(a)(2), to allow the use of the source of funds. BILLING CODE 4910–13–P up to 615 non-domestic workstation If Caltrans and IDOT do not receive a tables. waiver, they may not acquire goods for DEPARTMENT OF TRANSPORTATION Background use in the Project that are not consistent Caltrans and IDOT were awarded five with Section 22905(a)(1), even if they do Federal Railroad Administration separate grants from FRA to purchase not propose to use Federal funds. rolling stock, including single-level However, FRA may waive this [Docket No. FRA–2012–0033] passenger railcars, for use in intercity requirement if it determines: Notice of Intent To Grant a Buy passenger rail service (Project). Caltrans (A) Applying [FRA’s Buy America America Waiver to the California and IDOT entered into a contract with requirements] would be inconsistent with the Sumitomo Corporation of Americas public interest; (B) the steel, iron, and goods Department of Transportation produced in the United States are not (Caltrans) and the Illinois Department (SCOA) to produce and deliver the railcars; SCOA entered into a produced in a sufficient and reasonably of Transportation (IDOT) To Purchase available amount or are not of a satisfactory Up to 615 Workstation Tables subcontract with Siemens USA to quality; (C) rolling stock or power train manufacture the railcars. Siemens equipment cannot be bought and delivered in AGENCY: Federal Railroad contracted with Baker Bellfield, a the United States within a reasonable time; Administration (FRA), Department of company headquartered in the United or (D) including domestic material will Transportation (DOT). Kingdom (UK), to manufacture in the increase the cost of the overall project by ACTION: Notice of intent to grant FRA United States 615 workstation tables for more than 25 percent. Buy America Waiver. the Project. In addition to the Buy America Like other European suppliers that statute, FRA’s action is subject to SUMMARY: FRA is issuing this notice to Siemens has brought to the U.S. rail Executive Order 14005 Ensuring the advise the public that it intends to grant market, Baker Bellfield has committed Future is Made in All of America by All Caltrans’ and IDOT’s request for a to locate its production facility near the of America’s Workers, 86 FR 7475 waiver from FRA’s Buy America Siemens manufacturing facility in (January 28, 2021). Consistent with requirement, so that Siemens USA, the Sacramento, California. Baker Bellfield Executive Order 14005, FRA evaluated design, manufacturing, and delivery has already signed a lease for a property. the waiver request, and sought input contractor, may purchase and install up Following localization, tables from the public, to determine whether to 615 non-domestic workstation tables manufactured by Baker Bellfield at its Caltrans and IDOT had sought to that comply with certain design and facility in Sacramento would comply maximize the use of goods, products, safety standards for their single-level with FRA’s Buy America requirements and materials produced in the United passenger railcars replacement project. and would be installed in the FRA- States. Meeting these standards is required funded passenger railcars. under the Passenger Rail Investment Baker Bellfield intended to begin 1 The Caltrans and IDOT waiver request is and Improvement Act of 2008 (PRIIA), manufacturing the tables at its planned available at: https://railroads.dot.gov/elibrary/ and FRA’s grant agreement with U.S. facility the week of March 9, 2020. calidot-workstation-table-buy-america-waiver- Caltrans and IDOT. However, due to complications relating request. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00149 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28674 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Findings expected to comply with the PRIIA IDOT are unable to store the railcars, In a letter to FRA, dated July 23, 2020, Specification when configured for use Siemens would stop production of the Caltrans and IDOT described the need in the Siemens railcar. Therefore, railcars as it does not have capacity to for workstation tables, the steps taken to Siemens developed a plan to locate a store the railcars onsite. If FRA denied identify domestically sourced tables, Baker Bellfield facility in Sacramento, the request, Siemens would not be able California, to produce the workstation and the harm that would result in the to deliver single-level cars that meet the tables. The workstation tables absence of a waiver. FRA evaluated the required specifications until after the manufactured at the Baker Bellfield information provided and made the pandemic-related restrictions are facility in Sacramento would have following findings. removed, significantly delaying the complied with FRA’s Buy America Project. Caltrans and IDOT would also A. COVID–19 Pandemic requirement. incur significant costs related to the However, due to the COVID–19 As described in the request, the non- delay and storage of the railcars. pandemic, Baker Bellfield’s localization availability giving rise to the need for a Approving the waiver would help efforts have been delayed. To address waiver is due to effects from the mitigate the negative effects of the the current non-availability of COVID–19 pandemic. Prior to March COVID–19 pandemic by quickly compliant workstation tables, and to 2020, Siemens entered into a contract installing workstation tables in railcars avoid potential further delays in the with Baker Bellfield, a U.K.-based that can be put into revenue operations, railcar delivery, Siemens proposes to which will maximize passenger safety, manufacturer, to establish a purchase up to 615 tables from Baker manufacturing facility in Sacramento, minimize implementation impacts and Bellfield’s facility in the UK to meet overall costs, and mitigate schedule California so that Baker Bellfield could production and delivery schedules. manufacture Buy-America-compliant issues for delivery and revenue service To keep production lines running, availability. In addition, allowing the workstation tables for the Project. Caltrans and IDOT accepted delivery of However, due to restrictions relating to use of the Baker Bellfield tables would incomplete railcars. The incomplete allow the Caltrans and IDOT the COVID–19 pandemic, Baker cars cannot enter revenue service procurement to maintain its priority Bellfield is not able to localize in time because they do not have workstation position in Siemens’ production to meet the Project’s production tables. Currently, the incomplete cars schedule, and allow the Project to schedule. Thus, Siemens increased its are being stored by Caltrans or IDOT, as remain on schedule. Caltrans and IDOT initial request from 238 to 615 applicable, until PRIIA-compliant provided additional information to FRA workstation tables from Baker Bellfield’s workstation tables are available. As a that domestically-sourced facility in the U.K. to meet the result, Caltrans and IDOT have incurred subcomponents were used in the production schedule. These tables costs to store the railcars and may incur Project. Generally, FRA does not require would not be compliant with FRA’s Buy additional costs, such as extending the the use of domestic subcomponents, and America requirement and would require lease of the existing fleet. However, if a waiver. the waiver is granted, Siemens can the use of domestic subcomponents increases the overall amount of B. There is No Domestic Source of quickly install the Baker Bellfield tables and the cars can enter revenue service. domestic material used in the Project. Workstation Tables That Meet the PRIIA On the basis of this information, FRA Specification As soon as it is able, Baker Bellfield will complete localization of its facility concludes this action is consistent with In accordance with the Passenger Rail in Sacramento, California, which will the policy in Executive Order 14005 to Investment and Improvement Act of create a new domestic supply of maximize ‘‘the use of goods, products, 2008, and the FRA grant agreement, the workstation tables for use in future and materials produced in, and services single-level railcars must comply with projects. offered in, the United States.’’ FRA the 305–003 Rev A Single Level further concludes that denying the Passenger Car Technical Specification C. Harm Would Result if a Waiver Is Not requested waiver would not increase the (PRIIA Specification). Granted use of goods, products, and materials SCOA and Siemens conducted an According to Caltrans and IDOT, if a produced in the United States. intensive search of domestic suppliers waiver is not granted, the vehicles now Determination who could either meet the PRIIA being manufactured could not be used Specification with an existing design or for revenue service and would need to FRA has determined a ‘‘non- develop a completely new table. be stored at Caltrans and IDOT availability’’ waiver is appropriate However, they could not find a commissioning sites, waiting for the under 49 U.S.C. 22905(a)(2)(B) for up to domestic table supplier with the proven availability of new tables. The cost of 615 workstation tables, because passenger rail interior component storage is variable, becoming higher as workstation tables meeting the PRIIA modeling and structural simulation the number of cars needing storage Specification are not currently expertise and who could produce a increases and the remaining storage ‘‘produced in a sufficient and workstation table that met the PRIIA spaces decrease. For IDOT, costs are reasonably available amount or are not Specification. While Siemens initially estimated to be $39,000 (subject to site of a satisfactory quality.’’ FRA bases this identified a domestic source for selection and owner’s confirmation) for determination on the following: workstation tables, which were storage of up to 40 IDOT Venture cars • There is currently no domestic previously installed in railcars for per year. At the ACE facility in source of workstation tables that meet another project, after testing and Stockton, California, the San Joaquin the PRIIA Specification when modeling, Siemens determined the Regional Rail Commission will charge configured for the Caltrans and IDOT tables could not be configured to meet Siemens $250 per day per railcar for railcars and domestic tables cannot be the required safety and design storage of cars not in revenue service. delivered within a reasonable time. standards. Ultimately, Baker Bellfield’s These costs do not include the costs for • But for the COVID–19 pandemic, workstation tables are the only delayed manufacturing, retrofitting Siemens would have used workstation workstation tables that demonstrated existing cars, delays to revenue service, tables that complied with FRA’s Buy passing simulated results and are and lost warranty time. If Caltrans and America requirement. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00150 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28675 • On December 31, 2020, FRA FOR FURTHER INFORMATION CONTACT: this program. There is a $25,000 cap on provided public notice of the Caltrans Jacarl Melton, Office of Program planning grant awards, and FTA has and IDOT waiver request and a 15-day Management, (202) 366–2269, or email discretion to cap capital and operating opportunity for comment. FRA also [email protected]. A TDD is awards. Additional funds made emailed the notice to over 6,000 available at 1–800–877–8339 (TDD/ available prior to project selection may recipients that requested Buy America FIRS). be allocated to eligible projects. notices through ‘‘GovDelivery.’’ FRA SUPPLEMENTARY INFORMATION: In FY 2020, the program received did not receive any comments. applications for 30 eligible projects This waiver only applies to Siemens’s Table of Contents requesting a total of $9.4 million. acquisition and installation of up to 615 A. Program Description Twenty-five projects were funded at a workstation tables for use in the Project. B. Federal Award Information total of $7.7 million. FRA is providing notice of such C. Eligibility Information FTA will grant pre-award authority to finding and an opportunity for public D. Application and Submission Information incur costs for selected projects comment after which this waiver will E. Application Review Information beginning on the date FY 2021 project become effective. F. Federal Award Administration selections are announced on FTA’s Information website. Funds are available for Issued in Washington, DC. G. Federal Awarding Agency Contacts obligation for two fiscal years after the Amitabha Bose, H. Other Information fiscal year in which the competitive Deputy Administrator. A. Program Description awards are announced. Funds are [FR Doc. 2021–11269 Filed 5–26–21; 8:45 am] Federal public transportation law (49 available only for projects that have not BILLING CODE 4910–06–P U.S.C. 5311(c)(1)(A)) authorizes FTA to incurred costs prior to the award competitive grants ‘‘under such announcement of project selections. DEPARTMENT OF TRANSPORTATION terms and conditions as may be C. Eligibility Information established by the Secretary’’ to Indian 1. Eligible Applicants Federal Transit Administration tribes for any purpose eligible under FTA’s Formula Grants for Rural Areas Eligible applicants include Federally- FY 2021 Competitive Funding Program, 49 U.S.C. 5311, including recognized Indian tribes or Alaska Opportunity: Public Transportation on planning, capital, and operating Native villages, groups, or communities Indian Reservations Program; Tribal assistance. Tribes may apply for this as identified by the U.S. Department of Transit Program funding directly. the Interior (DOI) Bureau of Indian The Tribal Transit Program (Federal Affairs (BIA). As evidence of Federal AGENCY: Federal Transit Administration Assistance Listing: 20.509) supports recognition, an Indian tribe may submit (FTA), DOT. FTA’s strategic goals and objectives a copy of the most up-to-date Federal ACTION: Notice of funding opportunity. through the timely and efficient Register notice published by BIA: investment in public transportation. Entities Recognized and Eligible to SUMMARY: The Federal Transit This program also supports the Receive Service from the United States Administration (FTA) announces the President’s Build Back Better initiative Bureau of Indian Affairs. To be an opportunity to apply for $10 million in to mobilize American ingenuity to build eligible recipient, an Indian tribe must competitive grants for the Fiscal Year a modern infrastructure and an have the requisite legal, financial, and (FY) 2021 Public Transportation on equitable, clean energy future. In technical capabilities to receive and Indian Reservations (Tribal Transit) addition, the Tribal Transit Program and administer Federal funds under this Program. As required by Federal public this NOFO will advance the goals of the program. Additionally, applicants must transportation law, funds will be January 20, 2021 Executive Order on be located and provide service in a rural awarded competitively for any purpose Advancing Racial Equity and Support area with a population of less than eligible under FTA’s Formula Grants for for Underserved Communities Through 50,000. A service area can include some Rural Areas Program, 49 U.S.C. 5311, the Federal Government. portions of urban areas, as long as the including planning, capital, and Competitive funds distributed to tribal transit service serves rural areas. operating assistance for tribal public Indian tribes under the Tribal Transit An applicant must be registered in the transit services in rural areas. FTA may Program do not replace or reduce funds System for Award Management (SAM) award additional funding that is made that Indian tribes receive from States database and maintain an active SAM available to the program prior to the through FTA’s Formula Grants for Rural registration with current information at announcement of project selections. Areas Program. Specific project all times during which it has an active DATES: Complete proposals must be eligibility under this competitive Federal award or an application or plan submitted electronically through the allocation is described in Section C of under consideration by FTA. GRANTS.GOV ‘‘APPLY’’ function by this notice. 11:59 p.m. Eastern time on August 25, 2. Cost Sharing or Matching 2021. Any applicant intending to apply B. Federal Award Information There is no local match requirement should initiate the process of registering Federal public transportation law (49 for operating, capital, or planning on the GRANTS.GOV site immediately U.S.C. 5338(a)(2)(F), 49 U.S.C. projects under this program. All projects to ensure completion of registration 5311(c)(1)) authorizes $5 million in FY will be awarded at a 100 percent Federal before the submission deadline. 2021 for competitive grants under the share, unless the applicant chooses to Instructions for applying can be found Tribal Transit Program. The provide a local match at its own on FTA’s website at http:// Consolidated Appropriations Act, 2021, discretion. If choosing to provide a local www.transit.dot.gov/howtoapply and in (Pub. L. 116–260), appropriated the match, the proposal should include a the ‘‘FIND’’ module of GRANTS.GOV. authorized amount for grants under this description of the Indian tribe’s The funding opportunity ID is FTA– program. The American Rescue Plan Act financial commitment. 2021–003–TR. Mail and fax submissions of 2021 (Pub. L. 117–2) appropriated an If desired by the applicant, tribes may will not be accepted. additional $5 million for grants under use any local match eligible under VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00151 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28676 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Chapter 53, including cash from non- 2. Content and Form of Application place N/A or ‘‘refer to attachment’’ in Government sources other than Submission lieu of typing in responses in the field revenues from providing public sections. If information is copied into (i) Proposal Submission transportation services; revenues the supplemental form from another derived from the sale of advertising and Applications must be submitted source, applicants should verify that concessions; amounts received under a electronically through GRANTS.GOV. pasted text is fully captured on the service agreement with a State or local General information for submitting supplemental form and has not been social service agency or private social applications through GRANTS.GOV can truncated by the character limits built service organization; revenues generated be found at www.fta.dot.gov/howtoapply into the form. Applicants should use from value capture financing along with specific instructions for the both the ‘‘Check Package for Errors’’ and mechanisms; funds from an forms and attachments required for the ‘‘Validate Form’’ validation buttons undistributed cash surplus; replacement submission. Mail and fax submissions on both forms to check all required or depreciation cash fund or reserve; will not be accepted. A complete fields on the forms, and ensure that the new capital; or in-kind contributions. proposal submission consists of two Federal and local amounts specified are Transportation development credits or forms: The SF–424 Application for consistent. in-kind match may be used for local Federal Assistance (available at Complete instructions on the match if identified and documented in GRANTS.GOV) and the supplemental application process can be found at the application. form for the FY 2021 Tribal Transit http://www.transit.dot.gov. Important: Program (downloaded from FTA urges applicants to submit their 3. Eligible Projects GRANTS.GOV or the FTA website at project proposals at least 72 hours prior Eligible projects include public https://www.transit.dot.gov/tribal- to the due date to allow time to receive transportation planning, capital, or transit). Failure to submit the the validation message and to correct operating expenses. Unlike in prior information as requested can delay any problems that may have caused a years, all eligible applicants may apply review or disqualify the application. A rejection notification. FTA will not for operating assistance. complete proposal submission will accept submissions after the stated Public transportation includes consist of at least two files: (1) The SF– submission deadline. GRANTS.GOV regular, continuing shared-ride surface 424 Mandatory form (downloaded from scheduled maintenance and outage transportation services open to the GRANTS.GOV); and (2) the Tribal times are announced on the public or open to a segment of the Transit supplemental form found on the GRANTS.GOV website at http:// public defined by age, disability, or low FTA website at http:// www.GRANTS.GOV. The deadline will income. FTA will award grants to www.transit.dot.gov. The Tribal Transit not be extended due to scheduled eligible Indian tribes proposing projects supplemental form provides guidance maintenance or outages. serving rural areas. Applicants must and a consistent format for applicants to Applicants are encouraged to begin submit one proposal for each project. respond to the criteria outlined in this the process of registration on the Specific types of projects include: NOFO. The supplemental form and any GRANTS.GOV site well in advance of Capital investment for start-ups, supporting documents must be attached the submission deadline. Registration is replacement, or expansion needs; to the ‘‘Attachments’’ section of the SF– a multi-step process which may take operating assistance; and planning 424. The application must include several weeks to complete before an projects up to $25,000. Indian tribes responses to all sections of the SF–424 application can be submitted. Registered applying for capital replacement or Application for Federal Assistance and applicants may still be required to take expansion needs must demonstrate a the supplemental form, unless indicated steps to keep their registration up to sustainable source of operating funds for as optional. The information on the date before submissions can be made existing or expanded services. supplemental form will be used to successfully: (1) Registration in the determine applicant and project SAM is renewed annually; and (2) D. Application and Submission eligibility for the program, and to persons making submissions on behalf Information evaluate the proposal against the of the Authorized Organization selection criteria described in part E of 1. Address To Request Application Representative (AOR) must be this notice. Package authorized in GRANTS.GOV by the FTA will only accept one AOR to make submissions. Applicants Applications must be submitted supplemental form per SF–424 must submit one proposal for each electronically through GRANTS.GOV. submission. Applicants may attach project. General information for submitting additional supporting information to the applications through GRANTS.GOV can SF–424 submission, including but not (ii) Application Content be found at www.fta.dot.gov/howtoapply limited to letters of support, project The SF–424 Mandatory Form and the along with specific instructions for the budgets, fleet status reports, or excerpts Supplemental Form will prompt forms and attachments required for from relevant planning documents. applicants for the required information, submission. Mail and fax submissions Supporting documentation must be including: will not be accepted. A complete described and referenced by file name a. Name of Federally recognized tribe proposal submission consists of two in the appropriate response section of and, if appropriate, the specific tribal forms: The SF–424 Application for the supplemental form, or it may not be agency submitting the application. Federal Assistance (available at reviewed. b. Dun and Bradstreet (D&B) Data GRANTS.GOV) and the supplemental Information such as applicant name, Universal Numbering System (DUNS) form for the FY 2021 Tribal Transit Federal amount requested, local match number if available. Program (downloaded from amount, description of areas served, etc. c. Contact information including: GRANTS.GOV or the FTA website at may be requested in varying degrees of Contact name, title, address, phone https://www.transit.dot.gov/tribal- detail on both the SF–424 and number, and email address. transit). Failure to submit the Supplemental Form. Applicants must d. Description of public transportation information as requested can delay fill in all fields unless stated otherwise services, including areas currently review or disqualify the application. on the forms. Applicants should not served by the tribe, if any. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00152 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28677 e. Name of person(s) authorized to 2. Legal Capacity: Provide Federal award to another applicant. apply on applicant’s behalf must documentation or other evidence to SAM registration takes approximately accompany the proposal (attach a signed demonstrate status as a federally 3–5 business days, but FTA transmittal letter). recognized Indian tribe. Further, recommends allowing ample time, up to f. Complete Project Description: demonstrate evidence of an authorized several weeks, for completion of all Indicate the category for which funding representative with authority to bind the steps. For additional information on is requested (i.e., project type: Capital, applicant and execute legal agreements obtaining a unique entity identifier, operating, or planning), and then with FTA. If applying for capital or please visit www.sam.gov. indicate the project purpose (i.e., start- operating funds, identify whether 4. Submission Dates and Times up, expansion, or replacement). appropriate Federal or State operating Describe the proposed project and what authority exists. Project proposals must be submitted it will accomplish (e.g., number and 3. Financial Capacity: Provide electronically through GRANTS.GOV by type of vehicles, routes, service area, documentation or other evidence 11:59 p.m. Eastern time on August 25, schedules, type of services, fixed route demonstrating current adequate 2021. Mail and fax submissions will not or demand responsive, safety aspects), financial systems to receive and manage be accepted. Proposals submitted after route miles (if fixed route), ridership a Federal grant. Fully describe: (1) All the deadline will only be considered numbers expected (actual if an existing financial systems and controls; (2) other under extraordinary circumstances not system, estimated if a new system), sources of funds currently managed; and under the applicant’s control. major origins and destinations, (3) the long-term financial capacity to Applications are time and date stamped population served, and whether the maintain the proposed or existing by GRANTS.GOV upon successful tribe provides the service directly or transit services. submission. contracts for services, and note vehicle Within 48 hours after submitting an 3. Unique Entity Identifier and System maintenance plans. electronic application, the applicant g. Project Timeline: Include for Award Management (SAM) should receive an email message from significant milestones such as date of Each applicant is required to: (1) Be GRANTS.GOV with confirmation of contract for purchase of vehicles, actual registered in SAM before submitting an successful transmission to or expected delivery date of vehicles; application; (2) provide a valid unique GRANTS.GOV. If a notice of failed facility project phases (e.g., entity identifier in its application; and validation or incomplete materials is environmental reviews, design, (3) continue to maintain an active SAM received, the applicant must address the construction); or dates for completion of registration with current information at reason for the failed validation, as planning studies. If applying for all times during which the applicant has described in the email notice, and operating funding for new services, an active Federal award or an resubmit before the submission indicate the period of time that funds application or plan under consideration deadline. If making a resubmission for would be used to operate the system by FTA. These requirements do not any reason, include all original (e.g., one year). This section should also apply if the applicant has an exemption attachments regardless of which include any needed timelines for tribal approved by FTA under Federal grants attachments were updated and check council project approvals, if applicable. and agreements law (2 CFR 25.110(d)). the box on the supplemental form h. Budget: Provide a detailed budget FTA may not make an award until the indicating this is a resubmission. for each proposed purpose, noting the applicant has complied with all Federal amount requested and any applicable unique entity identifier and 5. Funding Restrictions additional funds that will be used. An SAM requirements. If an applicant has Funds must be used only for the Indian tribe may use up to fifteen not fully complied with the specific purposes requested in the percent of a grant award for capital requirements by the time FTA is ready application. Funds under this NOFO projects for specific project-related to make an award, FTA may determine cannot be used to reimburse projects for planning and administration, and the that the applicant is not qualified to otherwise eligible expenses incurred indirect cost rate may not exceed ten receive an award and use that prior to an FTA award under this percent (if necessary, add as an determination as a basis for making a program. Refer to Section C.3., Eligible attachment) of the total amount Federal award to another applicant. Projects, for information on activities requested/awarded. Indian tribes must Non-Federal entities that have received that are allowable in this grant program. also provide their annual operating a Federal award are required to report Allowable direct and indirect expenses budget as an attachment or under the certain civil, criminal, or administrative must be consistent with the ‘‘Financial Commitment and Operating proceedings to SAM (currently the Governmentwide Uniform Capacity’’ section of the supplemental Federal Awardee Performance and Administrative Requirements and Cost form. Integrity Information System (FAPIIS)) Principles (2 CFR part 200) and FTA i. Technical, Legal, Financial to ensure registration information is Circular 5010. Capacity: Applicants must be able to current and comply with federal demonstrate adequate technical, legal, requirements. Applicants should 6. Other Submission Requirements and financial capacity to be considered reference 2 CFR 200.113, for more Applicants are encouraged to identify for funding. Every proposal MUST information. scaled funding options in case describe this capacity to implement the FTA may not make an award until the insufficient funding is available to fund proposed project. applicant has complied with all a project at the full requested amount. 1. Technical Capacity: Provide applicable unique entity identifier and If an applicant indicates that a project examples of management of other SAM requirements. If an applicant has is scalable, the applicant must provide Federal projects, including previously not fully complied with the an appropriate minimum funding funded FTA projects and/or similar requirements by the time FTA is ready amount that will fund an eligible project types of projects for which funding is to make an award, FTA may determine that achieves the objectives of the being requested. Describe the resources that the applicant is not qualified to program and meets all relevant program available to implement the proposed receive an award and use that requirements. The applicant must transit project. determination as a basis for making a provide a clear explanation of how the VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00153 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28678 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices project budget would be affected by a f. Describe what opportunities for currently accessible by transit; needs for reduced award. FTA may award a lesser public participation were provided in access to jobs or health care; safety amount regardless of whether a scalable the planning process and how the enhancements; special needs of elders option is provided. proposed transit service or existing or individuals with disabilities; All applications must be submitted service has been coordinated with behavioral health care needs of youth; via the GRANTS.GOV website. FTA transportation provided for the clients income-based community needs; or does not accept applications on paper, of human services agencies, with other mobility needs. If an applicant by fax machine, email, or other means. intercity bus transportation in the area, received a planning grant in previous For information on application or with any other rural public transit fiscal years, the proposal should submission requirements, please see providers; indicate the status of the planning study Section D.1., Address to Request g. Describe how the proposed service and how the proposed project relates to Application. complements rather than duplicates any that study. Applicants applying for capital E. Application Review Information currently available services; h. If the Tribe is already providing expansion or replacement projects 1. Criteria transit service, describe if this project is should also address the following Proposals for capital and operating included in the Tribe’s transit asset factors in their proposal. If the proposal assistance projects will be evaluated management plan; is for capital funding associated with an primarily on the responses provided in i. Describe the implementation expansion or expanded service, the the supplemental form. Additional schedule for the proposed project, applicant should describe how current information may be provided to support including time period, staffing, and or growing demand for the service the responses; however, any additional procurement; and necessitates the expansion (and documentation must be directly j. Describe any other planning or therefore, more capital) and/or the referenced on the supplemental form, coordination efforts not mentioned degree to how the project is addressing including the file name where the above. a current capacity constraint. Capital replacement projects should include additional information can be found. (ii.) Project Readiness Applications will be evaluated based on information about the age, condition, the quality and extent to which the Applications will be evaluated on the and performance of the asset to be following evaluation criteria are degree to which the applicant describes replaced by the proposed project and/or addressed. readiness to implement the project. The how the replacement may be necessary project readiness factor involves to maintain the transit system in a state (i.) Planning and Local/Regional assessing whether: of good repair. Prioritization a. The project qualifies for a (iv.) Demonstration of Benefits Applications will be evaluated based categorical exclusion (see 23 CFR on the degree to which the applicant: (1) 771.118), or the required environmental Applications will be evaluated based Describes how the proposed project was work has been initiated or completed, on the degree to which the applicant developed; (2) demonstrates that a for construction projects requiring an identifies expected or, in the case of sound basis for the project exists; and environmental assessment or existing service, achieved project (3) demonstrates that the applicant is environmental impact statement under, benefits. FTA is particularly interested ready to implement the project if among others, the National in how these investments will improve funded. Information may vary Environmental Policy Act of 1969, as the quality of life for the tribe and depending upon how the planning amended; surrounding communities in which it is process for the project was conducted b. Project implementation plans are located. Applicants should describe and what is being requested. Planning complete, including initial design of how the transportation service or capital and local/regional prioritization should: facilities projects; investment will provide greater access a. Describe the planning document c. Project funds can be obligated and to employment opportunities, and/or the planning process conducted the project can be implemented quickly, educational centers, healthcare, or other to identify the proposed project; if selected; and needs that impact the quality of life for b. Provide a detailed project d. The applicant demonstrates the the community, and how it is expected description, including the proposed ability to carry out the proposed project to improve the environment. Possible service, vehicle and facility needs, and successfully. examples include: Increased or sustained ridership and daily trips; other pertinent characteristics of the (iii.) Demonstration of Need proposed or existing service improved service; elimination of gaps in implementation; Applications will be evaluated based service; improved operations and c. Identify existing transportation on the degree to which the applicant coordination; increased reliability; and services in and near the proposed identifies the need for transit resources. other applicable community benefits service area, and document in detail In addition to project-specific criteria, related to health care, education, the whether the proposed project will FTA will consider the project’s impact economy, or the environment. Benefits provide opportunities to coordinate on service delivery and whether the can be demonstrated by identifying the service with existing transit services, project represents a one-time or periodic population of tribal members and non- including human service agencies, need that cannot reasonably be funded tribal members in the proposed project intercity bus services, or other public from FTA program formula allocations service area and estimating the number transit providers; or State and/or local resources. FTA will of daily one-way trips the proposed d. Discuss the level of support by the evaluate how the proposal demonstrates transit service will provide or the actual community and/or tribal government for the transit needs of the Indian tribe as number of individual riders served. the proposed project; well as how the proposed transit Applicants are encouraged to consider e. Describe how the mobility and improvements or the new service will qualitative and quantitative benefits to client-access needs of tribal human address identified transit needs. the Indian tribe and to the surrounding services agencies were considered in the Proposals should include information communities that are meaningful to planning process; such as destinations and services not them. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00154 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28679 Using the information provided under (vi.) Evaluation Criteria for Planning F. Federal Award Administration this criterion, FTA will rate proposals Proposals Information based on the quality and extent to For planning grants, the proposal 1. Federal Award Notice which they discuss the following four must describe the need for and a general FTA will publish a list of the selected factors: scope of the proposed study. a. The project’s ability to improve projects, including Federal dollar Applications will be evaluated based on transit efficiency or increase ridership; amounts and award recipients, on FTA’s the degree to which the applicant b. Whether the project will improve or website. Project recipients should addresses the following: maintain mobility, or eliminate gaps in contact their FTA Regional Offices and a. The tribe’s long-term commitment service for the Indian tribe; tribal liaison for information about to transit; and c. Whether the project will improve or setting up grants in FTA’s Transit b. The method used to implement the maintain access to important Award Management System (TrAMS). proposed study and/or further tribal destinations and services; At the time the project selections are transit. d. Any other qualitative benefits, such announced, FTA will extend pre-award as greater access to jobs, education, and 2. Review and Selection Process authority for the selected projects. There health care services, and environmental is no blanket pre-award authority for considerations. An FTA technical evaluation committee will review proposals under these projects before announcement. (v.) Financial Commitment and the project evaluation criteria. Members There is no minimum or maximum Technical, Legal, Financial and of the technical evaluation committee grant award amount for operating and Operating Capacity and other involved FTA staff reserve the capital projects. Planning projects do right to screen the applications, and not have a minimum grant award Provision of a local match for the FY amount but will not receive an award of 2021 Tribal Transit Program is not seek clarification about any statement in an application. After consideration of more than $25,000. required. Applications that include a FTA intends to fund as many local match will not be evaluated more the findings of the technical evaluation committee, the FTA Administrator will meritorious projects as possible. Only favorably than those that do not. proposals from eligible recipients for However, FTA is interested in ensuring determine the final selection and amount of funding for each project. eligible activities will be considered for that projects that receive funding are funding. Due to funding limitations, sustainable. Geographic diversity and the applicant’s receipt and management of other applicants that are selected for funding Applications must identify the source may receive less than the amount of local match (if any is included) and Federal transit funds may be considered in FTA’s award decisions. originally requested. In those cases, any other funding sources used by the applicants must be able to demonstrate Indian tribe to support proposed transit After applying the above criteria, in support of the President’s January 20, that the proposed projects are still services, including human service viable and can be completed with the transportation funding, the Federal 2021 Executive Order on Protecting Public Health and the Environment and amount awarded. Highway Administration’s Tribal Successful proposals will be awarded Transportation Program funding, or Restoring Science to Tackle the Climate Crisis and the President’s January 27, through FTA’s TrAMS as grant other FTA programs. If applicable, the agreements. The appropriate FTA applicant also should describe how 2021 Executive Order on Tackling the Climate Crisis at Home and Abroad, and Regional Office and tribal liaison will prior year Tribal Transit Program funds manage project agreements. were spent to date to support the to assist in promoting environmental service. Additionally, Indian tribes justice, the FTA Administrator will give 2. Administrative and National Policy applying to operate new services should priority consideration to applications Requirements that are expected to create significant provide a sustainable funding plan that a. Pre-Award Authority demonstrates how it intends to maintain community benefits relating to the operations. environment. FTA will issue specific guidance to recipients regarding pre-award authority If applicable, FTA will consider any 3. FAPIIS Check other resources the Indian tribe will at the time of selection. FTA does not contribute to the project, including in- Prior to making an award, FTA is provide pre-award authority for kind contributions, commitments of required to review and consider any competitive funds until projects are support from local businesses, information about the applicant that is selected, and even then, there are donations of land or equipment, and in the Federal Awardee Performance Federal requirements that must be met human resources. The proposal should and Integrity Information Systems before costs are incurred. For more describe to what extent the new project accessible through SAM. An applicant information about FTA’s policy on pre- or funding for existing service leverages may review and comment on any award authority, please see the most other funding. Based upon the information about itself that a Federal recent Apportionment Notice at https:// information provided, the proposals awarding agency previously entered. www.transit.dot.gov. FTA will consider any comments by the will be rated on the extent to which the b. Grant Requirements proposal demonstrates that: applicant, in addition to the other a. Tribal Transit Program funding information in the designated integrity Except as otherwise provided in this does not replace existing funding; and performance system, in making a NOFO, Tribal Transit Program grants are b. The Indian tribe will provide non- judgment about the applicant’s integrity, subject to the requirements of 49 U.S.C. financial support to the project; business ethics, and record of 5311(c)(1) as described in the latest FTA c. The Indian tribe is able to performance under Federal awards Circular 9040 for the Formula Grants for demonstrate a sustainable funding plan; when completing the review of risk Rural Areas Program. If the Department and posed by applicants as described in the determines that a recipient has failed to d. Project funds are used in Office of Management and Budget’s comply with applicable Federal coordination with other services for Uniform Requirements for Federal requirements, the Department may efficient utilization of funds. Awards (2 CFR 200.206). terminate the award of funds and VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00155 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28680 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices disallow previously incurred costs, provide a ‘‘like new’’ vehicle), the As part of completing the annual requiring the recipient to reimburse any vehicle remanufacturer is considered a certifications and assurances required of expended award funds. All recipients transit vehicle manufacturer and must FTA grant recipients, a successful must also follow the Award also comply with the DBE regulations. applicant must report on the suspension Management Requirements (FTA FTA will then issue a transit vehicle or debarment status of itself and its Circular 5010). Technical assistance manufacturer (TVM) concurrence/ principals. If the award recipient’s regarding these requirements is certification letter. Grant recipients active grants, cooperative agreements, available from each FTA regional office. must verify each entity’s compliance and procurement contracts from all c. Buy America with these requirements before Federal awarding agencies exceeds accepting its bid. A list of compliant, $10,000,000 for any period of time FTA requires that all capital certified TVMs is posted on FTA’s web during the period of performance of an procurements meet FTA’s Buy America page at https://www.transit.dot.gov/ award made pursuant to this Notice, the requirements (49 U.S.C. 5323(j) and 49 regulations-and-guidance/civil-rights- recipient must comply with the CFR part 661), which require that all ada/eligible-transit-vehicle- Recipient Integrity and Performance iron, steel, or manufactured products be manufacturers. Please note that this list Matters reporting requirements produced in the United States. Federal is nonexclusive, and recipients must described in Appendix XII to 2 CFR part public transportation law provided for a contact FTA before accepting bids from 200. phased increase in the domestic content entities not listed on this web-posting. for rolling stock between FY 2016 and G. Federal Awarding Agency Contacts Recipients may also establish project- FY 2020. For FY 2020 and beyond, the specific DBE goals for vehicle For further information concerning cost of components and subcomponents procurements. FTA will provide this notice, please contact Jacarl Melton, produced in the United States must be additional guidance as grants are Office of Program Management, (202) more than 70 percent of the cost of all awarded. For more information on DBE 366–2269, or email: TribalTransit@ components. There is no change to the requirements, please contact Scheryl dot.gov. A TDD is available at 1–800– requirement that final assembly of 877–8339 (TDD/FIRS). rolling stock must occur in the United Portee, Office of the Chief Counsel, 202– States. FTA issued guidance on the 366–0840, email: scheryl.portee@ H. Other Information dot.gov. implementation of the phased increase This program is not subject to in domestic content on September 1, e. Standard Assurances Executive Order 12372, 2016 (81 FR 60278). Applicants should ‘‘Intergovernmental Review of Federal read the policy guidance carefully to The applicant assures that it will Programs.’’ FTA will consider determine the applicable domestic comply with all applicable Federal applications for funding only from content requirement for their project. statutes, regulations, executive orders, eligible recipients for eligible projects Any proposal that will require a waiver directives, FTA circulars, and other listed in Section C of this Notice. must identify in the application the Federal administrative requirements in items for which a waiver will be sought. carrying out any project supported by Additionally, to assist tribes with Applicants should not proceed with the the FTA grant. The applicant understanding requirements under the expectation that waivers will be granted. acknowledges that it is under a Tribal Transit Program, FTA has continuing obligation to comply with conducted Tribal Transit Technical d. Disadvantaged Business Enterprise the terms and conditions of the grant Assistance Workshops. FTA has FTA requires that its recipients agreement issued for its project with expanded its technical assistance to receiving planning, capital, and/or FTA. The applicant understands that tribes receiving funds under this operating assistance that will award Federal laws, regulations, policies, and program. Through the Tribal Transit prime contracts exceeding $250,000 in administrative practices might be Technical Assistance Assessments FTA funds in a Federal fiscal year modified from time to time and may Initiative, FTA collaborates with Tribal comply with Department of affect the implementation of the project. Transit Leaders to review processes and Transportation Disadvantaged Business The applicant agrees that the most identify areas in need of improvement, Enterprise (DBE) program regulations recent Federal requirements will apply and then assists to offer solutions to (49 CFR part 26). Applicants should to the project, unless FTA issues a address these needs—all in a supportive expect to include any funds awarded, written determination otherwise. The and mutually beneficial manner that excluding those to be used for vehicle applicant must submit the Certifications results in technical assistance. FTA has procurements, in setting their overall and Assurances before receiving a grant completed over fifty assessments to DBE goal. Note, however, that projects if it does not have current certifications date. These assessments include including vehicle procurements remain on file. discussions of compliance areas subject to the DBE program regulations. pursuant to the Master Agreement, a site 3. Reporting The rule requires that, prior to bidding visit, promising practices reviews, and on any FTA-assisted vehicle The post-award reporting technical assistance from FTA and its procurement, entities that manufacture requirements include submission of the contractors. These workshops and vehicles, or perform post-production Federal Financial Report (FFR) and assessments have received excellent alterations or retrofitting, must submit a Milestone Progress Report in TrAMS, feedback from Tribal Transit Leaders DBE program plan and goal and FTA’s National Transit Database and provided FTA with invaluable methodology to FTA. Further, to the (NTD) reporting as appropriate (see FTA opportunities to learn more about Tribal extent that a vehicle remanufacturer is Circular 9040). Reports to TrAMS and Transit Leaders’ perspectives and better responding to a solicitation for new or NTD are due annually. Applicants honor the sovereignty of tribal nations. remanufactured vehicles with a vehicle should include any goals, targets, and FTA will post information about to which the remanufacturer has indicators referenced in their upcoming workshops to its website and provided post-production alterations or application to the project in the will disseminate information about the retrofitting (e.g., replacing major Executive Summary of the TrAMS assessments through its regional offices. components such as an engine to application. Contact information for FTA’s regional VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00156 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28681 offices can be found on FTA’s website information concerning OFAC sanctions and (2) market evolution and structural at www.transit.dot.gov. programs are available on OFAC’s shifts in the conduct of the business, Applicants may also receive technical website (www.treasury.gov/ofac). including the effects of technology and assistance by contacting their FTA the use of big data, as well as changes Notice of OFAC Actions regional Tribal Liaison. A list of Tribal related to the COVID–19 pandemic. Liaisons is available on FTA’s website at On May 20, 2021, OFAC determined Additionally, FIO seeks feedback on www.transit.dot.gov. that the property and interests in updating its prior work on auto If awarded, grant funding made property subject to U.S. jurisdiction of insurance, including its January 2017 available through this program may be the following person are blocked under Study on the Affordability of Personal included in a Tribal Transportation Self- the relevant sanctions authorities listed Automobile Insurance (2017 FIO Governance funding agreement if there below. Affordability Study). is an existing Self-Governance compact DATES: Submit written comments on or in place between the Tribe and the U.S. Individual before July 26, 2021. Department of Transportation. If funds AL–GHAMARI, Muhammad Abd Al-Karim are transferred to a Tribal Self- (a.k.a. AL–GHAMARI, Muhammad ‘Abd-al- ADDRESSES: Submit comments Governance funding agreement, the Karim Ahmad Husayn; a.k.a. AL– electronically through the Federal funds will be subject to the GHOMMARI, Muhammad; a.k.a. eRulemaking Portal at http:// requirements and provisions of the GHOMMARI, Muhammad; a.k.a. ‘‘Sayyid www.regulations.gov, in accordance Tribal Transportation Self-Governance Hashim’’), Yemen; DOB 1979; alt. DOB 1984; with the instructions on that site, or by POB Izla Dhaen, Wahha District, Hajjar mail to the Federal Insurance Office, Program regulation at 49 CFR part 29 Governorate, Yemen; nationality Yemen; and may be used only for the purpose Attn: Alex Hart, Room 1410 MT, Gender Male (individual) [YEMEN]. Department of the Treasury, 1500 for which they were awarded. Designated pursuant to section 1(a) of Pennsylvania Avenue NW, Washington, Nuria I. Fernandez, Executive Order 13611 of May 16, 2012, ‘‘Blocking Property of Persons Threatening DC 20220. Because postal mail may be Deputy Administrator. the Peace, Security, or Stability of Yemen,’’ subject to processing delays, it is [FR Doc. 2021–11197 Filed 5–26–21; 8:45 am] 3 CFR, 2001 Comp., p. 786, 77 FR 29533 recommended that comments be BILLING CODE P (E.O. 13611), for having engaged in acts that submitted electronically. If submitting directly or indirectly threaten the peace, comments by mail, please submit an security, or stability of Yemen, such as acts original version with two copies. DEPARTMENT OF THE TREASURY that obstruct the implementation of the Comments should be captioned ‘‘FIO agreement of November 23, 2011, between Auto Insurance Study.’’ In general, Office of Foreign Assets Control the Government of Yemen and those in opposition to it, which provides for a Treasury will post all comments to www.regulations.gov without change, Notice of OFAC Sanctions Actions peaceful transition of power in Yemen, or that obstruct the political process in Yemen. including any business or personal information provided such as names, AGENCY: Office of Foreign Assets Dated: May 20, 2021. Control, Treasury. addresses, email addresses, or telephone Bradley T. Smith, ACTION: Notice. numbers. All comments, including Acting Director, Office of Foreign Assets attachments and other supporting SUMMARY: The U.S. Department of the Control, U.S. Department of the Treasury. materials, are part of the public record Treasury’s Office of Foreign Assets [FR Doc. 2021–11260 Filed 5–26–21; 8:45 am] and subject to public disclosure. You Control (OFAC) is publishing the names BILLING CODE 4810–AL–P should submit only information that of one or more persons that have been you wish to make available publicly. placed on OFAC’s Specially Designated DEPARTMENT OF THE TREASURY FOR FURTHER INFORMATION CONTACT: Nationals and Blocked Persons List From the Federal Insurance Office: Alex (SDN List) based on OFAC’s Monitoring Availability and Hart, Senior Insurance Regulatory determination that one or more Affordability of Auto Insurance; Policy Analyst, 202–213–6850, applicable legal criteria were satisfied. [email protected]; Daniel All property and interests in property Assessing Potential Evolution of the Auto Insurance Market McKnight, Policy Advisor, 202–631– subject to U.S. jurisdiction of these 1979, [email protected], or persons are blocked, and U.S. persons AGENCY: Federal Insurance Office, Andrew Shaw, Senior Policy Advisor, are generally prohibited from engaging Departmental Offices, Department of the (202) 304–4532, Andrew.Shaw2@ in transactions with them. Treasury. Treasury.gov. Persons who have DATES: See SUPPLEMENTARY INFORMATION ACTION: Request for information. difficulty hearing or speaking may section for effective date(s). access these numbers via TTY by calling FOR FURTHER INFORMATION CONTACT: SUMMARY: The Federal Insurance Office the toll-free Federal Relay Service at OFAC: Andrea M. Gacki, Director, tel.: (FIO) of the U.S. Department of the (800) 877–8339. 202–622–2480; Associate Director for Treasury (Treasury) is issuing this SUPPLEMENTARY INFORMATION: Global Targeting, tel.: 202–622–2420; Request for Information (RFI) to solicit Assistant Director for Licensing, tel.: input regarding FIO’s future work I. Background 202–622–2480; Assistant Director for relating to monitoring the availability The Personal Auto Insurance Market Regulatory Affairs, tel.: 202–622–4855; and affordability of automobile (auto) or the Assistant Director for Sanctions insurance. Building upon its prior work, The U.S. personal auto insurance Compliance & Evaluation, tel.: 202–622– FIO will undertake a holistic analysis of sector is a significant part of the U.S. 2490. the domestic personal auto insurance economy, both in terms of its aggregate SUPPLEMENTARY INFORMATION: business, focusing on: (1) Affordability size and its impact on individual of coverage and disparities in premium consumers and their economic well- Electronic Availability pricing, with particular attention to being. In 2020, this line of business The Specially Designated Nationals traditionally-underserved communities accounted for approximately $247 and Blocked Persons List and additional and the impact of non-driving factors; billion of direct premiums written, or VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00157 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28682 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices about 35% of the domestic property & of personal auto insurance for based on an Affordability Index, which casualty (P&C) insurance sector’s total traditionally underserved communities is the ratio of the average annual written premiums of $711 billion. Auto and consumers, minorities, and LMI personal auto liability premium in the ownership is associated with greater persons (collectively, ‘‘Affected voluntary market to the median opportunity for economic well-being, Persons’’).4 FIO then issued a notice in household income (based on U.S. such as better access to employment 2016 detailing a proposed methodology Census Bureau data) for U.S. Postal opportunities.1 All U.S. states except for for examining the affordability of Service ZIP Codes in which Affected New Hampshire require a driver or personal auto insurance (2016 FIO Persons were 50% or more of the owner of a motor vehicle to have auto Notice).5 The 2016 FIO Notice also population. The 2017 FIO Affordability liability insurance or financial security, indicated that FIO would use available Study indicated that approximately 18.6 which may be satisfied by auto liability data from the Census Bureau, statistical million Americans live where auto insurance, when registering or while agents, and certain states for an initial insurance costs more than 2% of operating a motor vehicle. However, in affordability study, the 2017 FIO median household income. 2019 nearly 13% of drivers in the Affordability Study.6 In addition, FIO United States were uninsured.2 indicated that for a subsequent study in Recent Attention on Auto Insurance The domestic personal auto insurance 2017 following the 2017 FIO In 2020, the House Appropriations business has been evolving throughout Affordability Study, FIO would request Committee recommended that FIO the 21st century. New consumer large auto insurers (i.e., those having a ‘‘examine the impact of non-driving preferences and recent technological statutory surplus greater than $500 related factors, such as a consumer’s innovations—including the increased million and annually collecting more credit history, homeownership status, use of big data and artificial than $500 million of premium for census tract, marital status, professional intelligence—have led to changes in personal auto insurance) to voluntarily occupation, and educational attainment, nearly all aspects of the business, provide to the statistical agents with on the affordability of auto insurance including availability of products, which the insurers typically work the premiums for traditionally underserved pricing, underwriting, distribution, following information: (i) ZIP Code- communities.’’ 11 President Biden also claims adjudication and processing, and level premium data; (ii) for liability noted differences in personal auto risk management. Additionally, coverage at the financial responsibility insurance pricing in a televised Town developments in the sharing economy limit; and (iii) for the voluntary market.7 Hall meeting on February 16, 2021.12 (such as ride-sharing and delivery Although FIO did not proceed with this services) and automation are likely to voluntary data call to large auto FIO’s Upcoming Analysis of Auto further reshape the business in the insurers, it has continued to monitor Insurance future. The COVID–19 pandemic auto insurance market developments, as Building upon its past work, FIO is accelerated some of these changes, such noted in its recent Annual Reports.8 issuing this RFI as part of a holistic as an increased consumer preference for Additionally, FIO’s Federal Advisory analysis of the domestic personal auto usage-based insurance and telematics, Committee on Insurance (FACI) has insurance business, focusing on the which could permanently alter the considered issues related to personal following key themes: sector. auto insurance.9 (1) Affordability of coverage and The 2017 FIO Affordability Study premium pricing disparities—with FIO’s Previous Work on Auto Insurance sought to provide quantifiable particular attention to traditionally Title V of the Dodd-Frank Wall Street information on auto insurance underserved communities and Reform and Consumer Protection Act of affordability for Affected Persons. The considering the impact of non-driving 2010 established FIO within Treasury data examined by FIO for the 2017 FIO factors—including an analysis of and authorizes FIO to, among other Affordability Study did not include all available data and an update of FIO’s things, monitor the extent to which U.S. auto insurance policies. Instead, it past work on auto insurance, and traditionally underserved communities was based on ZIP Code-level premium (2) market evolution and structural and consumers, minorities, and low- data that was voluntarily provided by shifts in the conduct of business, and moderate-income (LMI) persons several U.S. states and a statistical including the effects of technology and have access to affordable insurance agent.10 The 2017 FIO Affordability the use of big data, as well as changes products regarding all lines of insurance Study calculated and reported data related to the COVID–19 pandemic. other than health insurance.3 In 2014 and 2015, FIO issued two 4 79 FR 19969 (Apr. 10, 2014), 80 FR 38277 (Jul. II. Request for Comments public notices soliciting comments 2, 2015). FIO invites comments on the 5 relating to monitoring the affordability 81 FR 45372 (July 13, 2016). following questions: 6 81 FR at 45381. 7 81 FR at 45381. 1 Data Analysis FIO’s previous work on auto insurance 8 See, e.g., Federal Insurance Office, U.S. affordability discusses these issues in greater depth. Department of the Treasury, Annual Report on the 1. Please provide your views on FIO See Federal Insurance Office, U.S. Department of Insurance Industry (2020), 26–27, 31–32, 35, updating its 2017 FIO Affordability the Treasury, Study on the Affordability of https://home.treasury.gov/system/files/311/2020- Study. How could the 2017 FIO Automobile Insurance (2017), https:// FIO-Annual-Report.pdf. home.treasury.gov/system/files/311/ 9 _ See, e.g., Federal Advisory Committee on FINAL%20Auto%20Affordability%20Study Insurance, Minutes of the Federal Advisory 11 U.S. House of Representatives Committee on web.pdf. Committee on Insurance (September 29, 2020), Appropriations, Report together with Minority 2 Insurance Research Council, ‘‘One in Eight https://home.treasury.gov/system/files/311/FACI- Views to Accompany H.R. 7668 (116th Congress, Drivers Uninsured,’’ news release, March 21, 2021, Minutes-9-20.pdf. 2nd Session), https://www.congress.gov/116/crpt/ https://www.insurance-research.org/sites/default/ 10 With some state-specific exceptions, P&C hrpt456/CRPT-116hrpt456.pdf. files/downloads/UM%20NR%20032221.pdf. insurers generally are required by state law to send 12 President Joseph R. Biden, Jr., ‘‘Remarks by 3 FIO Act, 31 U.S.C. 313(a), (c)(1)(B). Title V also premium, claims, and loss data to statistical agents, President Biden in a CNN Town Hall with designates the Secretary as advisor to the President who then compile the data for state insurance Anderson Cooper,’’ (remarks, CNN Town Hall, on ‘‘major domestic and international prudential departments. The states, in turn, use the reported Milwaukee, WI, February 16, 2021), https:// policy issues in connection with all lines of information to ensure that insurance rates meet www.whitehouse.gov/briefing-room/speeches- insurance except health insurance.’’ Id. at sec. statutory standards and to monitor the insurance remarks/2021/02/17/remarks-by-president-biden- 321(a)(9). market. in-a-cnn-town-hall-with-anderson-cooper/. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00158 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28683 Affordability Study methodology and personal auto insurance business? ADDRESSES: Written comments and reporting be improved? What time Please describe these likely impacts and recommendations for the proposed period should be covered in an updated why they are occurring. information collection should be sent study? Should FIO update the study on 8. What responses to the COVID–19 within 30 days of publication of this a periodic basis, and if so, how pandemic—whether by consumers, the notice to www.reginfo.gov/public/do/ frequently? insurance industry, or insurance PRAMain. Find this particular 2. What data should FIO use to update regulators—have the greatest likelihood information collection by selecting the 2017 FIO Affordability Study? For of leading to long-term structural change ‘‘Currently under 30-day Review—Open example, should FIO proceed with the in auto insurance? How can FIO for Public Comments’’ or by using the proposed data collection outlined in the evaluate the potential long-term or search function. 2016 FIO Notice (i.e., a request for permanent effects of the pandemic on FOR FURTHER INFORMATION CONTACT: voluntary production of ZIP Code-level the personal auto insurance business? Copies of the submissions may be premium data limited to large insurers 9. What are the biggest challenges and obtained from Molly Stasko by emailing that have a statutory surplus greater opportunities for the personal auto [email protected], calling (202) 622– than $500 million and that annually insurance business resulting from 8922, or viewing the entire information collect more than $500 million of current and anticipated structural collection request at www.reginfo.gov. premium for personal auto insurance)? changes? How are ongoing structural SUPPLEMENTARY INFORMATION: Why or why not? What alternate changes affecting underwriting and criteria, if any, would you propose if pricing practices? Internal Revenue Service (IRS) FIO administers a data collection? 10. Please describe how big data is 1. Title: Employee Representative’s 3. Some recent auto insurance being used in the personal auto Quarterly Railroad Tax Return. affordability analyses have leveraged insurance business. What are the OMB Control Number: 1545–0002. rating databases to study how quoted benefits and risks to both consumers Type of Review: Extension of a policy pricing varies based on and insurers in the use of big data, currently approved collection. demographic and geographic inputs. particularly as it relates to auto Description: Employee representatives Should FIO consider an analysis of insurance underwriting and pricing? file Form CT–2 quarterly to report affordability using premium quotations? 11. Please provide your views on how compensation on which railroad Why or why not? If yes, what data FIO can quantify structural changes to retirement taxes are due. The IRS uses sources are available? the personal auto insurance market and this information to ensure that 4. Are there other quantitative their potential effects. employee representatives have paid the approaches that FIO could take to correct tax. Form CT–2 also transmits effectively study auto insurance General the tax payment. affordability? If yes, what are the 12. Please provide any additional Form Number: IRS Form CT–2. approaches and their corresponding, comments or information on other Affected Public: Individuals or available data sources? issues or topics that may be relevant to Households. Non-Driving Related Factors in Personal FIO’s work on personal auto insurance, Estimated Number of Respondents: Auto Insurance Underwriting and the 2017 FIO Affordability Study, or 112. Pricing other related matters. Frequency of Response: Quarterly. 5. What should be the role of non- Steven Seitz, Estimated Total Number of Annual Responses: 112. driving related factors (such as a Director, Federal Insurance Office. consumer credit history, Estimated Time per Respondent: 1 [FR Doc. 2021–11167 Filed 5–26–21; 8:45 am] hour 11minutes. homeownership status, census tract, BILLING CODE 4810–AK–P marital status, professional occupation, Estimated Total Annual Burden and educational attainment) in personal Hours: 132 hours. auto insurance underwriting and DEPARTMENT OF THE TREASURY 2. Title: Cancellation of Debt. pricing? OMB Control Number: 1545–1424. 6. How should FIO assess the use of Agency Information Collection Type of Review: Extension of a such non-driving related factors? What Activities; Submission for OMB currently approved collection. principles should be used to distinguish Review; Comment Request; Multiple Description: Form 1099–C is used by between appropriate and inappropriate Internal Revenue Service Information Federal government agencies, financial use of non-driving related factors in Collection Requests institutions, and credit unions to report personal auto insurance underwriting the cancellation or forgiveness of a debt and pricing? What metrics could FIO AGENCY: Departmental Offices, U.S. of $600 or more, as required by section use to assess the impact of non-driving Department of the Treasury. 6050P of the Internal Revenue Code. related factors on the affordability and ACTION: Notice. The IRS uses the form to verify accessibility of auto insurance? What compliance with the reporting rules and data sources are available to help assess SUMMARY: The Department of the to verify that the debtor has included these factors? Treasury will submit the following the proper amount of canceled debt in information collection requests to the income on his or her income tax return. Structural Market Changes in Personal Office of Management and Budget These regulations under section 6050P Auto Insurance (OMB) for review and clearance in of the Internal Revenue Code (Code), 7. What drivers of change (e.g., accordance with the Paperwork relating to the rule in § 1.6050P– specific technology advances, consumer Reduction Act of 1995, on or after the 1(b)(2)(iv) that the 36-month non- preferences, the entrance of auto date of publication of this notice. The payment testing period is an identifiable manufacturers in underwriting and public is invited to submit comments on event triggering an information issuing insurance policies, etc.) are these requests. reporting obligation on Form 1099–C for currently having, or likely to have, DATES: Comments must be received on discharge of indebtedness by certain significant effects on the structure of the or before June 28, 2021. entities. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00159 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES 28684 Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices Form Number: IRS Form 1099–C. 5. Title: S Corporation Guidance DEPARTMENT OF THE TREASURY Regulation Project Number: TD 9793. under Section 958 (Rules for Affected Public: Businesses and other Determining Stock Ownership) and Agency Information Collection for-profit organizations; and not-for- Guidance Regarding the Treatment of Activities; Submission for OMB profit institutions. Qualified Improvement Property under Review; Comment Request; Estimated Number of Respondents: the Alternative Depreciation System for Notification of Foreign Tax 6,540,900. Purposes of the QBAI Rules for FDII and Redeterminations Frequency of Response: On occasion. GILTI. Estimated Total Number of Annual AGENCY: Departmental Offices, U.S. Responses: 6,540,900. OMB Control Number: 1545–2291. Department of the Treasury. Estimated Time per Response: 13 Type of Review: Extension of a ACTION: Notice. currently approved collection. minutes. SUMMARY: The Department of the Estimated Total Annual Burden Description: The Treasury Department Treasury will submit the following Hours: 1,438,998 hours. and the IRS published final regulations information collection request to the 3. Title: Electronic Filing of Form W– (TD 9866) in the Federal Register (84 FR Office of Management and Budget 4. 29288) under § 951A (final regulations). (OMB) for review and clearance in OMB Control Number: 1545–1435. The final regulations adopted ‘‘aggregate accordance with the Paperwork Type of Review: Extension of a treatment’’ with respect to income Reduction Act of 1995, on or after the currently approved collection. inclusion amounts arising from section date of publication of this notice. The Description: Information is required 951A (the global intangible low tax public is invited to submit comments on by the Internal Revenue Service to income inclusion or GILTI) for these requests. verify compliance with regulation partnerships. Under aggregate treatment, DATES: Comments must be received on section 31.3402(f)(2)–1(g)(1), which for purposes of determining the GILTI or before June 28, 2021. requires submission to the Service of inclusion amount of any partner of a ADDRESSES: Written comments and certain withholding exemption domestic partnership, each partner is recommendations for the proposed certificates. The affected respondents treated as proportionately owning the information collection should be sent are employers that choose to make stock of a controlled foreign corporation within 30 days of publication of this electronic filing of Forms W–4 available (CFC) owned by the partnership within notice to www.reginfo.gov/public/do/ to their employees. the meaning of § 958(a) in the same PRAMain. Find this particular Regulation Project Number: TD 8706. manner as if the domestic partnership information collection by selecting Affected Public: Businesses and other were a foreign partnership. Because ‘‘Currently under 30-day Review—Open for-profit organizations; not-for-profit only a U.S. person that is a U.S. for Public Comments’’ or by using the institutions; and State, Local or Tribal shareholder can have a GILTI inclusion search function. governments. amount, a partner that is not a U.S. FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: shareholder of a partnership-owned CFC 2,000. Copies of the submissions may be does not have a GILTI inclusion amount obtained from Molly Stasko by emailing Frequency of Response: On occasion. determined by reference to the Estimated Total Number of Annual [email protected], calling (202) 622– partnership-owned CFC. Section 8922, or viewing the entire information Responses: 160,000. 1.951A–1(e)(1) applies to taxable years Estimated Time per Response: 15 collection request at www.reginfo.gov. of foreign corporations beginning after minutes. SUPPLEMENTARY INFORMATION: December 31, 2017, and to taxable years Estimated Total Annual Burden of U.S. shareholders in which or with Internal Revenue Service (IRS) Hours: 40,000 hours. which such taxable years of foreign Title: Foreign Tax Credit; Notification 4. Title: Limited Payability Claim corporations’ end. There are no changes of Foreign Tax Redeterminations. Against the United States for Proceeds being made to the regulations at this OMB Control Number: 1545–1056. of An Internal Revenue Refund Check. time. Type of Review: Extension of a OMB Control Number: 1545–2024. currently approved collection. Type of Review: Extension of a Regulation Project Number: TD 9986 and Notice 2020–69. Description: The regulation relates to currently approved collection. a taxpayer’s obligation under section Description: Form 13818, Limited Affected Public: Individual or 905(c) of the Internal Revenue Code to Payability Claim Against the United Households. file notification of a foreign tax States for the Proceeds of an Internal Estimated Number of Respondents: redetermination, to make adjustments to Revenue Refund Check, is sent to the 3,688. a taxpayer’s pools of foreign taxes and payee (taxpayer). This form is designed Frequency of Response: On occasion. earnings and profits, and the imposition to provide taxpayers a method to file a of the civil penalty for failure to file claim for a replacement check when the Estimated Total Number of Annual such notice or report such adjustments. original check is over 12 months old. Responses: 3,688. Regulatory Project Number: REG– Form Number: IRS Form 13818. Estimated Time per Response: 30 209020–86. Affected Public: Individual or minutes. Affected Public: Businesses or other Households; and Businesses and other for-profit organizations. for-profit organizations. Estimated Total Annual Burden Estimated Number of Respondents: Estimated Number of Respondents: Hours: 1,844 hours. 13,000. 6,000. Authority: 44 U.S.C. 3501 et seq. Frequency of Response: Annually. Frequency of Response: On occasion. Estimated Total Number of Annual Dated: May 24, 2021. Estimated Total Number of Annual Responses: 13,000. Responses: 6,000. Molly Stasko, Estimated Time per Response: 4.153 Estimated Time per Response: 1 hour. Treasury PRA Clearance Officer. hours. Estimated Total Annual Burden [FR Doc. 2021–11210 Filed 5–26–21; 8:45 am] Estimated Total Annual Burden Hours: 6,000 hours. BILLING CODE 4830–01–P Hours: 54,000 hours. VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00160 Fmt 4703 Sfmt 4703 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Notices 28685 (Authority: 44 U.S.C. 3501 et seq.) includes the actual data collection solicited by this form, VA would be Dated: May 21, 2021. instrument. unable to determine eligibility, and Molly Stasko, DATES: Written comments and benefits would not be properly paid. Treasury PRA Clearance Officer. recommendations for the proposed No substantive changes have been made to this form. The respondent [FR Doc. 2021–11176 Filed 5–26–21; 8:45 am] information collection should be sent burden has increased due to the BILLING CODE 4810–25–P within 30 days of publication of this notice to www.reginfo.gov/public/do/ estimated number of receivables PRAMain. Find this particular averaged over the past two years. information collection by selecting An agency may not conduct or DEPARTMENT OF VETERANS ‘‘Currently under 30-day Review—Open sponsor, and a person is not required to AFFAIRS for Public Comments’’ or by using the respond to a collection of information search function. Refer to ‘‘OMB Control unless it displays a currently valid OMB [OMB Control No. 2900–0067] No. 2900–0067’’. control number. The Federal Register Agency Information Collection Activity FOR FURTHER INFORMATION CONTACT: Notice with a 60-day comment period Under OMB Review: (VA Form 21– Maribel Aponte, Office of Enterprise soliciting comments on this collection 4502) and Integration, Data Governance of information was published at 86 FR Analytics (008), 1717 H Street NW, 51 on March 18, 2021, page 14800. AGENCY: Veterans Benefits Washington, DC 20006, (202) 266–4688 Affected Public: Individuals or Administration, Department of Veterans or email [email protected]. Please Households. Affairs. refer to ‘‘OMB Control No. 2900–0067’’ Estimated Annual Burden: 411. ACTION: Notice. in any correspondence. Estimated Average Burden per SUPPLEMENTARY INFORMATION: Respondent: 15 minutes. SUMMARY: In compliance with the Authority: 38 U.S.C. 3901–3904. Frequency of Response: One time. Paperwork Reduction Act (PRA) of Title: Application for Automobile or 1995, this notice announces that the Estimated Number of Respondents: Other Conveyance and Adaptive 1,645. Veterans Benefits Administration Equipment (Under 38 U.S.C. 3901– (VBA), Department of Veterans Affairs, 3904) (VA Form 21–4502). By direction of the Secretary. will submit the collection of OMB Control Number: 2900–0067. Dorothy Glasgow, information abstracted below to the Type of Review: Reinstatement of a VA PRA Clearance Officer (Alternate), Office Office of Management and Budget previously approved collection. of Enterprise and Integration, Data (OMB) for review and comment. The Abstract: VA Form 21–4502 is used Governance Analytics, Department of PRA submission describes the nature of by veterans and servicepersons to apply Veterans Affairs. the information collection and its for automobile and adaptive equipment [FR Doc. 2021–11227 Filed 5–26–21; 8:45 am] expected cost and burden and it benefits. Without the information BILLING CODE 8320–01–P VerDate Sep<11>2014 17:29 May 26, 2021 Jkt 253001 PO 00000 Frm 00161 Fmt 4703 Sfmt 9990 E:\FR\FM\27MYN1.SGM 27MYN1 jbell on DSKJLSW7X2PROD with NOTICES i Reader Aids Federal Register Vol. 86, No. 101 Thursday, May 27, 2021 CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MAY Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 5 CFR Executive orders and proclamations 741–6000 3 CFR 2611...... 25801 The United States Government Manual 741–6000 Proclamations: 9801...... 26649 Other Services 10189...... 23843 6 CFR Electronic and on-line services (voice) 741–6020 10190...... 23845 Privacy Act Compilation 741–6050 10191...... 23847 Ch. I ...... 26825 10192...... 23849 37...... 23237 10193...... 23851 ELECTRONIC RESEARCH 10194...... 23853 7 CFR 10195...... 23855 World Wide Web 10196...... 23857 3...... 24699 989...... 26347 Full text of the daily Federal Register, CFR and other publications 10197...... 23859 4280, Subpart D ...... 26348 is located at: www.govinfo.gov. 10198...... 23861 10199...... 24297 Proposed Rules: Federal Register information and research tools, including Public 10200...... 24301 205...... 25961 Inspection List and electronic text are located at: 10201...... 24477 993...... 25975 www.federalregister.gov. 10202...... 24479 1280...... 24513 E-mail 10203...... 24697 10204...... 25799 8 CFR FEDREGTOC (Daily Federal Register Table of Contents Electronic 10205...... 25943 Mailing List) is an open e-mail service that provides subscribers 214...... 27027, 28198 10206...... 25945 274a...... 28198 with a digital form of the Federal Register Table of Contents. The 10207...... 26147 digital form of the Federal Register Table of Contents includes 10208...... 26345 Proposed Rules: HTML and PDF links to the full text of each document. 10209...... 27015 1...... 24750 10210...... 27017 103...... 24750, 25809 To join or leave, go to https://public.govdelivery.com/accounts/ 106...... 24751 USGPOOFR/subscriber/new, enter your email address, then 10211...... 27019 10212...... 27021 204...... 24750 follow the instructions to join, leave, or manage your 207...... 24750 subscription. 10213...... 27023 10214...... 27505 208...... 24750 PENS (Public Law Electronic Notification Service) is an e-mail 209...... 24750 service that notifies subscribers of recently enacted laws. Executive Orders: 210...... 24750 14027...... 25947 212...... 24750, 25809 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 14028...... 26633 214...... 24750 and select Join or leave the list (or change settings); then follow 14029...... 27025 215...... 24750 the instructions. 14030...... 27967 216...... 24750 FEDREGTOC and PENS are mailing lists only. We cannot Administrative Orders: 235...... 24750 respond to specific inquiries. Memorandums: 236...... 24750 Reference questions. Send questions and comments about the Memorandum of 240...... 24750 Federal Register system to: [email protected] September 24, 2015 241...... 24751 (Superseded in part 244...... 24750 The Federal Register staff cannot interpret specific documents or by Memorandum of regulations. 245...... 24750 May 18, 2021)...... 27703 245a...... 24750 Memorandum of May 264...... 24750 FEDERAL REGISTER PAGES AND DATE, MAY 18, 2021 ...... 27703 274...... 25809 Presidential 274a...... 24751 23237–23576...... 3 28469–28686...... 27 Determinations: No. 23577–23842...... 4 287...... 24750 2021–06 of May 3, 316...... 24750 23843–24296...... 5 2021 ...... 24475 24297–24474...... 6 333...... 24750 Presidential 335...... 24750 24475–24696...... 7 Determinations: 24697–25798...... 10 No. 2021–07 of May 25799–25942...... 11 19, 2021 ...... 28235 10 CFR 25942–26148...... 12 Notices: 72...... 26651, 28237 26149–26346...... 13 Notice of May 6, 430 ...... 24483, 24484, 28469 26347–26632...... 14 2021 ...... 25793 Proposed Rules: 26633–26824...... 17 Notice of May 6, 50...... 24362, 25977 26825–27014...... 18 2021 ...... 25795 51...... 24514 27015–27260...... 19 Notice of May 6, 52...... 24362 27261–27504...... 20 2021 ...... 25797 429...... 24516, 28298 27505–27796...... 21 Notice of May 11, 430 ...... 23635, 24538, 27281, 27797–27966...... 24 2021 ...... 26339 28001 27967–28234...... 25 Notice of May 11, 431 ...... 23875, 24516, 24752, 28235–28468...... 26 2021 ...... 26341 27054, 27298, 28005, 28298 VerDate Sep 11 2014 19:18 May 26, 2021 Jkt 253001 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\27MYCU.LOC 27MYCU jbell on DSKJLSW7X2PROD with FR_CU ii Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Reader Aids 11 CFR 239...... 25803 536...... 26661 141...... 28277 Proposed Rules: 249...... 25803 596...... 27273 180 ...... 24731, 25956, 26672, 113...... 23300 269...... 25803 598...... 26661 26845 274...... 25803 Proposed Rules: 300...... 26419 12 CFR Proposed Rules: 100...... 23877 721...... 24328 9...... 28238 240...... 24364 725...... 24328 215...... 27507 275...... 26685 32 CFR Proposed Rules: 627...... 27510 68...... 27974 Ch. I ...... 27546 655...... 27797 18 CFR 310...... 26671 9...... 27150 701...... 28241 157...... 26150 Proposed Rules: 52 ...... 24564, 24569, 24809, 703...... 28241 401...... 28262 97...... 26444 24829, 24835, 25978, 26448, 741...... 28241 420...... 28262 159...... 28042 26450, 26687, 27344, 27346, 746...... 28241 1301...... 28488 310...... 28047 27349, 27543, 28519 1242...... 23577 81...... 23309 19 CFR Proposed Rules: 33 CFR 84...... 27150 30...... 24755 4...... 27973 100 ...... 23608, 23865, 24326, 300...... 26452 208...... 24755 Ch. I...... 23277, 26836, 27800, 24492, 27518, 27808, 28265 Ch. IX...... 26888 235...... 26189 27802 117 ...... 23278, 23609, 27519 41 CFR 328...... 24770 122...... 27973 165 ...... 23279, 23611, 23613, 364...... 24755 123...... 27973 23865, 24710, 25949, 26386, Proposed Rules: 614...... 27308 145...... 27973 26837, 27034, 27520, 27523, 300–70...... 26455 149...... 27973 28267, 28268, 28270, 28273, 301–74...... 26455 13 CFR 361...... 27513 28489, 28491 Ch. 301 Appendix E ...... 26455 126...... 23863 Ch. II ...... 27274 42 CFR Proposed Rules: 20 CFR 401...... 23241 121...... 28012 655...... 26164, 28198 37...... 24336 Proposed Rules: 412...... 24735 656...... 26164 100...... 28049, 28516 14 CFR 405...... 26849 Proposed Rules: 117...... 23639, 23880 483...... 26306 13...... 23241 655...... 24368 165...... 24807, 25830 25...... 28250 510...... 23496 39 ...... 23593, 23595, 23599, 21 CFR 34 CFR Proposed Rules: 24485, 26149, 26365, 26367, 1308 ...... 23602, 24487, 27803 668...... 26608 412...... 25070 26370, 26373, 26651, 26826, 1310...... 24703 677...... 26608 413...... 25070 425...... 25070 26829, 26831, 26833, 27028, Proposed Rules: Proposed Rules: 455...... 25070 27031, 27261, 27264, 27268, 573...... 24564 Ch. II ...... 23304 495...... 25070 27271, 28473, 28476, 28479, Ch. VI...... 28299 28481, 28483 22 CFR 44 CFR 71 ...... 26377, 26378, 26379, 228...... 24708 37 CFR 26380, 27510, 27511, 27798, 64...... 24739, 28290 Proposed Rules: 1...... 28442 27973, 28487 120...... 28503 11...... 28442 45 CFR 77...... 25801 Proposed Rules: 86...... 27984 95...... 28253 23 CFR 97...... 26382, 26385 1...... 28301 92...... 27984 244...... 23260 Proposed Rules: 2...... 26862 147...... 24140 259...... 23260 Ch. I ...... 23876 7...... 26862 150...... 24140 Ch. II ...... 23876 153...... 24140 383...... 23241 38 CFR 406...... 23241 Ch. III ...... 23876 155...... 24140 17...... 24494 156...... 24140 Proposed Rules: 25 CFR Ch. I ...... 23876 Proposed Rules: 158...... 24140 224...... 27806 39 ...... 23301, 24546, 24549, 3...... 27340 184...... 24140 17...... 27340 670...... 27985, 27989 24551, 24554, 24556, 24560, 26 CFR 24778, 24780, 24783, 24786, 18...... 27340 1173...... 26184 24790, 25810, 25812, 26195, 53...... 23865 21...... 27340 1635...... 27037 26198, 26682, 26855, 26857, 27 CFR 39 CFR 46 CFR 27323, 27535, 27538, 27540, 28038, 28040, 28501 Proposed Rules: 3...... 24712 221...... 23241 71 ...... 24562, 21782, 24792, 447...... 27720 10...... 24712 307...... 23241 24794, 24795, 24797, 24798, 478...... 27720 Proposed Rules: 340...... 23241 24800, 24801, 24803, 24805, 479...... 27720 233...... 27823 356...... 23241 26861, 27326, 27327, 27329, Proposed Rules: 29 CFR 40 CFR 27331 Ch. II ...... 23876 780...... 24303 2...... 26842 Ch. II ...... 23876 47 CFR Ch. III ...... 23876 788...... 24303 9...... 24328 795...... 24303 52 ...... 24499, 24500, 24502, 1...... 26677, 27275 15 CFR 1601...... 28263 24503, 24505, 24507, 24713, 2...... 23281, 23614 Ch. XV ...... 23271 2204...... 26658 24715, 24717, 24718, 24726, 15...... 23281 Proposed Rules: 24728, 25951, 25954, 26179, 20...... 23614 16 CFR 403...... 28505 26181, 26388, 26401, 26843, 68...... 23614 1112...... 26654 408...... 28505 27035, 27524, 27532, 27976, 73 ...... 23866, 23868, 24339, 1130...... 26654 1910...... 27332, 27338 28275, 28493, 28494, 28496 24510, 24741, 26422, 27813, 1232...... 26654 62...... 24730, 27756 27990 30 CFR Proposed Rules: 81 ...... 27035, 27532, 27981 76...... 26185 Ch. II ...... 25817 250...... 23606 82...... 24444 90...... 23281, 26423 83...... 26406 95...... 23281 17 CFR 31 CFR 112...... 27984 Proposed Rules: 232...... 25803 35...... 26786 136...... 27226 1...... 26262, 27354 VerDate Sep 11 2014 19:18 May 26, 2021 Jkt 253001 PO 00000 Frm 00002 Fmt 4712 Sfmt 4712 E:\FR\FM\27MYCU.LOC 27MYCU jbell on DSKJLSW7X2PROD with FR_CU Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Reader Aids iii 2...... 28520, 28522 233...... 27354 233...... 23241 830...... 27550 15...... 23323, 28520 236...... 27358 234...... 23241 Ch. X...... 23876 25...... 28520 242...... 27358 235...... 23241 Ch. XI...... 23876 27...... 28520 252...... 27354, 27358 236...... 23241 30...... 28522 Ch. 12 ...... 23876 237...... 23241 50 CFR 64...... 27354 49 CFR 238...... 23241 17...... 23869, 25806 73 ...... 23340, 24837, 25978, 239...... 23241 217...... 27991 107...... 23241 25979, 28523 240...... 23241 218...... 24340 171...... 23241 90...... 23323 241...... 23241 622...... 24742 95...... 23323 190...... 23241 242...... 23241 209...... 23241 635 ...... 24359, 26424, 27814 101...... 28520 243...... 23241 648 ...... 23633, 24360, 24745, 213...... 23241 244...... 23241 214...... 23241 26186, 27042, 28292 48 CFR 272...... 23241 215...... 23241 660 ...... 23872, 26425, 26439, 386...... 23241 204...... 27275 216...... 23241 27816, 28293 207...... 27277 217...... 23241 578...... 23241 665...... 24511 212...... 27275 218...... 23241 Ch. XII...... 26825 679...... 24746, 28294 213...... 27277 219...... 23241 1570...... 23629 Proposed Rules: 215...... 27277 220...... 23241 1582...... 23629 10...... 24573 223...... 27279 221...... 23241 Proposed Rules: 17...... 23882, 25833 242...... 27277 222...... 23241 Ch. I ...... 23876 20...... 23641 252...... 27275, 27277 223...... 23241 Ch. II ...... 23876 32...... 23794 253...... 27277 224...... 23241 Ch. III ...... 23876 71...... 23794 517...... 28499 225...... 23241 Ch. V...... 23876 224...... 23657 552...... 28499 227...... 23241 531...... 25980 600...... 27686 Proposed Rules: 228...... 23241 533...... 25980 635...... 25992, 27686 212...... 27354 229...... 23241 Ch. VI...... 23876 648...... 28323 215...... 27354, 27358 230...... 23241 Ch. VII...... 23876 660...... 23659, 28325 216...... 27354 231...... 23241 Ch. VIII...... 23876 679...... 26888 VerDate Sep 11 2014 19:18 May 26, 2021 Jkt 253001 PO 00000 Frm 00003 Fmt 4712 Sfmt 4712 E:\FR\FM\27MYCU.LOC 27MYCU jbell on DSKJLSW7X2PROD with FR_CU iv Federal Register / Vol. 86, No. 101 / Thursday, May 27, 2021 / Reader Aids Register but may be ordered Lends Access to Needed subscribe, go to https:// in ‘‘slip law’’ (individual Therapies Act of 2021 (May listserv.gsa.gov/cgi-bin/ LIST OF PUBLIC LAWS pamphlet) form from the 26, 2021; 135 Stat. 277) wa.exe?SUBED1=PUBLAWS- Superintendent of Documents, Last List May 26, 2021 L&A=1 This is a continuing list of U.S. Government Publishing public bills from the current Office, Washington, DC 20402 session of Congress which (phone, 202–512–1808). The Note: This service is strictly have become Federal laws. text will also be made Public Laws Electronic for email notification of new This list is also available available at https:// Notification Service laws. 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